Made | 28th November 2005 | ||
Coming into force in accordance with regulation 1(1) |
1. | Citation, commencement and extent |
2. | Interpretation |
3. | Appointment of the Ombudsman to hear appeals against review decisions |
4. | Right to appeal against review decisions |
5. | Time for appealing |
6. | Notice of appeal |
7. | Procedure on receipt of notice of appeal |
8. | Procedure where appeal not duly made |
9. | Duty to investigate and determine appeal |
10. | Conduct of investigation: general |
11. | Written representations: general |
12. | Further provisions relating to written representations where appeal relates to scheme notification decision or scheme eligibility decision |
13. | Request for oral hearing: general |
14. | Further provisions relating to request for oral hearing where appeal relates to scheme notification decision or scheme eligibility decision |
15. | Delivery of supplementary statement |
16. | Withdrawal and amendment of notice of appeal or supplementary statement |
17. | Time and place of oral hearings |
18. | Attendance at oral hearings: general |
19. | Further provisions relating to attendance at oral hearings where appeal relates to scheme notification decision or scheme eligibility decision |
20. | Oral hearings usually to be held in public |
21. | Council on Tribunals |
22. | Costs and expenses |
23. | Reaching and giving determinations and consequential directions |
24. | Binding nature of Ombudsman's determination |
25. | Combining appeals where appeal relates to scheme notification decision or scheme eligibility decision |
26. | Further provisions relating to combining appeals where appeal relates to scheme notification decision or scheme eligibility decision |
27. | Representation |
28. | Restriction on use of documents and information provided for investigations |
29. | Miscellaneous powers of Ombudsman |
30. | Delegation of functions |
31. | Publishing reports of investigations |
32. | Irregularities |
33. | Substituted service |
Appointment of the Ombudsman to hear appeals against review decisions
3.
The following persons are appointed to investigate and determine appeals—
Right to appeal against review decisions
4.
An appeal may be made to the Ombudsman by any interested person to whom a notice of the review decision or subsequent review decision is issued under regulation 16 of the FAS Internal Review Regulations (notice of a review decision or a subsequent review decision)[13].
Time for appealing
5.
—(1) An appeal must be made before the end of the period of two months beginning with the date on which the decision against which the appeal is made was given.
(2) An appeal is made when a notice of appeal is received by the Ombudsman.
Notice of appeal
6.
—(1) A person wishing to make an appeal must send a notice of appeal to the Ombudsman.
(2) The notice of appeal must be in writing and must include—
(3) The notice of appeal must be signed and dated by—
(4) A notice of appeal that is sent by means of an electronic communications network is treated as having been signed if the identity of the persons who are required by paragraph (3) to sign the notice of appeal can be established from the notice.
(5) The Ombudsman may give directions as to the manner in which the identity of those persons can be established from the notice of appeal.
(6) In paragraph (4), "electronic communications network" has the same meaning as in section 32 of the Communications Act 2003[14] (meaning of electronic communications networks and services).
Procedure on receipt of notice of appeal
7.
—(1) As soon as practicable after receiving a notice of appeal that is made in accordance with regulations 5 and 6, the Ombudsman must—
(2) The acknowledgement must state the date on which the notice of appeal was received.
(3) The acknowledgement sent to the appellant, or, if applicable, to the appellant's representative, must inform the appellant or representative—
(b) about the binding nature of any determination or direction given or made by the Ombudsman, as described in regulation 24.
(4) When the Ombudsman sends an acknowledgement to the scheme manager, he must also send a copy of the notice of appeal.
(5) An acknowledgement sent by the Ombudsman under this regulation must be in writing, but, subject to that, may be made in such manner as the Ombudsman considers appropriate.
(6) Where the appeal relates to a scheme notification decision or a scheme eligibility decision, the publicity given under paragraph (1)(b) must—
(b) specify the date by which—
which must be not less than 28 days beginning with the day on which the Ombudsman publicises the existence of the notice of appeal; and
(c) include information about the binding nature of the Ombudsman's decision, as described in regulation 24.
