ADMINISTRATIVE PENALTIES

Interpretation Interpretation 1. (1) A provision that is listed in a Schedule to this Regulation without reference to a statute or regulation is a provision of the Act. O. Reg. 365/17, s. 1 (1). (2) In this Regulation, “Asset Transfers Regulation” means Ontario Regulation 310/13 (Asset Transfers under Sections 80 and 81 of the Act) made under the Act; (“règlement sur les transferts d’éléments d’actif”) “General Regulation” means Regulation 909 of the Revised Regulations of Ontario, 1990 (General) made under the Act. (“Règlement général”) “Target Benefits Regulation” means Ontario Regulation 386/24 (Target Benefits) made under the Act; (“règlement sur les prestations cibles”) “Written Policies Regulation” means Ontario Regulation 387/24 (Written Policies under Section 10 of the Act) made under the Act. (“règlement sur les politiques écrites”) O. Reg. 365/17, s. 1 (2); O. Reg. 392/24, s. 1. General Administrative Penalties Imposed under Section 108.2 of the Act Prescribed provisions 2. The provisions of the Act or of a regulation that are listed in Schedule 1 are prescribed for the purpose of imposing a general administrative penalty under section 108.2 of the Act. Determination of amount of penalty 3. (1) The Chief Executive Officer may determine the amount of an administrative penalty under section 108.2 of the Act, subject to the limits set out in section 108.4 of the Act. O. Reg. 365/17, s. 3 (1); O. Reg. 151/19, s. 1 (1). (2) The Chief Executive Officer shall consider only the following criteria when determining the amount of an administrative penalty to be imposed for either of the purposes set out in subsection 108.1 (2) of the Act: 1. The degree to which the contravention or failure was intentional, reckless or negligent. 2. The extent of the harm or potential harm to others resulting from the contravention or failure. 3. The extent to which the person who is contravening or not complying with or who has contravened or failed to comply with a provision tried to mitigate any loss or to take other remedial action. 4. The extent to which the person who is contravening or not complying with or who has contravened or failed to comply with a provision derived or reasonably might have expected to derive, directly or indirectly, any economic benefit from the contravention or failure. 5. Any other contraventions of or failures to comply with a requirement established under the Act or with the pension benefits legislation of a designated jurisdiction during the preceding five years by the person. O. Reg. 365/17, s. 3 (2); O. Reg. 151/19, s. 1 (1). Deadline for paying penalty 4. (1) A person on whom a penalty has been imposed by the Chief Executive Officer under subsection 108.2 (1) of the Act and who has not requested a hearing on the notice of the intended decision under subsection 108.2 (2) of the Act shall pay the penalty within 30 days after the person receives the order or such longer time as may be specified in the order. O. Reg. 365/17, s. 4 (1); O. Reg. 151/19, s. 1 (1). (2) If a person requests a hearing on the notice on the intended decision in accordance with subsection 108.2 (5) of the Act, the person shall, within 30 days after the matter is finally determined or such longer time as may be specified by order, pay any penalty imposed on the person. O. Reg. 365/17, s. 4 (2). Summary Administrative Penalties Imposed under Section 108.3 of the Act Prescribed provisions 5. The provisions of the Act or of a regulation that are listed in Column 1 of Schedule 2 are prescribed for the purpose of imposing a summary administrative penalty under section 108.3 of the Act. Daily penalty 6. Subject to the maximum amount specified in section 108.4 of the Act, the Chief Executive Officer may impose an administrative penalty in the amount that is set out in Column 2 of Schedule 2 opposite a provision set out in Column of 1 of the Schedule for each day on which the contravention of or failure to comply with the provision occurs or continues. O. Reg. 365/17, s. 6; O. Reg. 151/19, s. 1 (1). Deadline for paying penalty 7. (1) A person on whom an