The Occupational Pension Schemes (Member-nominated Trustees and Directors) Regulations 1996

• (1) If at any time during the pre-commencement period the employer gave notice in writing to a section 18 company that he did not intend to propose alternative arrangements under section 19(1) in respect of the company before 6th May 1997, no such proposals may be made in respect of the company by him or any other person before that date (and paragraph 6 does not apply to any notice given in respect of the company in the pre-commencement period).

• (2) Where such a notice was given, regulation 15(2)(a) (permitted notice time for first notice of proposals of alternative arrangements) shall have effect in relation to the company with the omission of paragraph (i) and the substitution in paragraph (iii) for the words “the date applicable under paragraph (i)" of the words “ the commencement date ”.

Pre-commencement period proposals by the employer

5

If during the pre-commencement period the employer gave notice in writing to the trustees of a section 16 scheme that he intended to propose alternative arrangements in respect of the scheme, then these regulations shall apply—

• (a) as if that notice had been given under regulation 9(1)(a) at a permitted notice time (within the meaning of that regulation);

• (b) as if the approval period for the purposes of regulation 9(1)(b) were the period of six months beginning with the date on which the notice was given; and

• (c) in any case where the employer gave notice in writing to the trustees before the commencement date that he was not proceeding with those proposals, as if regulation 7(2)(d) were omitted.

6

If during the pre-commencement period the employer gave notice in writing to a section 18 company that he intended to propose alternative arrangements in respect of the company, then these regulations shall apply—

• (a) as if that notice had been given under regulation 15(1)(a) at a permitted notice time (within the meaning of that regulation);

• (b) as if the approval period for the purposes of regulation 15(1)(b) were the period of six months beginning with the date on which the notice was given; and

• (c) in any case where the employer gave notice in writing to the company before the commencement date that he was not proceeding with those proposals, as if regulation 13(2)(d) were omitted.

Pre-commencement period action

7

• (1) Where such a notice as is mentioned in paragraph 3(1), 4(1), 5 or 6 was given, then for the purposes of determining whether the requirements of sections 16 to 21 and these regulations have been complied with in respect of the section 16 scheme or, as the case may be, the section 18 company in question, things done on or after the date that notice was given have the same effect as if sections 16, 17(1) to (4), 18, 19(1) to (4), 20 and 21(3) to (8) and all these regulations had come into force on that date.

• (2) Nothing in paragraph (1) shall be taken to imply—

• (a) that section 10 (civil penalties) applies to any act or omission occurring before the commencement date; or

• (b) that the meaning of “the commencement date" in these regulations is altered.

Scheme alterations, overriding provisions and records

8

• (1) Where such a notice as is mentioned in paragraph 3(1) or 5 is given, sections 21(3), 68 and 117 and regulations 11 and 22 have effect, in relation to the section 16 scheme and to the employer in relation to that scheme, as if sections 16 to 21 and the remainder of these regulations were in force.

• (2) Where such a notice as is mentioned in paragraph 4(1), or 6 is given, regulation 22 has effect in relation—

• (a) to the section 18 company; and

• (b) to the person who is the employer in relation to the scheme which is the relevant scheme in relation to the section 18 company,

as if sections 16 to 21 and the remainder of these regulations were in force.

• (3) This paragraph shall be construed before 6th April 1997 as it is construed on and after that date.

Signed

Signed by authority of the Secretary of State for Social Security.

Oliver Heald — Parliamentary Under-Secretary of State, — Department of Social Security — 1996-05-02

Explanatory note

(This note is not part of the Regulations)

Footnotes

[^f00001]: 1995 c. 26. Section 124(1) is cited for the meaning given to “prescribed” and “regulations”.

[^f00002]: See section 120 of 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 in Part I of that Act. This duty does not apply where regulations are made before the end of six months from the coming into force of the provisions under which they are made.

[^f00003]: 1989 c. 26.

[^f00004]: 1970 c. 10. Section 208 was repealed by the Finance Act 1971 (c. 68) with effect from 6th April 1980.