Procedure where appeal not duly made
8.
—(1) As soon as practicable after receiving a notice of appeal that is not made in accordance with regulations 5 and 6, the Ombudsman must inform the appellant, or, if applicable, the appellant's representative, that it was not duly made and that, unless paragraph (2) applies, he will not be investigating the matter in question.
(2) The Ombudsman may investigate an appeal which is not made in accordance with regulation 6 where—
Duty to investigate and determine appeal
9.
Where an appeal is made in accordance with regulations 5 and 6, the Ombudsman must—
Conduct of investigation: general
10.
—(1) Except as otherwise provided in these Regulations, the procedure for conducting an investigation into the matters arising on an appeal is such as the Ombudsman considers appropriate in the circumstances of the case.
(2) In particular, the Ombudsman may—
(3) Subject to paragraph (4), the Ombudsman may also—
(4) No person can be compelled for the purposes of any investigation to give evidence or produce any document which he could not be compelled to give or produce in civil proceedings before a court.
(5) In paragraph (4), "court" means—
Written representations: general
11.
—(1) The following persons may make written representations to the Ombudsman in relation to an appeal—
(2) Any written representations made by a party to an appeal must be sent to the Ombudsman before the end of the period of 28 days beginning with the day on which the Ombudsman sent an acknowledgement of receipt of notice of appeal to that party under regulation 7.
(3) Where an appeal relates to a scheme notification decision or a scheme eligibility decision, any written representations made by an interested person who is not a party to the appeal must be sent to the Ombudsman by the date specified by the Ombudsman in the publicity given under regulation 7(1)(b).
(4) Paragraph (5) applies to a person who has received a reply from the Ombudsman under regulation 14(3) or 26(3) stating that the Ombudsman is satisfied that that person is an interested person in relation to the appeal.
(5) Any written representations made by a person to whom this paragraph applies must be sent to the Ombudsman before the end of—
whichever is later.
(6) As soon as practicable after receiving written representations in accordance with the provisions of this regulation, the Ombudsman must—
Further provisions relating to written representations where appeal relates to scheme notification decision or scheme eligibility decision
12.
—(1) This regulation applies where an appeal relates to a scheme notification decision or a scheme eligibility decision.
(2) Any written representations sent by a person who is not a party to the appeal must state—
(3) As soon as practicable after receiving written representations from a person who is not a party to the appeal, the Ombudsman must send a reply to that person.
(4) The reply must state—
(5) Before the Ombudsman sends a reply which states that he is not satisfied that the person who sent the written representations is an interested person in relation to the appeal, he may give that person an opportunity to submit more details in support of his claim.
(6) Where the Ombudsman sends a reply which states that he is not satisfied that the person who sent the written representations is an interested person in relation to the appeal, that person shall not take any further part in the appeal.
(7) Where the Ombudsman sends a reply which states that he is satisfied that the person who sent the written representations is an interested person in relation to the appeal—
(8) A reply sent by the Ombudsman under this regulation must be in writing, but, subject to that, may be made in such manner as the Ombudsman considers appropriate.
Request for oral hearing: general
13.
—(1) The following persons may request the Ombudsman to hold an oral hearing in relation to an appeal—
(2) A request to the Ombudsman to hold an oral hearing must be made in writing.
(3) A request for an oral hearing made by a party to the appeal, or, if applicable, the party's representative, must be sent to the Ombudsman before the end of the period of 28 days beginning with the day on which the Ombudsman sent an acknowledgment of receipt of notice of appeal to that party under regulation 7.
(4) Where an appeal relates to a scheme notification decision or a scheme eligibility decision, any request for an oral hearing made by an interested person who is not a party to the appeal must be sent to the Ombudsman within the period specified by the Ombudsman in the publicity given under regulation 7(1)(b).
(5) Paragraph (6) applies to a person who has received a reply from the Ombudsman under regulation 12(3) or 26(3) stating that the Ombudsman is satisfied that that person is an interested person in relation to the appeal.
