{
  "url": "https://openlegislation.uk/personal-pension-schemes-appropriate-schemes-regulations-northern-ireland-1997",
  "json_url": "https://openlegislation.uk/personal-pension-schemes-appropriate-schemes-regulations-northern-ireland-1997.json",
  "id": "nisr/1997/139",
  "title": "The Personal Pension Schemes (Appropriate Schemes) Regulations (Northern Ireland) 1997",
  "short_title": "Personal Pension Schemes (Appropriate Schemes) 1997",
  "long_title": "These Regulations consolidate the Personal Pension Schemes (Appropriate Schemes) Regulations (Northern Ireland) 1988 with amendments. The Regulations also make provisions which are consequential upon Part IV of the Pensions (Northern Ireland) Order 1995 (“the Order”). In addition to minor and drafting amendments the Regulations make the following changes of substance—they provide for the responsibilities of the Occupational Pensions Board (which is being dissolved) in relation to the issue, variation, cancellation and surrender of appropriate scheme certificates for personal pension schemes to be carried out by the Department of Health and Social Services (“the Department”); andthey make provision for the cancellation, variation or surrender of appropriate scheme certificates in circumstances where there is a change in the information given to the Department;they amend the method of calculating or estimating earnings;they allow investment companies with variable capital to be investment vehicles for unit trust schemes which operate as appropriate personal pension schemes.The Regulations make provision in relation to—the form of schemes which may be appropriate schemes (regulation 2 and Schedule 1);the persons who and bodies which may establish appropriate schemes (regulation 3);the requirements in respect of an application and issue of an appropriate scheme certificate (regulations 4 and 5);the requirement to give the Department information in respect of the application for cancellation, variation or the surrender of an appropriate scheme certificate (regulations 6 to 9);the requirements in respect of notices under section 40 of the Pension Schemes (Northern Ireland) Act 1993 (regulations 10 and 11);the circumstances in which minimum contributions are not to be paid, manner of payment and allocation of minimum contributions (regulations 12 to 14);the calculation and estimation of earnings (regulation 15);the calculation or adjustment of minimum contributions (regulations 16 and 17);the cancellation of membership of interest-bearing account-funded appropriate schemes (regulation 18 and Schedule 2).",
  "citation": "S.R. 1997/139",
  "type": "nisr",
  "year": "1997",
  "number": "139",
  "version": "current",
  "date": "1997-03-10",
  "revised": true,
  "valid_from": "1997-04-06",
  "extent": "N.I.",
  "unapplied_effects": 55,
  "provisions": [
    {
      "path": "introduction",
      "kind": "introduction",
      "number": null,
      "heading": "Introductory text",
      "url": "https://openlegislation.uk/personal-pension-schemes-appropriate-schemes-regulations-northern-ireland-1997/introduction",
      "extent": "N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "regulation/1",
      "kind": "regulation",
      "number": "1",
      "heading": "Citation, commencement and interpretation",
      "url": "https://openlegislation.uk/personal-pension-schemes-appropriate-schemes-regulations-northern-ireland-1997/regulation-1",
      "extent": "N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "regulation/2",
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      "number": "2",
      "heading": "Forms of schemes which may be appropriate schemes",
      "url": "https://openlegislation.uk/personal-pension-schemes-appropriate-schemes-regulations-northern-ireland-1997/regulation-2",
      "extent": "N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "regulation/3",
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      "heading": "Persons who and bodies which may establish schemes",
      "url": "https://openlegislation.uk/personal-pension-schemes-appropriate-schemes-regulations-northern-ireland-1997/regulation-3",
      "extent": "N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "regulation/4",
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      "heading": "Requirements in respect of an application for an appropriate scheme certificate",
      "url": "https://openlegislation.uk/personal-pension-schemes-appropriate-schemes-regulations-northern-ireland-1997/regulation-4",
      "extent": "N.I.",
      "status": null,
      "parent": null
    },
    {
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      "heading": "Issue of appropriate scheme certificates",
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      "extent": "N.I.",
      "status": null,
      "parent": null
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    {
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      "heading": "Requirement to give the Department information",
      "url": "https://openlegislation.uk/personal-pension-schemes-appropriate-schemes-regulations-northern-ireland-1997/regulation-6",
      "extent": "N.I.",
      "status": null,
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    {
      "path": "regulation/7",
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      "heading": "Cancellation, variation and surrender of an appropriate scheme certificate",
