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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 January to 31 March 2019

Employer name City / town Amount paid 
Lough Services Ltd Lisburn £5,000
Simpson West Estate Agents Corby LLP Kettering £5,000
Frontier Market Intelligence Ltd London £700
Loch Striven Mussel Farms Ltd Dunoon £1,400
Dr Esther C Vasanth and Dr Vasanth Seshappa Manchester £1,400
Saisamarth Ltd Leeds £1,400
Elaaoudi Property Care Ltd Evesham £1,400

Unpaid EPNs subject to a Court Order

1 January to 31 March 2019

Employer name City / town Amount paid
Al-Ameen Foundation Birmingham £2,900
Basingstoke Railway Social Club Basingstoke £2,900
Bernard Jackson T/A Roti Stop London £5,400
Buen Gusto Ltd London £5,400
Epicure Number 2 Ltd London £15,800
First Class Care Ltd Nottingham £5,400
Garley Catering Services Ltd Kettering £3,000
Green TV Media Ltd Oxford £5,000
J and J Caravans Ltd Rhyl £5,400
Jayne Smith T/A Complexions Beauty Clinic Wallasy £5,400
John Gibb Plastering Ltd Crowborough £5,400
KJB Builders Ltd Wimslow £5,400
Katie Picco for Flowers Hemel Hempstead £1,900
L and L Estates Ltd Manchester £5,400
Mach one Engineering Ltd Aylesbury £3,400
Mayfair Security Ltd Southminster £2,400
Mr D B Mansfield T/A Derby Minibus Service Derby £2,500
Pebbles Day Nursey (Farnborough) Ltd Farnborough £2,400
Purple-I Ltd London £5,400
Receptek Ltd Grimbsy £5,400
Regent Motors Oldham Ltd Oldham £600
Rockstone Cherry Ltd T/A The Rockstone Romsey £1,700
Station Cars (Crystal Palace) Ltd t/a Station Cars London London £5,400
Swan Fleet Maintenance Batley £2,000
The Traditional Welsh Pub Company ltd Abertillery £5,900
Base Energy Services Ltd Bootle £3,000
Mobile Mini Ltd Stockton-On-Teas £10,000
Mr Kamal Joshi T/A St Budeaux News Plymouth £5,400
Rahmans (London) Ltd London £4,400
TSH Holdings Ltd Sheerness £2,200
Armstrong Legal Ltd T/A Armstrong and Co Romford £10,500
We Are Pronto (Norwich) Ltd Mossley £2,200