[^f00005]: S.I. 1991/1614.

[^f00006]: 1988 c. 1. Section 611A was inserted by Schedule 6 to the Finance Act 1989 (c. 26).

[^f00007]: 1995 c. 26.

[^f00008]: 1986 c. 45.

[^f00009]: 1985 c. 66.

[^f00010]: 1995 c. 26.

[^f00011]: 1993 c. 48.

[^f00012]: 1987 c. 45.

[^f00013]: 1994 c. 21.

[^f00014]: 1993 c. 48.

[^f00015]: S.I. 1991/167. Regulation 12(2) was substituted by regulation 35 of the Occupational and Personal Pension Schemes (Miscellaneous Amendments) Regulations (S.I. 1992/1531).

[^f00016]: 1985 c. 6.

[^f00017]: 1978 c. 38.

[^f00018]: 1985 c. 6.

“The proposer"

Notice to be given by the proposer

The appropriate general statement

Notices concerning appropriate rules: requirement for general information about arrangements

Particulars of rules or arrangements proposed

Statement as to approval procedure

Approval in absence of objections

Approval by ballot

Immaterial omissions etc.

Multi-employer schemes

Cases where the employer is sole trustee

Cases where a section 18 company is the employer

Schemes with few or no active members

Shorter periods of office: casual vacancies etc.

Schemes requiring amendment: disapplication of s.591B of the Taxes Act

Removal of member-nominated directors

Modifications of section 18: aggregation

Editorial notes

[^c16894891]: 1995 c.26. Section 124(1) is cited for the meaning given to “prescribed" and “regulations".

[^c16894901]: See section 120 of 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 in Part I of that Act. This duty does not apply where regulations are made before the end of six months from the coming into force of the provisions under which they are made.

[^c16894911]: 1989 c.26.

[^c16894921]: 1970 c.10. Section 208 was repealed by the Finance Act 1971 (c.68) with effect from 6th April 1980.

[^c16894941]: 1988 c.1. Section 611A was inserted by Schedule 6 to the Finance Act 1989 (c.26).

[^c16894961]: 1995 c.26.

[^c16894971]: 1986 c.45.

[^c16894981]: 1985 c.66.

[^c16894991]: 1995 c.26.

[^c16895001]: 1993 c.48.

[^c16895011]: 1987 c.45.

[^c16895021]: 1994 c.21.

[^c16895031]: 1993 c.48.

[^c16895041]: S.I. 1991/167. Regulation 12(2) was substituted by regulation 35 of the Occupational and Personal Pension Schemes (Miscellaneous Amendments) Regulations (S.I. 1992/1531).

[^c16895051]: 1985 c.6.

[^c16895071]: 1985 c.6.

[^key-050c24c178ad3ccfe42a8dbae54dc8fc]: Reg. 20(1)(f) substituted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(10)(b) (with Sch. 1 para. 5(15))

[^key-05d0e3d546599d984d30dba37f0f7659]: Words in Sch. 1 para. 6(1)(a) substituted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(12)(a)(i) (with Sch. 1 para. 5(15))

[^key-07a2d9ac71bfd0200d94ca5c40a831ca]: Words in Sch. 1 para. 8(2)(b) inserted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(12)(b)(i) (with Sch. 1 para. 5(15))

[^key-08a87581f62970a1a6ba392209c3f1a9]: Words in Sch. 3 para. 3(4) substituted (30.12.1999) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1999 (S.I. 1999/3198), regs. 1(1), 7(5)(b)

[^key-098e631efa9eb13a2febc223ea1f70f4]: Words in reg. 2(1) substituted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(2)(c) (with Sch. 1 para. 5(15))

[^key-0e4f7307dbd4be03897a75075a863078]: Reg. 15(2)(c)(d) substituted for reg. 15(2)(c) (6.10.2002) by The Occupational Pension Schemes (Member-nominated Trustees and Directors) Amendment Regulations 2002 (S.I. 2002/2327), regs. 1(1), 4(b)