      "url": "https://openlegislation.uk/personal-pension-schemes-appropriate-schemes-regulations-northern-ireland-1997/regulation-7",
      "extent": "N.I.",
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    {
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      "heading": "Applications for the variation of, and to surrender, appropriate scheme certificates",
      "url": "https://openlegislation.uk/personal-pension-schemes-appropriate-schemes-regulations-northern-ireland-1997/regulation-8",
      "extent": "N.I.",
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    {
      "path": "regulation/9",
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      "heading": "Cancellation of an appropriate scheme certificate",
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      "extent": "N.I.",
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    },
    {
      "path": "regulation/10",
      "kind": "regulation",
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      "heading": "Notice under section 40(1)",
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      "extent": "N.I.",
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    {
      "path": "regulation/11",
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      "extent": "N.I.",
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    },
    {
      "path": "regulation/12",
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      "heading": "Circumstances in which minimum contributions are not to be paid",
      "url": "https://openlegislation.uk/personal-pension-schemes-appropriate-schemes-regulations-northern-ireland-1997/regulation-12",
      "extent": "N.I.",
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    {
      "path": "regulation/13",
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      "heading": "Manner of payment of minimum contributions",
      "url": "https://openlegislation.uk/personal-pension-schemes-appropriate-schemes-regulations-northern-ireland-1997/regulation-13",
      "extent": "N.I.",
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    {
      "path": "regulation/14",
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      "heading": "Allocation of minimum contributions",
      "url": "https://openlegislation.uk/personal-pension-schemes-appropriate-schemes-regulations-northern-ireland-1997/regulation-14",
      "extent": "N.I.",
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    {
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      "heading": "Adjustment of amount of minimum contributions",
      "url": "https://openlegislation.uk/personal-pension-schemes-appropriate-schemes-regulations-northern-ireland-1997/regulation-17",
      "extent": "N.I.",
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    {
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      "heading": "Cancellation of membership of interest-bearing account-funded appropriate schemes",
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      "extent": "N.I.",
      "status": null,
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    },
    {
      "path": "regulation/19",
      "kind": "regulation",
      "number": "19",
      "heading": "Transitional provision in respect of earnings",
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      "extent": "N.I.",
      "status": null,
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    },
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      "path": "regulation/20",
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      "number": "20",
      "heading": "Revocations",
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      "extent": "N.I.",
      "status": null,
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    },
    {
      "path": "signature",
      "kind": "signature",
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      "heading": "Signature",
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      "extent": "N.I.",
      "status": null,
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    },
    {
      "path": "schedule/1",
      "kind": "schedule",
      "number": "1",
      "heading": "Kinds of Unit Trust Scheme that may be an Appropriate Scheme",
      "url": null,
      "extent": "N.I.",
      "status": null,
      "parent": null
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    {
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      "heading": "Kinds of Unit Trust Scheme",
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      "extent": "N.I.",
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    {
      "path": "schedule/2",
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      "heading": "Information to be included in Notice",
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      "status": null,
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    }
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    {
      "type": "words substituted",
      "affected_provisions": "Sch. 1 Pt. 1 para. 3",
      "affecting": "nisr/2003/256",
      "affecting_title": "The Social Security and Pensions (Financial Services and Markets Act 2000) (Consequential Amendments) Regulations (Northern Ireland) 2003",
      "affecting_provisions": "reg. 12(5)(a)(ii)"
    },
    {
      "type": "words substituted",
      "affected_provisions": "reg. 6A",
      "affecting": "nisr/2005/433",
