45% reduction in auto enrolment compliance notices

20 November 2018

The latest Compliance & Enforcement Bulletin shows a 45% drop in the number of compliance notices issued by The Pensions Regulator (TPR) in the quarter of July to September.

The quarterly bulletins provide information about TPR’s cases and how many times it has used its statutory powers.  It is designed to help employers, their advisers, trustees and administrators understand the type of compliance and enforcement interventions undertaken by TPR.

  • The Bulletin shows that high compliance levels with automatic enrolment duties continue

  • TPR’s enforcement powers were used a total of 38,095 times between July and September 2018 compared to 43,700 times the previous quarter, showing a reduction of 13%

  • 14,997 compliance notices were issued in the same quarter; 45% less than issued in the previous quarter (27,219)

  • 111 inspections were carried out, compared to 142 in the previous quarter – a 22% reduction

TPR has also updated the rolling list of employers named in the Bulletin who have paid their escalating penalty notices (EPN) but remain non-compliant, along with those who failed to pay their EPN and are now subject to a court order


Engaging with trustees

The Bulletin also explains how discussions and interventions from case teams has led to trustees tightening up their procedures, to the benefit of their members.

This more proactive approach led to 91% of defined contribution (DC) schemes submitting their scheme returns on time in 2017 - an increase from 81% a year earlier. Overall, more than 99% of the total membership of DC schemes is in schemes that submitted returns on time.

The compliance section of the bulletin also reveals that the decision to move to swifter enforcement action against trustees that submit late recovery plans - and to make them aware of the penalties they could receive - has led to a cut in the delay.


Nicola Parish, TPR’s Executive Director of Frontline Regulation, said:

“… our clearer, quicker and tougher approach is having a positive impact. We’re engaging earlier with schemes and trustees to get them to do the right thing, on time, to give the greatest benefit to members…”


Visit the Enforcement Bulletins area of TPR’s ‘new look’ website to see the latest and previous editions of the Compliance & Enforcement Bulletin.