[^key-100a8697d4cb69975e07ae3bfed7ce98]: Words in reg. 16(2)(a) substituted (30.12.1999) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1999 (S.I. 1999/3198), regs. 1(1), 7(4)

[^key-128cf2b6c5ad8308b07187b9e6130414]: Reg. 20(1)(b) substituted (6.10.2002) by The Occupational Pension Schemes (Member-nominated Trustees and Directors) Amendment Regulations 2002 (S.I. 2002/2327), regs. 1(1), 5(b)

[^key-12993990906c289f74d98dcd8e8ff148]: Reg. 4(1)(o) inserted (31.12.2000) by The Occupational Pension Schemes (Republic of Ireland Schemes Exemption) Regulations 2000 (S.I. 2000/3198), regs. 1(1), 6(2)

[^key-296b0170747f38b00731e80760c13933]: Reg. 6(2) revoked (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(6)(b), Sch. 2 (with Sch. 1 para. 5(15))

[^key-29a2eea2906d74da11925dbfed9318f1]: Words in reg. 2(1) substituted (1.12.2001) by The Financial Services and Markets Act 2000 (Consequential Amendments and Repeals) Order 2001 (S.I. 2001/3649), arts. 1, 524(2)(b)

[^key-2d46d3bef0e2cfdca6b091a7b44141de]: Words in Sch. 2 para. 2(3) substituted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(13) (with Sch. 1 para. 5(15))

[^key-2e0ba1eec9a72de5af54d2a94f350c66]: Reg. 2(1A) inserted (1.12.2001) by The Financial Services and Markets Act 2000 (Consequential Amendments and Repeals) Order 2001 (S.I. 2001/3649), arts. 1, 524(3)

[^key-2e641bafd9e788e69e3d9bf43605e5d5]: Reg. 20(1)(a) substituted (6.10.2002) by The Occupational Pension Schemes (Member-nominated Trustees and Directors) Amendment Regulations 2002 (S.I. 2002/2327), regs. 1(1), 5(a)

[^key-2eb0b070baa954bd854b93e8ad9f6a40]: Words in reg. 2(1) inserted (30.12.1999) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1999 (S.I. 1999/3198), regs. 1(1), 7(2)(b)

[^key-2ebe1ebf47dd1008e7c1e0684c03345a]: Reg. 6(1)(p) inserted (31.12.2000) by The Occupational Pension Schemes (Republic of Ireland Schemes Exemption) Regulations 2000 (S.I. 2000/3198), regs. 1(1), 6(3)

[^key-2f6d344b3612d3b0c3e87918c0e722b6]: Word in reg. 9(2)(a)(ii) omitted (6.10.2002) by virtue of The Occupational Pension Schemes (Member-nominated Trustees and Directors) Amendment Regulations 2002 (S.I. 2002/2327), regs. 1(1), 3(a)(i)

[^key-32e5779c166b17a5cde4c961eb53273f]: Reg. 3 substituted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(3) (with Sch. 1 para. 5(15))

[^key-3c1d803325cdd3ce644fa3155561edcd]: Reg. 6(1)(ja) inserted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(6)(a) (with Sch. 1 para. 5(15))

[^key-40a4f3b2268a6ce1c469ff08906cfc38]: Reg. 15(2)(a)(iii)(iv) substituted for reg. 15(2)(a)(iii) (6.10.2002) by The Occupational Pension Schemes (Member-nominated Trustees and Directors) Amendment Regulations 2002 (S.I. 2002/2327), regs. 1(1), 4(a)(ii)

[^key-429d550341c7a6db7890c60b8d696291]: Reg. 5(2)(3) revoked (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(5), Sch. 2 (with Sch. 1 para. 5(15))

[^key-466a7ac922cc0241c9ad914379473402]: Reg. 9(2)(a)(iii)(iv) substituted for reg. 9(2)(a)(iii) (6.10.2002) by The Occupational Pension Schemes (Member-nominated Trustees and Directors) Amendment Regulations 2002 (S.I. 2002/2327), regs. 1(1), 3(a)(ii)