(6) A request for an oral hearing made by a person to whom this paragraph applies must be sent to the Ombudsman before the end of—
whichever is later.
(7) If the Ombudsman decides to refuse a request for an oral hearing, he must give written reasons for his refusal to the party or interested person making the request.
Further provisions relating to request for oral hearing where appeal relates to scheme notification decision or scheme eligibility decision
14.
—(1) This regulation applies where an appeal relates to a scheme notification decision or a scheme eligibility decision.
(2) Any request for an oral hearing made by a person who is not a party to the appeal (or who is not treated as such under any provision of these Regulations) must be in writing and must state—
(3) As soon as practicable after receiving a request for an oral hearing from a person who is not a party to the appeal, the Ombudsman must send a reply to that person.
(4) The reply must state—
(5) Before the Ombudsman sends a reply which states that he is not satisfied that the person who sent the request for an oral hearing is an interested person in relation to the appeal, he may give that person an opportunity to submit more details in support of his claim.
(6) Where the Ombudsman sends a reply which states that he is not satisfied that the person who sent the request for an oral hearing is an interested person in relation to the appeal, that person shall not take any further part in the appeal.
(7) Where the Ombudsman sends a reply which states that he is satisfied that the person who sent the request for an oral hearing is an interested person in relation to the appeal—
(8) A reply sent by the Ombudsman under this regulation must be in writing, but, subject to that, may be made in such manner as the Ombudsman considers appropriate.
Delivery of supplementary statement
15.
—(1) If the Ombudsman consents, the appellant, or, if applicable, the appellant's representative, may, at any time during the Ombudsman's investigation of the matters arising on an appeal, submit a supplementary statement in writing in respect of the appeal.
(2) As soon as practicable after receiving a supplementary statement, the Ombudsman must—
Withdrawal and amendment of notice of appeal or supplementary statement
16.
—(1) The appellant, or, if applicable, the appellant's representative, may, at any time during the Ombudsman's investigation of the matters arising on an appeal, give notice in writing to the Ombudsman that he proposes to—
(b) amend the content of—
(2) A notice given in accordance with paragraph (1)(b) must include notification of the proposed amendment.
(3) The proposed withdrawal or amendment may only be made with the Ombudsman's consent.
(4) As soon as practicable after giving consent under this regulation, the Ombudsman must—
(b) where the appeal relates to a scheme notification decision or a scheme eligibility decision, take reasonable steps to publicise to all other interested persons in relation to the appeal—
Time and place of oral hearings
17.
—(1) If the Ombudsman decides that it is appropriate to hold an oral hearing in connection with his investigation of the matters arising on an appeal, he must fix the time and place of the hearing, having due regard to any representations made to him by each party to the appeal, or, if applicable, the party's representative, about the time and place that would be convenient to that party or that representative.
(2) The Ombudsman must send a notice of the time and place of the hearing to each party to the appeal, or, if applicable, to a party's representative.
(3) Where the appeal relates to a scheme notification decision or a scheme eligibility decision, the Ombudsman must take reasonable steps to publicise the time and place of the hearing to all other interested persons in relation to the appeal.
(4) A notice under paragraph (2) must be sent—
(b) where the appeal relates to a scheme notification decision or a scheme eligibility decision, not later than seven weeks before the date of the hearing.
(5) The Ombudsman must include with a notice under paragraph (2), and in any publicity given under paragraph (3), a statement explaining—
as set out in regulations 18 and 19.
(6) Any publicity given under paragraph (3) must also specify the date by which an interested person must give notice to the Ombudsman under regulation 19(2) if he wishes to make representations at the hearing.
(7) If the Ombudsman considers it necessary to alter the time or place of a hearing, he must—
(8) A notice of the alteration must be sent not later than—
(b) any later date agreed to by the parties to the appeal.
(9) A notice under paragraph (2) or (7)(a) must be in writing, but, subject to that, may be sent in such manner as the Ombudsman considers appropriate.