administrative penalty has been imposed by the Chief Executive Officer under subsection 108.3 (1) of the Act and who has not appealed the order under subsection 108.3 (4) of the Act shall pay the penalty within 30 days after the day the person receives the Chief Executive Officer’s order or such longer time period as may be specified in the order. O. Reg. 365/17, s. 7 (1); O. Reg. 151/19, s. 1. (2) A person who appeals the Chief Executive Officer’s order to impose an administrative penalty under subsection 108.3 (4) shall, if the order is confirmed or varied by the Tribunal, within 30 days after the matter is finally determined or such longer time as may be specified by order, pay any penalty imposed on the person. O. Reg. 365/17, s. 7 (2); O. Reg. 151/19, s. 1 (2). 8. Omitted (provides for coming into force of provisions of this Regulation). SCHEDULE 1 GENERAL ADMINISTRATIVE PENALTIES IMPOSED UNDER SECTION 108.2 OF THE ACT Item Provision 1. subsection 12 (1) 2. subsection 19 (3) 3. section 23 4. subsection 26 (5) 5. section 61 6. section 62 7. subsection 67.3 (4) 8. subsection 68 (2) 9. subsection 68 (4) 10. subsection 68 (4.1) 11. subsection 69 (3) 12. subsection 69 (4) 13. subsection 72 (1.1) 14. subsection 75.1 (1) 15. subsection 78 (1) 16. subsection 78 (2) 17. subsection 79.1 (1) 18. subsection 79.1 (2) 18.1 subsection 79.1 (3) 19. subsection 97 (2) 20. section 2 of the General Regulation 21. subsection 3 (3) of the General Regulation 22. subsection 3 (4) of the General Regulation 23. section 3.2 of the General Regulation 24. subsection 4 (4) of the General Regulation 24.1 subsection 4.1 (3) of the General Regulation 24.2 subsection 4.1 (7) of the General Regulation 24.3 subsection 4.1 (8) of the General Regulation 24.4 subsection 4.1 (11) of the General Regulation 24.5 subsection 4.1 (13) of the General Regulation 24.6 subparagraph 2 i of subsection 4.1 (22) of the General Regulation 24.7 subparagraph 2 ii of subsection 4.1 (22) of the General Regulation 25. subsection 5.4 (1) of the General Regulation 26. subsection 5.4 (2) of the General Regulation 27. subsection 5.4 (3) of the General Regulation 28. subsection 5.4 (4) of the General Regulation 29. subsection 5.4 (5) of the General Regulation 30. subsection 5.4 (6) of the General Regulation 31., 32. Revoked: O. Reg. 532/21, s. 1. 33. subsection 6 (3) of the General Regulation 34. clause 6 (5) (b) of the General Regulation 35. clause 6 (5) (c) of the General Regulation 36. clause 6 (5) (d) of the General Regulation 37. subsection 6.0.4 (7) of the General Regulation 38. subsection 6.0.4 (9) of the General Regulation 39. subsection 6.0.4 (10) of the General Regulation 39.1 subsection 6.0.6 (1) of the General Regulation 39.2 subsection 6.0.6 (3) of the General Regulation 40. section 6.1 of the General Regulation 41. subsection 6.2 (1) of the General Regulation 42. subsection 6.2 (2) of the General Regulation 43. subsection 6.2 (4) of the General Regulation 44. subsection 6.2 (5) of the General Regulation 45. subsection 12 (2) of the General Regulation 46. subsection 20 (2) of the General Regulation 47. subsection 22.1 (3) of the General Regulation 48. section 24 of the General Regulation 49. subsection 28 (2.1) of the General Regulation 50. subsection 28 (2.2) of the General Regulation 51. subsection 28 (4) of the General Regulation 52. subsection 28 (4.1) of the General Regulation 53. subsection 28 (5.1) of the General Regulation 54. subsection 28.1 (3) of the General Regulation 55. subsection 28.1 (5) of the General Regulation 56. subsection 29 (3) of the General Regulation 57. subsection 29.1 (1) of the General Regulation 58. Subsection 29.1 (4) of the General Regulation 59. subsection 29.2 (2) of the General Regulation 60. subsection 29.2 (3) of the General Regulation 61. subsection 29.2 (4) of the General Regulation 62. subsection 30.2 (6) of the General Regulation 63. subsection 30.2 (7) of the General Regulation 64. subsection 30.2 (10) of the General Regulation 65. subsection 30.2 (11) of the General Regulation 66. section 38 of the General Regulation 67. subsection 39 (1) of the General Regulation 