[^key-485bd32afcc4f012fd5b92b5417f3663]: Sch. 1 para. 8(3) substituted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(12)(c) (with Sch. 1 para. 5(15))

[^key-4a2f96a283ac55c14d36d351090674d3]: Word in Sch. 1 para. 6(2)(c) substituted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(12)(a)(ii) (with Sch. 1 para. 5(15))

[^key-51a8ede5528b52a0c6369554575dcad1]: Words in reg. 9(2)(b)(ii) substituted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(7)(a) (with Sch. 1 para. 5(15))

[^key-5d806e7ee0881f79b976cf5fcd20b9c7]: Word in Sch. 1 para. 8(2)(b) substituted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(12)(b)(ii) (with Sch. 1 para. 5(15))

[^key-5db5564d5a7a88572cc5c3bbb1f0fea3]: Word in reg. 6(1)(m) deleted (1.10.2000) by The Stakeholder Pension Schemes Regulations 2000 (S.I. 2000/1403), regs. 1(2), 30(3)(a)

[^key-5f7c758f8161e4d7e0942274d35a9635]: Word in reg. 4(1) deleted (1.10.2000) by The Stakeholder Pension Schemes Regulations 2000 (S.I. 2000/1403), regs. 1(2), 30(2)(a)

[^key-608d48c162bb533ecb8557193e038978]: Words in Sch. 3 para. 2(4) substituted (30.12.1999) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1999 (S.I. 1999/3198), regs. 1(1), 7(5)(a)

[^key-60a88ec7fa383baf5cfc5df90fda3a62]: Reg. 6(1)(o) and word added (1.10.2000) by The Stakeholder Pension Schemes Regulations 2000 (S.I. 2000/1403), regs. 1(2), 30(3)(b)

[^key-69cf5c0bb4705bb8b5543036839ec368]: Words in reg. 2(1) inserted (1.12.2001) by The Financial Services and Markets Act 2000 (Consequential Amendments and Repeals) Order 2001 (S.I. 2001/3649), arts. 1, 524(2)(a)

[^key-809c65a903723c41ab4c95f677f1e780]: Sch. 3 para. 1(1)(e) substituted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(14)(a) (with Sch. 1 para. 5(15))

[^key-8b09292d7cb9282ca2fe046b575ef01f]: Sch. 3 para. 3(3)(b)(c)(d) substituted for Sch. 3 para. 3(3)(b)(c) (6.10.2002) by The Occupational Pension Schemes (Member-nominated Trustees and Directors) Amendment Regulations 2002 (S.I. 2002/2327), regs. 1(1), 6(b)

[^key-8ef080cd50847776814297a33972873d]: Words in reg. 18 omitted (12.1.1998) by virtue of The Personal and Occupational Pension Schemes (Miscellaneous Amendments) (No. 2) Regulations 1997 (S.I. 1997/3038), regs. 1, 3

[^key-90eead5fc006667bb8ad12a092ac7b96]: Sch. 3 para. 1(1)(g) substituted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(14)(b) (with Sch. 1 para. 5(15))

[^key-946a9c8fec2a254a4af8b880abd0b341]: Reg. 9(2)(c)(d) substituted for reg. 9(2)(c) (6.10.2002) by The Occupational Pension Schemes (Member-nominated Trustees and Directors) Amendment Regulations 2002 (S.I. 2002/2327), regs. 1(1), 3(b)

[^key-9e96954c9e7020365d5393de900515bb]: Reg. 4(1)(n) and word added (1.10.2000) by The Stakeholder Pension Schemes Regulations 2000 (S.I. 2000/1403), regs. 1(2), 30(2)(b)

[^key-a404d2a16334a0c1c0bb1282d8c9f6f4]: Words in Sch. 1 para. 6(3) revoked (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(12)(a)(iii), Sch. 2 (with Sch. 1 para. 5(15))

[^key-a472dbc7c7da4b9460fe7cf5a3c7c0d2]: Sch. 3 para. 1(2)(aa) inserted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(14)(c) (with Sch. 1 para. 5(15))