(10) The Ombudsman may, before the conclusion of a hearing, adjourn the hearing if he considers it necessary to do so.
(11) If a hearing is so adjourned, the Ombudsman is not required by this regulation to give notice of, or publicise, the time and place for the resumption of the hearing if the time and place for resumption of the hearing are announced before the adjournment.
Attendance at oral hearings: general
18.
—(1) At an oral hearing, the following persons may make oral representations and call any witnesses to give evidence that is relevant to the matter being investigated—
(2) Not later than 14 days before the date of the hearing, each party to the appeal, or, if applicable, his representative, must—
(b) if the party intends to call any witnesses at the hearing, provide the Ombudsman with—
(3) Any party to the appeal who decides not to attend, or be represented at, an oral hearing may send written representations for the purpose of the hearing to the Ombudsman not later than 14 days before the date of the hearing.
(4) As soon as practicable after receiving a witness summary or written representations under this regulation, the Ombudsman must—
(5) If the Ombudsman was informed of any party's intention to attend or be represented at the hearing and that party does not attend, is not represented and has not sent written representations in accordance with paragraph (3), the Ombudsman may—
(6) For the purposes of an oral hearing, the Ombudsman has the same power as a court in respect of—
(7) At an oral hearing, the Ombudsman—
(8) In paragraphs (6) and (7), "court" means—
Further provisions relating to attendance at oral hearings where appeal relates to scheme notification decision or scheme eligibility decision
19.
—(1) This regulation applies where an appeal relates to a scheme notification decision or a scheme eligibility decision.
(2) An interested person in relation to an appeal who is not a party to the appeal (or who is not treated as such under any provision of these Regulations) must give notice to the Ombudsman if he wishes to—
(3) A notice under paragraph (2) must be sent to the Ombudsman not later than 21 days before the date of the hearing.
(4) A notice under paragraph (2) must be in writing and must—
(5) As soon as practicable after receiving notice from a person under paragraph (2), the Ombudsman must send a reply to that person.
(6) The reply must state—
(7) Before the Ombudsman sends a reply which states that he is not satisfied that the person who gave the notice is an interested person, he may give that person an opportunity to submit more details in support of his claim.
(8) Where the Ombudsman sends a reply which states that he is not satisfied that the person who gave the notice is an interested person, that person shall not take any further part in the appeal.
(9) Where the Ombudsman sends a reply which states that he is satisfied that the person who gave the notice is an interested person—
(b) the interested person is to be treated as a party to the appeal for the purposes of regulations 7(3)(a)(i), 11(1)(a) and (3), 15(2)(a), 16(4)(a), 17(7) and (8)(b), 18(1) to (5), 22(3) and (4), 23(10) and (12)(a), 24(a), 25(5), (7), (8) and (9), 27(1) and (2) and 29(1).
(10) A reply sent by the Ombudsman under this regulation must be in writing, but, subject to that, may be made in such manner as the Ombudsman considers appropriate.
(11) As soon as practicable after the Ombudsman sends a reply which states that he is satisfied that the person who gave the notice under paragraph (2) is an interested person in relation to the appeal, he must send to the other parties to the appeal a copy of—
Oral hearings usually to be held in public
20.
—(1) An oral hearing must be held in public unless, in the opinion of the Ombudsman, it is appropriate for the hearing, or any part of it, to be held in private.
(2) Where an oral hearing, or any part of an oral hearing, is held in private, the Ombudsman may permit any person to attend—
(3) The Ombudsman may exclude from an oral hearing any person whose conduct has disrupted, or is likely to disrupt, the hearing.
Council on Tribunals
21.
A member of the Council on Tribunals, or a member of the Scottish Committee of the Council on Tribunals, may—
but shall not take part in the investigation or any determination.
Costs and expenses
22.
—(1) Where, under regulation 10(2)(f), the Ombudsman refers a question arising on an appeal to a person who, in his opinion, is able to provide an expert opinion in relation to that question, the Ombudsman may make a payment in respect of the reasonable costs or expenses incurred by that person in connection with that referral.