      "affecting_title": "The Civil Partnership (Contracted-out Occupational and Appropriate Personal Pension Schemes) (Surviving Civil Partners) Order (Northern Ireland) 2005",
      "affecting_provisions": "Sch. 2 para. 38"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 3",
      "affecting": "nisr/2008/364",
      "affecting_title": "The Personal and Occupational Pension Schemes (Amendment) Regulations (Northern Ireland) 2008",
      "affecting_provisions": "reg. 3(4)"
    },
    {
      "type": "word inserted",
      "affected_provisions": "reg. 6(b)(ii)",
      "affecting": "nisr/2008/364",
      "affecting_title": "The Personal and Occupational Pension Schemes (Amendment) Regulations (Northern Ireland) 2008",
      "affecting_provisions": "reg. 3(6)(a)"
    },
    {
      "type": "words omitted",
      "affected_provisions": "reg. 1(2)",
      "affecting": "nisr/2008/364",
      "affecting_title": "The Personal and Occupational Pension Schemes (Amendment) Regulations (Northern Ireland) 2008",
      "affecting_provisions": "reg. 3(2)"
    },
    {
      "type": "substituted",
      "affected_provisions": "reg. 2",
      "affecting": "nisr/2008/364",
      "affecting_title": "The Personal and Occupational Pension Schemes (Amendment) Regulations (Northern Ireland) 2008",
      "affecting_provisions": "reg. 3(3)"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 4(1)(e)(f)",
      "affecting": "nisr/2008/364",
      "affecting_title": "The Personal and Occupational Pension Schemes (Amendment) Regulations (Northern Ireland) 2008",
      "affecting_provisions": "reg. 3(5)"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 6(b)(iii)",
      "affecting": "nisr/2008/364",
      "affecting_title": "The Personal and Occupational Pension Schemes (Amendment) Regulations (Northern Ireland) 2008",
      "affecting_provisions": "reg. 3(6)(b)"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 18",
      "affecting": "nisr/2008/364",
      "affecting_title": "The Personal and Occupational Pension Schemes (Amendment) Regulations (Northern Ireland) 2008",
      "affecting_provisions": "reg. 3(7)"
    },
    {
      "type": "omitted",
      "affected_provisions": "Sch. 1",
      "affecting": "nisr/2008/364",
      "affecting_title": "The Personal and Occupational Pension Schemes (Amendment) Regulations (Northern Ireland) 2008",
      "affecting_provisions": "reg. 3(8)"
    },
    {
      "type": "omitted",
      "affected_provisions": "Sch. 2",
      "affecting": "nisr/2008/364",
      "affecting_title": "The Personal and Occupational Pension Schemes (Amendment) Regulations (Northern Ireland) 2008",
      "affecting_provisions": "reg. 3(9)"
    },
    {
      "type": "words substituted",
      "affected_provisions": "reg. 15(7)(e)",
      "affecting": "nisr/2009/113",
      "affecting_title": "The Pensions (2008 Acts) (Consequential Provisions) Order (Northern Ireland) 2009",
      "affecting_provisions": "art. 6(4)"
    },
    {
      "type": "words added",
      "affected_provisions": "reg. 1(2)",
      "affecting": "nisr/2009/113",
      "affecting_title": "The Pensions (2008 Acts) (Consequential Provisions) Order (Northern Ireland) 2009",
      "affecting_provisions": "art. 6(2)"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 8(2)(c) and word",
      "affecting": "nisr/2009/113",
      "affecting_title": "The Pensions (2008 Acts) (Consequential Provisions) Order (Northern Ireland) 2009",
      "affecting_provisions": "art. 6(3)(a)"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 8(2A)",
      "affecting": "nisr/2009/113",
      "affecting_title": "The Pensions (2008 Acts) (Consequential Provisions) Order (Northern Ireland) 2009",
      "affecting_provisions": "art. 6(3)(b)"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 11",
      "affecting": "nisr/2012/120",
      "affecting_title": "The Pensions (2008 Act) (Abolition of Contracting-out for Defined Contribution Pension Schemes) (Consequential Provisions) Regulations (Northern Ireland) 2012",
      "affecting_provisions": "reg. 9(3)(j)"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 4",
      "affecting": "nisr/2012/120",
      "affecting_title": "The Pensions (2008 Act) (Abolition of Contracting-out for Defined Contribution Pension Schemes) (Consequential Provisions) Regulations (Northern Ireland) 2012",
      "affecting_provisions": "reg. 9(3)(b)"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 2",
      "affecting": "nisr/2012/120",
      "affecting_title": "The Pensions (2008 Act) (Abolition of Contracting-out for Defined Contribution Pension Schemes) (Consequential Provisions) Regulations (Northern Ireland) 2012",
      "affecting_provisions": "reg. 9(3)(a)"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 8",
      "affecting": "nisr/2012/120",
      "affecting_title": "The Pensions (2008 Act) (Abolition of Contracting-out for Defined Contribution Pension Schemes) (Consequential Provisions) Regulations (Northern Ireland) 2012",
      "affecting_provisions": "reg. 9(3)(g)"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 9",
      "affecting": "nisr/2012/120",
      "affecting_title": "The Pensions (2008 Act) (Abolition of Contracting-out for Defined Contribution Pension Schemes) (Consequential Provisions) Regulations (Northern Ireland) 2012",
      "affecting_provisions": "reg. 9(3)(h)"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 10",
      "affecting": "nisr/2012/120",