67.1 paragraph 1 of subsection 39 (1.1) of the General Regulation 68. subsection 39 (2) of the General Regulation 69. subsection 40 (2) of the General Regulation 70. subsection 40.1 (2) of the General Regulation 71. subsection 40.1 (3) of the General Regulation 72. subsection 40.2 (2) of the General Regulation 73. subsection 40.2 (3) of the General Regulation 74. subsection 41 (2) of the General Regulation 75. subsection 43 (1.1) of the General Regulation 76. subsection 43(3) of the General Regulation 77. subsection 44 (1) of the General Regulation 78. subsection 44 (2) of the General Regulation 79. subsection 44 (4) of the General Regulation 80. subsection 45 (5) of the General Regulation 80.1 section 46.1 of the General Regulation 81. subsection 51.1 (7) of the General Regulation 82. section 57 of the General Regulation 83. subsection 76 (16) of the General Regulation 84. subsection 79 (1) of the General Regulation 85. subsection 7 (2) of Schedule 1.1 to the General Regulation 86. subsection 7 (7) of Schedule 1.1 to the General Regulation 87. subsection 13 (2) of Schedule 1.1 to the General Regulation 88. subsection 16 (1) of Schedule 1.1 to the General Regulation 89. subsection 17 (1) of Schedule 1.1 to the General Regulation 90. subsection 5 (2) of Schedule 3 to the General Regulation 91. subsection 5 (8) of Schedule 3 to the General Regulation 92. subsection 5 (9) of Schedule 3 to the General Regulation 93. subsection 10 (2) of Schedule 3 to the General Regulation 94. subsection 13 (1) of Schedule 3 to the General Regulation 95. subsection 14 (1) of Schedule 3 to the General Regulation 96. section 25 of Ontario Regulation 287/11 (Family Law Matters) 97. section 37 of Ontario Regulation 287/11 (Family Law Matters) 98. subsection 42 (2) of Ontario Regulation 287/11 (Family Law Matters) 99. section 6 of the Asset Transfers Regulation 100. section 15 of the Asset Transfers Regulation 101. subsection 16 (2) of the Asset Transfers Regulation 102. subsection 16 (5) of the Asset Transfers Regulation 103. section 17 of the Asset Transfers Regulation 104. subsection 21 (2) of the Asset Transfers Regulation 105. section 22 of the Asset Transfers Regulation 105.1 section 30 of the Asset Transfers Regulation 105.2 subsection 31 (2) of the Asset Transfers Regulation 105.3 subsection 31 (5) of the Asset Transfers Regulation 106. section 10 of Ontario Regulation 311/15 (Conversions and Transfers of Assets Under Section 80.4 of the Act and Conversions under Section 81.0.1 of the Act) 107. section 11 of Ontario Regulation 311/15 (Conversions and Transfers of Assets Under Section 80.4 of the Act and Conversions under Section 81.0.1 of the Act) 108. section 12 of Ontario Regulation 311/15 (Conversions and Transfers of Assets Under Section 80.4 of the Act and Conversions under Section 81.0.1 of the Act) 109. section 16 of Ontario Regulation 311/15 (Conversions and Transfers of Assets Under Section 80.4 of the Act and Conversions under Section 81.0.1 of the Act) 110. clause 5 (a) of the Target Benefits Regulation 111. subsection 10 (2) of the Target Benefits Regulation 112. clause 10 (7) (b) of the Target Benefits Regulation 113. clause 10 (7) (c) of the Target Benefits Regulation 114. subsection 7 (1) of the Written Policies Regulation O. Reg. 365/17, Sched. 1; O. Reg. 521/20, s. 1; O. Reg. 532/21, s. 1; O. Reg. 392/24, s. 2. SCHEDULE 2 SUMMARY ADMINISTRATIVE PENALTIES IMPOSED UNDER SECTION 108.3 OF THE ACT — PRESCRIBED DAILY PENALTY Item Column 1 Column 2 1. subsection 3 (2) of the General Regulation $200 2. subsection 13 (1) of the General Regulation $200 3. subsection 14 (10) of the General Regulation $200 4. subsection 16.1 (1) of the General Regulation $200 5. subsection 18 (1) of the General Regulation $100 6. subsection 32 (1) of the General Regulation $200 7. subsection 32.1 (1) of the General Regulation $200 8. subsection 76 (4) of the General Regulation $200 9. subsection 77 (1) of the General Regulation $100 10. subsection 78 (4) of the General Regulation $100 11. subsection 78 (5) of the General Regulation $100 12. subsection 78 (6) of the General Regulation $100