[^key-a50bd50c7bb7040eae327e3062282962]: Words in reg. 10(2)(a) substituted (30.12.1999) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1999 (S.I. 1999/3198), regs. 1(1), 7(3)

[^key-a6c7ce516e68fef87a9041f6d1e9a228]: Sch. 3 para. 2(5)(a) substituted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(14)(d) (with Sch. 1 para. 5(15))

[^key-a924835fa09fd2a46db8f377a72a2229]: Word in reg. 15(2)(a)(ii) omitted (6.10.2002) by virtue of The Occupational Pension Schemes (Member-nominated Trustees and Directors) Amendment Regulations 2002 (S.I. 2002/2327), regs. 1(1), 4(a)(i)

[^key-ad1a72027deed095c1aa36a4450d6b04]: Words in reg. 2(1) substituted (30.12.1999) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1999 (S.I. 1999/3198), regs. 1(1), 7(2)(a)(i)

[^key-ad38b041a08bb1b1c4637e218481a270]: Sch. 3 para. 8 substituted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(14)(f) (with Sch. 1 para. 5(15))

[^key-af823b6e7d49b198af249945c23c671a]: Words in reg. 2(1) inserted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(2)(b) (with Sch. 1 para. 5(15))

[^key-b10953a5dcec0b1327df4dbbe045787d]: Sch. 3 para. 3(5)(a) substituted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(14)(e) (with Sch. 1 para. 5(15))

[^key-c02de3cdc302645de9431b3e7f020153]: Reg. 13(5)(ii) substituted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(8) (with Sch. 1 para. 5(15))

[^key-c9a329e0c46859ddf98d0e6d391fdfd6]: Words in reg. 2(1) inserted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(2)(d) (with Sch. 1 para. 5(15))

[^key-d45d37d09b5d3adddee19afe6e5abfca]: Words in reg. 15(2)(b)(ii) substituted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(9)(a) (with Sch. 1 para. 5(15))

[^key-d7bf976630113d7d24d9e70487737bc5]: Reg. 20(1)(d) substituted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(10)(a) (with Sch. 1 para. 5(15))

[^key-d7db4652ef632b367ce5a52fcab0360b]: Reg. 4(2) revoked (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(4), Sch. 2 (with Sch. 1 para. 5(15))

[^key-dbd63d72bdae2cb2f8d483359ec62f43]: Reg. 23(1) substituted (6.4.1997) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(11) (with Sch. 1 para. 5(15))

[^key-dca86c4a8d7996917b23767ba50f3e3f]: Word in reg. 2(1) inserted (30.12.1999) by The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1999 (S.I. 1999/3198), regs. 1(1), 7(2)(a)(ii)

[^key-e0841af4872fa7b2588760d1fb96a622]: Regulations revoked with savings (6.4.2006) by The Occupational Pension Schemes (Member-nominated Trustees and Directors) Regulations 2006 (S.I. 2006/714), regs. 1(1), 6, Sch. (with reg. 4)

[^key-eb10ca2c842d6553c13a4eb22dcdf3e3]: Words in Sch. 3 para. 3(3)(a)(i) substituted (6.10.2002) by The Occupational Pension Schemes (Member-nominated Trustees and Directors) Amendment Regulations 2002 (S.I. 2002/2327), regs. 1(1), 6(a)

[^key-ecad51cf1915e553c550b9f718b5f1c0]: Words in reg. 2(1) omitted (6.4.1997) by virtue of The Personal and Occupational Pension Schemes (Miscellaneous Amendments) Regulations 1997 (S.I. 1997/786), reg. 1, Sch. 1 para. 5(2)(a) (with Sch. 1 para. 5(15))

[^M_F_8cca45fc-f20d-418d-d0bc-ea4873c241ef]: Regulations revoked with savings (6.4.2006) by The Occupational Pension Schemes (Member-nominated Trustees and Directors) Regulations 2006 (S.I. 2006/714), regs. 1(1), 6, Sch. (with reg. 4)