      "affecting_title": "The Pensions (2008 Act) (Abolition of Contracting-out for Defined Contribution Pension Schemes) (Consequential Provisions) Regulations (Northern Ireland) 2012",
      "affecting_provisions": "reg. 9(3)(i)"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 14",
      "affecting": "nisr/2012/120",
      "affecting_title": "The Pensions (2008 Act) (Abolition of Contracting-out for Defined Contribution Pension Schemes) (Consequential Provisions) Regulations (Northern Ireland) 2012",
      "affecting_provisions": "reg. 9(3)(k)"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 7",
      "affecting": "nisr/2012/120",
      "affecting_title": "The Pensions (2008 Act) (Abolition of Contracting-out for Defined Contribution Pension Schemes) (Consequential Provisions) Regulations (Northern Ireland) 2012",
      "affecting_provisions": "reg. 9(3)(f)"
    },
    {
      "type": "words omitted",
      "affected_provisions": "reg. 1(2)",
      "affecting": "nisr/2012/120",
      "affecting_title": "The Pensions (2008 Act) (Abolition of Contracting-out for Defined Contribution Pension Schemes) (Consequential Provisions) Regulations (Northern Ireland) 2012",
      "affecting_provisions": "reg. 9(2)"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 6A",
      "affecting": "nisr/2012/120",
      "affecting_title": "The Pensions (2008 Act) (Abolition of Contracting-out for Defined Contribution Pension Schemes) (Consequential Provisions) Regulations (Northern Ireland) 2012",
      "affecting_provisions": "reg. 9(3)(e)"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 6",
      "affecting": "nisr/2012/120",
      "affecting_title": "The Pensions (2008 Act) (Abolition of Contracting-out for Defined Contribution Pension Schemes) (Consequential Provisions) Regulations (Northern Ireland) 2012",
      "affecting_provisions": "reg. 9(3)(d)"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 5",
      "affecting": "nisr/2012/120",
      "affecting_title": "The Pensions (2008 Act) (Abolition of Contracting-out for Defined Contribution Pension Schemes) (Consequential Provisions) Regulations (Northern Ireland) 2012",
      "affecting_provisions": "reg. 9(3)(c)"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 12(1A)",
      "affecting": "nisr/2012/124",
      "affecting_title": "The Pensions (2008 No. 2 Act) (Abolition of Protected Rights) (Consequential Provisions) Order (Northern Ireland) 2012",
      "affecting_provisions": "art. 33"
    },
    {
      "type": "omitted",
      "affected_provisions": "reg. 12(2)-(9)",
      "affecting": "nisr/2012/124",
      "affecting_title": "The Pensions (2008 No. 2 Act) (Abolition of Protected Rights) (Consequential Provisions) Order (Northern Ireland) 2012",
      "affecting_provisions": "art. 33"
    },
    {
      "type": "words added",
      "affected_provisions": "reg. 12(4)",
      "affecting": "nisr/2012/124",
      "affecting_title": "The Pensions (2008 No. 2 Act) (Abolition of Protected Rights) (Consequential Provisions) Order (Northern Ireland) 2012",
      "affecting_provisions": "art. 19(d)"
    },
    {
      "type": "inserted",
      "affected_provisions": "reg. 12(1A)",
      "affecting": "nisr/2012/124",
      "affecting_title": "The Pensions (2008 No. 2 Act) (Abolition of Protected Rights) (Consequential Provisions) Order (Northern Ireland) 2012",
      "affecting_provisions": "art. 19(a)"
    },
    {
      "type": "words added",
      "affected_provisions": "reg. 12(3)",
      "affecting": "nisr/2012/124",
      "affecting_title": "The Pensions (2008 No. 2 Act) (Abolition of Protected Rights) (Consequential Provisions) Order (Northern Ireland) 2012",
      "affecting_provisions": "art. 19(c)"
    },
    {
      "type": "words inserted",
      "affected_provisions": "reg. 12(2)",
      "affecting": "nisr/2012/124",
      "affecting_title": "The Pensions (2008 No. 2 Act) (Abolition of Protected Rights) (Consequential Provisions) Order (Northern Ireland) 2012",
      "affecting_provisions": "art. 19(b)"
    }
  ],
  "made_under": [
    {
      "id": "ukpga/1993/49",
      "title": "Pension Schemes (Northern Ireland) Act 1993",
      "url": "https://openlegislation.uk/pension-schemes-northern-ireland-act-1993",
      "provisions": [
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        "section/5",
        "section/22",
        "section/30",
        "section/39",
        "section/40",
        "section/41",
        "section/41B",
        "section/151",
        "section/177",
        "section/178"
      ]
    }
  ],
  "changes_made_to": 56,
  "changes_made_to_url": "https://openlegislation.uk/personal-pension-schemes-appropriate-schemes-regulations-northern-ireland-1997/changes.json",
  "changes_made_by": 8,
  "changes_made_by_url": "https://openlegislation.uk/personal-pension-schemes-appropriate-schemes-regulations-northern-ireland-1997/changes/by-it.json",
  "instruments_made_under": 0,
  "instruments_made_under_url": "https://openlegislation.uk/personal-pension-schemes-appropriate-schemes-regulations-northern-ireland-1997/instruments.json",
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/nisr/1997/139",
    "retrieved_at": "2026-11-06T03:33:27.931225+00:00"
  },
  "licence": "Open Government Licence v3.0",
  "licence_url": "https://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/",
  "attribution": "Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives."
}