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Penalty notices

Section 89 of the Pensions Act 2004 gives us the power to publish information on cases where we have exercised or considered exercising our powers.

Our ability to publish information – including details of our enforcement cases – plays an important part in enabling our commitment to transparency, and increases awareness and understanding of our decisions and actions.

The following tables name employers who have received an Escalating Penalty Notice (EPN) for breaches relating to automatic enrolment under the Pensions Act 2008. We will publish the names of those who have paid their EPN and remain non-compliant, as well as those who have failed to pay their EPN and as a result have been made subject to a court order.

We also publish information about failures to complete a scheme return or prepare a compliant chair’s statement. Trustees have a legal obligation to give us information about their pension scheme by completing a scheme return when required, and can be fined under section 10 of the Pensions Act 1995. The Occupational Pension Schemes (Charges and Governance) Regulations 2015 also require us to issue a mandatory penalty where there has been a failure to prepare a chair’s statement. The list includes the name of the scheme, type of breach, and the fine amount, and names any professional trustee related to that scheme.

We will publish this information on a quarterly basis. Penalties are listed when they become payable but may relate to an historical breach.

Employer non-compliant, subject to further action (EPN paid)

1 April to 30 June 2020

Employer name City / town Amount paid 
Barkers Estate Agents Watford £5,000 
Connect Cars Middleton Ltd  Manchester £1,400 
LKM Investments   Reading  £1,400 
Centrespace Design LLP  Reading  £1,400 
Shining Star Playschool Limited  Leicester  £5,000 
Thomas Street Nursery Limited  Birmingham  £1,400 
K Hughes Electrical Services Limited   Birmingham  £1,400 
Tatry Group Ltd  Milton Keynes  £1,400 
Petals of Piccadilly Limited   Birmingham  £700 

Please note that the values shown as paid are the values for the Escalating Penalty Notice only and may not be the value of the payment made. The payment value will include the Fixed Penalty Notice value if that remained unpaid as well as the associated court fees.

Unpaid EPNs subject to a Court Order

1 April to 30 June 2020

Employer name City / town Amount paid
     

No Data as none processed March to June

Chair's statement fines – failing to produce

Please note that penalties are listed when they become payable but may relate to an historical breach.

1 April to 30 June 2020

Scheme Professional trustee / pension professional Amount
Robert J Hart & Co Retirement Benefits Scheme 002263   £500.20 
Rushcliffe Golf Club Retirement Benefits Scheme   £500.30 
Aqua Cure Plc EPP    £500.30 

Chair's statement fines – not compliant

Please note that penalties are listed when they become payable but may relate to an historical breach.

1 April to 30 June 2020

Scheme name Professional trustee / pension professional Amount
The Walt Disney Retirement Savings Plan   £551.40
Heinz UK Pension Plan    £500 

Scheme return fine – failing to submit to us on time

1 April to 30 June 2020

Scheme name Number of fines issued Professional trustee / pension professional Amount
Unique Collections Ltd HE4358 1   £450.00