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 January to 31 March 2019

Scheme Professional trustee / pension professional Amount
Bentley Group Pol No Pe 64886   £500.20
Bentley Group Pol No Pe 64886   £500.40
Bentley Group Pol No Pe 64886   £500.40
St Edmundsbury and Ipswich DBf 801000   £503.70
Enghouse (UK) Ltd 1996 Retirement and Death Benefit Scheme Xlgp 57837   £501.00
The Kelvin Lodge Dental Practice Pension and Life Assurance Scheme EO342   £500.80
The Lloyd Northover Retirement Benefits Scheme 710758   £505.20
Overland Freight Group Money Purchase Plan K60482/L60482   £501.40
Surrey Ceramic Company Ltd 1981 Ebp Policy No: 006165   £501.30
Scotland Direct Pension Scheme 110808   £500.00
Lane Group Plc Pension Scheme   £500.30
The Cray Research (UK) Ltd 1994 Retirement Benefits Scheme   £513.40
CPJ Field and Co Ltd - Haine and Son Retirement Savings Scheme G 7569 N   £500.70
CPJ Field and Co Ltd - Haine and Son Retirement Savings Scheme G 7569 N   £501.40
CPJ Field and Co Ltd - Haine and Son Retirement Savings Scheme G 7569 N   £501.40
British Jewellery and Giftware Federation Retirement Benefits Scheme   £500.30
Macauley and Ritchie Executive Pension Plan 761009/47   £500.20
British Museum Company Ltd Supplementary Retirement Benefit Scheme   £503.30
British Museum Company Ltd Supplementary Retirement Benefit Scheme   £506.40
British Museum Company Ltd Supplementary Retirement Benefit Scheme   £506.20
Hill and Hay Ltd (Staff Scheme) 221092-4   £500.20
Pine Workshops Pension Scheme   £500.80
Liberator Ltd and Associated Companies Group Money Purchase Pension Plan 60684   £500.20
Cobelfret Ferries (UK) Ltd (1993) Pension and Life Assurance Scheme MP2168   £502.40
The ECT (1995) Pension Scheme JR3382   £504.20
The Ernest Cook Trust (1984) Retirement Security Plangsp 002643   £501.50
Klockner Steel Retirement Benefits Scheme H91625   £500.30
J Rose Ltd Retirement Benefits Scheme   £500.20
Glenkrag Ltd Group Money Purchase Plan 709119/47   £500.80
One North East London f(1ne)   £500.20
Insider Publications Ltd Retirement Benefits Scheme   £500.60
Supaflors Ltd Group Money Purchase Plan 708202   £501.00
The Chesapeake Ltd Pension Plan   £500.50
The Chesapeake Ltd Pension Plan   £500.80
The Chesapeake Ltd Pension Plan   £500.80
Faithdean Plc (1988) Rbs   £504.90
Faithdean Plc (1988) Rbs   £510.40
Faithdean Plc (1988) Rbs   £509.20
Humber Fabrics Ltd VIP Scheme   £500.20
The Galloway Granite Works Pension Scheme J/10085   £500.40
Langmeads of Flansham Ltd 7539360 7515221   £500.80
RBS AA Pension Scheme   £500.30
Sir John Fitzgerald Ltd Pension and L A Scheme G100455   £500.20
Henry Davison Ltd Pension Scheme   £505.70
Mayling Transport Ltd Pension Scheme Pol No: 53530   £500.30
Clipper Group Ltd Company Pension Scheme Cimp   £502.10
Corriemulzie and Oykel Pension and Life Assurance Scheme   £500.50
Corriemulzie and Oykel Pension and Life Assurance Scheme   £500.80
Corriemulzie and Oykel Pension and Life Assurance Scheme   £500.80
Project Link Gold Card Division Cash Accumulation Plan: Phoenix Life Scheme Number 0703207   £500.20
SGI-UK Employees Occupational Pension Scheme   £505.40
SGI-UK Employees Occupational Pension Scheme   £510.00
SGI-UK Employees Occupational Pension Scheme   £509.60
Minnitron Retirement Benefits Scheme   £500.60
Crosslinks Retirement Benefits Scheme   £500.60
Crosslinks Retirement Benefits Scheme   £500.60
Crosslinks Retirement Benefits Scheme   £500.80
The Boston Consulting Group Executive Pension Plan P00458-070-Be   £500.60
The Boston Consulting Group Executive Pension Plan P00458-070-Be   £500.60
The Boston Consulting Group Executive Pension Plan P00458-070-Be   £500.30
Corriemulzie and Oykel Pension and Life Assurance Scheme   £500.50
Corriemulzie and Oykel Pension and Life Assurance Scheme   £500.80
Corriemulzie and Oykel Pension and Life Assurance Scheme   £500.80
Coventry Diocesan Board of Finance Ltd Clergy Endowment Scheme   £505.00
Gepp and Sons Retirement Benefits Scheme   £500.40
Gepp and Sons Retirement Benefits Scheme   £500.20
Gepp and Sons Retirement Benefits Scheme   £500.40
Cladish and Company Ltd (1985) Retirement Security Plangsp 03745   £500.20
Cladish and Company Ltd (1985) Retirement Security Plangsp 03745   £500.80
Cladish and Company Ltd (1985) Retirement Security Plangsp 03745   £500.80
Luton Community Housing Ltd Retirement and Death Benefit Scheme F20213   £500.90
Stream International (NI) Ltd Employee Benefits Plan   £528.40
W Shirley and Sons Ltd Stafflink 62526   £500.30
Valletta Surfacing No 2 Retirement Benefits Scheme 151EP695   £500.50
Valletta Surfacing No 2 Retirement Benefits Scheme 151EP695   £500.40
Valletta Surfacing No 2 Retirement Benefits Scheme 151EP695   £500.40
LJ Irvine and Sons Ltd VIP Scheme 7470q   £501.00

Chair's statement fines – not compliant

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

1 January to 31 March 2019

Scheme name Professional trustee / pension professional Amount
Universities Superannuation Scheme
£2,000

Scheme return fine – failing to submit to us on time

1 January to 31 March 2019

No scheme return fines were issued during this period.