(2) Where an oral hearing is held, the Ombudsman may pay any person specified in paragraph (3) such amount as he considers reasonable in respect of costs or expenses reasonably incurred in connection with the attendance of that person at an oral hearing.
(3) The persons to whom the Ombudsman may pay an amount in respect of costs or expenses are—
(4) Where an oral hearing is held and the Ombudsman is of the opinion that—
the Ombudsman may direct any party who, or whose representative, acted vexatiously or unreasonably, to pay to any person mentioned in paragraph (3) such amount as the Ombudsman considers reasonable in respect of the costs and expenses reasonably incurred by that person in connection with that person's attendance at the hearing.
(5) The Ombudsman may only make a payment under paragraph (2) or (3) if he gave prior approval for the costs and expenses to be incurred.
(6) The Ombudsman may give a direction to the appellant under paragraph (4) despite the fact that the appellant has withdrawn the appeal.
(7) The Ombudsman shall not give a direction to a person under paragraph (4) without first giving that person an opportunity to make representations.
Reaching and giving determinations and consequential directions
23.
—(1) If the Ombudsman determines that the decision of the scheme manager in relation to the matters arising on the appeal was reached correctly, the Ombudsman must determine that it is not appropriate for the scheme manager to take any action in relation to the matter as a result of the appeal.
(2) A determination made under paragraph (1) must be in writing and must include—
(3) Paragraphs (4) to (9) apply if the Ombudsman considers that the decision of the scheme manager in relation to the matters arising on the appeal was not reached correctly.
(4) The Ombudsman must—
(5) The Ombudsman may direct—
is to be treated as if it were made at such time (which may be at a time prior to the Ombudsman's determination or direction) as the Ombudsman considers appropriate; and
(b) that any notice varied, substituted, issued or given by the scheme manager in accordance with any determination made, or direction given, by the Ombudsman is to be treated as if it—
(6) The Ombudsman may direct the scheme manager to take, or refrain from taking, such other steps as the Ombudsman may specify.
(7) The determination and directions must be in writing and must include—
(c) a statement of any legislation relied on by the Ombudsman in reaching the determination.
(8) The scheme manager has the power to do anything that the Ombudsman directs under this regulation.
(9) For the purpose of dealing with any matter remitted to him, the scheme manager may exercise the powers under Chapter 5 of Part 2 of the Act (gathering information)—
(10) The Ombudsman must—
(11) Paragraph (12) applies where the scheme manager is directed by the Ombudsman under this regulation to—
(12) Where this paragraph applies, the scheme manager must—
Binding nature of Ombudsman's determination
24.
Subject to the right of appeal provided under section 217(1) of the Act[16] (determinations of the PPF Ombudsman), any determinations and directions given or made by the Ombudsman under regulation 23 are binding on—
Combining appeals where appeal relates to scheme notification decision or scheme eligibility decision
25.
—(1) Where, in relation to an occupational pension scheme—
the Ombudsman may, for the purposes of these Regulations, treat them as a single appeal and make a single determination with directions, and references in these Regulations to the appeal are to be read accordingly.
(2) Such a single determination may relate to all the appeals or the Ombudsman may—
(3) Where an appeal which relates to a scheme notification decision or a scheme eligibility decision ("the first appeal") has been determined under these Regulations, the Ombudsman may make determinations, and give directions, on the same basis in respect of other such appeals if they are made on the same, or substantially the same, grounds and supported by the same, or substantially the same, evidence as the first appeal.
(4) For the purposes of paragraph (3), it does not matter whether the other appeals were made before or after the first appeal.
(5) If the Ombudsman proposes to exercise the powers under paragraph (1), (2) or (3), he must—
(6) A notification under paragraph (5)(a) must be in writing, but, subject to that, may be made in such manner as the Ombudsman considers appropriate.
(7) Any party to the appeal, or, if applicable, a party's representative, or any interested person in relation to the appeal, may send written representations to the Ombudsman objecting to the Ombudsman's proposal to exercise his powers under paragraph (1), (2) or (3).
