The Occupational and Personal Pension Schemes (Disclosure of Information) Regulations 2013

PART 4E+W+SInformation to be given on request

Constitution of the schemeE+W+S

11.—(1) The information listed in Part 1 of Schedule 3 must be given to a relevant person in accordance with this regulation where the relevant person makes a request for the information.

(2) The information must be given within two months of the date the request is made.

(3) The information must be given in accordance with regulation 29.

(4) Any document that must be given under paragraph (1) which is not in the English language must be accompanied by a translation in that language.

(5) No information is required to be given under this regulation—

(a)to relevant persons, except a recognised trade union, unless it is relevant to the person's rights or prospective rights under the scheme,

(b)to a recognised trade union unless it is relevant to the rights or prospective rights of persons who are in that recognised trade union, and

(c)where the information has been given to the relevant person in the previous 12 months unless there has been a change in the information.

Annual reportE+W+S

12.—(1) A document containing the information listed in Part 2 of Schedule 3 must be prepared within seven months of the end of each scheme year and [F1(subject to paragraph (5))] given in accordance with this regulation.

(2) The document must be given to a relevant person where the relevant person—

(a)makes a request for the document within five years of the end of the scheme year to which the information relates, and

(b)has not been given the document before.

(3) The document must be given within two months of the date the request is made.

(4) The document must be given in accordance with—

(a)regulation 26 or 29(3), where the document relates to the most recent scheme year, or

(b)regulation 29, where the document does not relate to that year.

[F2(5)  Where section 35 of the 1995 Act applies to a scheme the following information must be made publicly available free of charge in accordance with regulation 29A—

(a)the information listed in paragraph 30(ca) of Schedule 3 but only if the scheme is not a relevant scheme within the meaning of regulation 1(2) (interpretation) of the Occupational Pension Schemes (Scheme Administration) Regulations 1996; or

(b)the information listed in paragraph 30(f) of that Schedule but only if the scheme is a relevant scheme within the meaning of that regulation.]

[F3Additional information available on request: pooled fundsE+W+S

12A.—(1) Where the scheme is a relevant scheme within the meaning of the Occupational Pension Schemes (Scheme Administration) Regulations 1996, a statement containing the information listed in paragraph 35 of Schedule 3 must be given on request to a member, or to a recognised trade union on behalf of the member, in accordance with this regulation.

(2) The statement must be given within two months of the date the request is made and it must be given in accordance with regulation 26 (giving information and documents).

(3) A statement is not required to be given where the request is made—

(a)less than 6 months after the last occasion on which information was given to or in respect of the member under this regulation; or

(b)by a recognised trade union unless it is relevant to the rights of a member who is in that recognised trade union.]

Other information to be given on requestE+W+S

13.—(1) The information listed in Part 3 of Schedule 3 must be given to a relevant person in accordance with this regulation where the relevant person makes a request for the information.

(2) The information must be given within two months of the date the request is made.

(3) The information must be given in accordance with regulation 29.

Transfer creditsE+W+S

14.—(1) The information listed in Part 4 of Schedule 3 must be given in accordance with this regulation.

(2) Subject to paragraph (3), the information must be given to any member or prospective member who makes a request for it.

(3) Paragraph (2) does not apply where the request mentioned in that paragraph is made less than 12 months after the last occasion on which such information was given.

(4) The information must be given within two months of the date the request is made.