Article 4 Reference notice

(1)

A reference shall be made by way of a written notice (“the reference notice”) signed and filed by or on behalf of the applicant.

(2)

The reference notice shall state—

(a)

the name and address of the applicant;

(b)

the name and address of the applicant’s representative (if any);

(c)

the name and address of the pension scheme;

(d)

if no representative is named under sub-paragraph (b), the applicant’s address for service in the United Kingdom (if different from the address notified under sub-paragraph (a));

(e)

that the notice is a reference notice; and

(f)

the issues concerning the determination notice (standard procedure) or final notice (special procedure) that the applicant wishes the Tribunal to consider.

(3)

In paragraph (2)(a) and (c), “address” in respect of a corporation means the address of the registered or principal office.

(4)

Where the applicant was given a determination notice (standard procedure) or final notice (special procedure) by the Regulator, a copy shall be filed with the reference notice.

(5)

The applicant may include an application for directions with the reference notice.

(6)

Where the time limit for making a reference under section 103(1) or Article 97(1) has expired, the applicant shall include with the reference notice an application for a direction to extend the time limit for making a reference, which shall include a statement of the reasons for the delay.

(7)

At the same time as he files the reference notice, the applicant shall send a copy of that notice (and of any application in accordance with paragraphs (5) and (6)) to the Regulator.

(8)

Where an application is made under paragraph (5) or (6), the Secretary shall refer the application to the Tribunal for determination and he shall take no further action in relation to the reference notice until the application has been determined.

(9)

Subject to paragraph (8) and to any directions given by the Tribunal, upon receiving a reference notice the Secretary shall—

(a)

enter particulars of the reference in the register; and

(b)

inform the parties in writing of—

(i)

the fact that the reference has been received;

(ii)

the date when the Tribunal received the notice; and

(iii)

the Tribunal’s decision on any application made for directions (and include a copy of any direction given),

and the Secretary when sending the parties this information shall specify the date on which he is sending it.