(8) Any party, or, if applicable, representative, must send the written representations objecting to the proposal before the end of the period of 14 days beginning with the day on which the party, or, if applicable, the representative, is notified under paragraph (5)(a).
(9) Any interested person who is not a party to the appeal must send any written representations objecting to the proposal before the end of the period of 28 days beginning with the day on which the proposal is publicised under paragraph (5)(b).
(10) On receiving any written representations sent in accordance with paragraph (8) or (9), the Ombudsman must—
Further provisions relating to combining appeals where appeal relates to scheme notification decision or scheme eligibility decision
26.
—(1) This regulation applies where an appeal relates to a scheme notification decision or a scheme eligibility decision.
(2) Where a person who is not a party to the appeal (or who is not treated as such under any provision of these Regulations) objects to a proposal by the Ombudsman to exercise his powers under regulation 25(1), (2) or (3), the objections must state—
(3) As soon as practicable after receiving objections from a person under paragraph (2), the Ombudsman must send a reply to that person.
(4) The reply must state—
(5) Before the Ombudsman sends a reply which states that he is not satisfied that the person who sent the objections is an interested person in relation to the appeal, he may give that person an opportunity to submit more details in support of his claim.
(6) Where the Ombudsman sends a reply which states that he is not satisfied that the person who sent the objections is an interested person, that person shall not take any further part in the appeal.
(7) Where the Ombudsman sends a reply which states that he is satisfied that the person who sent the objections is an interested person—
(b) the interested person is to be treated as a party to the appeal for the purposes of regulations 7(3)(a)(i), 12(2), 13 (except paragraph (3)), 15(2)(a), 16(4)(a), 17(1), (2), (5)(b), (7) and (8)(b), 18(1) to (5), 19(2) and (11), 22(3) and (4), 23(10) and (12)(a), 24(a), 27(1) and (2) and 29(1).
(8) A reply sent by the Ombudsman under this regulation must be in writing, but, subject to that, may be made in such manner as the Ombudsman considers appropriate.
Representation
27.
—(1) Subject to paragraph (2), a party to an appeal may, by sending written notice to the Ombudsman, appoint a person to act as his representative for the purposes of these Regulations.
(2) Where a party to an appeal—
and there is no person appointed under paragraph (1) in respect of him, the Ombudsman may appoint a person to act as that person's representative for the purposes of these Regulations.
(3) A person appointed under paragraph (1) to act as a representative of any person for the purposes of these Regulations may be the same person as the appointed representative of that person within the meaning of regulation 2(7)(a) of the FAS Regulations (meaning of "appointed representative").
Restriction on use of documents and information provided for investigations
28.
—(1) It is a condition of the supply or making available for inspection of any document or other information under these Regulations that any person to whom it is supplied or made available for inspection may only use it—
(2) The Ombudsman must not disclose any information which he obtains for the purposes of the investigation of matters arising on an appeal under these Regulations unless the disclosure is to—
(3) The persons or bodies specified in this paragraph are—
to conduct an investigation;
(i) an inspector appointed under Part 14 of the Companies Act 1985[21] (investigation of companies and their affairs; requisition of documents) or under Part 15 of the Companies (Northern Ireland) Order 1986[22] (investigation of companies and their affairs; requisition of documents);
(j) a body designated under section 326(1) of the Financial Services and Markets Act 2000 (designation of professional bodies);
(k) a recognised investment exchange or recognised clearing house (as defined by section 285 of that Act (exemption for recognised investment exchanges and clearing houses)); and
(l) a member of the Council on Tribunals or a member of the Scottish Committee of the Council on Tribunals.
(4) The persons specified in this paragraph are—
Miscellaneous powers of Ombudsman
29.
—(1) The Ombudsman may—
(2) Before making an order under paragraph (1)(b), the Ombudsman must—
(b) give him the opportunity to show cause why such an order should not be made.
Delegation of functions
30.
—(1) Except as provided by paragraph (2), the Ombudsman may delegate the performance of any of his functions under these Regulations to—
(2) The Ombudsman must not delegate—
Publishing reports of investigations
31.
If the Ombudsman considers it appropriate to do so in any particular case, he may publish, in such form and manner as he considers appropriate, a report of any investigation carried out under these Regulations, including the result of that investigation.
Irregularities
32.
—(1) Any irregularity resulting from failure to comply with any provision of these Regulations concerning any proceedings does not of itself render those proceedings void.
(2) Clerical mistakes in any determination made, or direction given, under these Regulations or any error in such a document arising from an accidental slip or omission may be corrected by the Ombudsman by certificate under his hand.
Substituted service
33.
—(1) This regulation applies if—
(b) for any other reason, service on such a person cannot be readily effected.
(2) The Ombudsman may—
Signed by authority of the Secretary of State for Work and Pensions.
Stephen C. Timms
Minister of State, Department for Work and Pensions
28th November 2005
[3] Regulation 22 of these Regulations is made under section 213(4)(d), as modified by regulation 3(3), and applied, as modified, by regulation 2, of S.I. 2005/3256.back
[4] See section 317 of the Pensions Act 2004 ("the Act") which provides that the Secretary of State must consult such persons as he considers appropriate before making regulations by virtue of the provisions of the Act (other than Part 8). This duty does not apply where regulations are made before the end of six months beginning with the coming into force of the provisions of that Act by virtue of which the regulations are made.back
[5] S.I. 2005/1986 as amended by S.I. 2005/3256.back
[6] S.I. 2005/1994 as amended by S.I. 2005/3256.back
[7] S.I. 2005/2189 as amended by S.I. 2005/3256.back
[8] Regulation 6(1) is amended by regulations 5(4) and (8) of S.I. 2005/3256.back
[9] Regulation 17 and Schedule 2 are amended by regulation 4(3) and (5), respectively, of S.I. 2005/3256.back
[10] Regulation 3(3)(a) and Schedule 1 are amended by regulation 6(3)(a) and (4), respectively, of S.I. 2005/3256.back
[11] Regulation 4 is substituted by regulation 5(6) of S.I. 2005/3256.back
[12] Regulation 2(1) is amended by regulation 4(2)(a) of S.I. 2005/3256.back
[13] Regulation 16 is substituted by regulation 5(10) of S.I. 2005/3256.back
[15] See also regulation 4(3) and (5) of, and paragraphs 5 to 16 of Schedule 1 to, S.I. 2005/1986.back
[16] Section 217(1) is modified by regulation 3(6), and applied, as modified, by regulation 2, of S.I. 2005/3256.back
[17] See section 215 of the Act as modified by regulation 3(4), and applied, as modified, by regulation 2, of S.I. 2005/3256.back
[18] The Pensions Ombudsman is appointed under section 145(2) of the Pension Schemes Act 1993 (c.48), as amended by section 274(1) of the Act.back
[19] The Financial Services Authority has the functions conferred on it by the Financial Services and Markets Act 2000 (c.8) (see section 1 of that Act).back
[21] 1985 c.6; see in particular sections 431 (as amended by S.I. 2003/1116 and modified by S.I. 2001/1090) and 432 (as amended by section 55 of the Companies Act 1989 (c.40) and modified by S.I. 2001/1090).back
[22] S.I. 1986/1032 (N.I. 6); see in particular Articles 424 (as amended by S.R. 2004 No. 275 and modified by S.R. 2004 No. 307) and 425 (as amended by Article 3 of the Companies (No. 2) (Northern Ireland) Order 1990 (S.I. 1990/1504 (N.I. 10)) and modified by S.R. 2004 No. 307).back
[23] S.I. 2005/824, to which there are amendments not relevant to these Regulations.back
[24] Sections 215 and 218 of the Act are modified by regulation 3(4) and (8) respectively, and applied, as modified, by regulation 2, of S.I. 2005/3256.back