29 Usc 1132

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29 U.S. Code § 1132 - Civil enforcement | U.S. Code | US Law | LII / Legal Information Institute

of section 1021 of this title (or, in the case of an employer, subsection
(l) of such section), or (B) to obtain appropriate equitable relief (i) to
redress such violation or (ii) to enforce such subsection.
(b) P

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(1) In the case of a plan which is qualified under section 401(a),
403(a), or 405(a) [2] of title 26 (or with respect to which an application
to so qualify has been filed and has not been finally determined) the
Secretary may exercise his authority under subsection (a)(5) with
respect to a violation of, or the enforcement of, parts 2 and 3 of this
subtitle (relating to participation, vesting, and funding), only if—
(A) requested by the Secretary of the Treasury, or
(B) one or more participants, beneficiaries, or fiduciaries, of such
plan request in writing (in such manner as the Secretary shall
prescribe by regulation) that he exercise such authority on their
behalf. In the case of such a request under this paragraph he may
exercise such authority only if he determines that such violation
affects, or such enforcement is necessary to protect, claims of
participants or beneficiaries to benefits under the plan.
(2) The Secretary shall not initiate an action to enforce section 1145 of
this title.
(3) Except as provided in subsections (c)(9) and (a)(6) (with respect
to collecting civil penalties under subsection (c)(9)), the Secretary is
not authorized to enforce under this part any requirement of part 7
against a health insurance issuer offering health insurance coverage in
connection with a group health plan (as defined in section 1191b(a)(1)
of this title). Nothing in this paragraph shall affect the authority of the
Secretary to issue regulations to carry out such part.
(c) A

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(1) Any administrator (A) who fails to meet the requirements of
paragraph (1) or (4) of section 1166 2 of this title, section 1021(e)(1)
of this title, section 1021(f) of this title, or section 1025(a) of this title
with respect to a participant or beneficiary, or (B) who fails or refuses
to comply with a request for any information which such administrator
is required by this subchapter to furnish to a participant or beneficiary
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29 U.S. Code § 1132 - Civil enforcement | U.S. Code | US Law | LII / Legal Information Institute

(unless such failure or refusal results from matters reasonably beyond
the control of the administrator) by mailing the material requested to
the last known address of the requesting participant or beneficiary
within 30 days after such request may in the court’s discretion be
personally liable to such participant or beneficiary in the amount of up
to $100 a day from the date of such failure or refusal, and the court
may in its discretion order such other relief as it deems proper. For
purposes of this paragraph, each violation described in subparagraph
(A) with respect to any single participant, and each violation described
in subparagraph (B) with respect to any single participant or
beneficiary, shall be treated as a separate violation.
(2) The Secretary may assess a civil penalty against any plan
administrator of up to $1,000 a day from the date of such plan
administrator’s failure or refusal to file the annual report required to be
filed with the Secretary under section 1021(b)(1) of this title. For
purposes of this paragraph, an annual report that has been rejected
under section 1024(a)(4) of this title for failure to provide material
information shall not be treated as having been filed with the
Secretary.
(3) Any employer maintaining a plan who fails to meet the notice
requirement of section 1021(d) of this title with respect to any
participant or beneficiary or who fails to meet the requirements of
section 1021(e)(2) of this title with respect to any person or who fails
to meet the requirements of section 1082(d)(12)(E) 2 of this title with
respect to any person may in the court’s discretion be liable to such
participant or beneficiary or to such person in the amount of up to
$100 a day from the date of such failure, and the court may in its
discretion order such other relief as it deems proper.
(4) The Secretary may assess a civil penalty of not more than $1,000
a day for each violation by any person of subsection (j), (k), or (l) of
section 1021 of this title or section 1144(e)(3) of this title.
(5) The Secretary may assess a civil penalty against any person of up
to $1,000 a day from the date of the person’s failure or refusal to file
the information required to be filed by such person with the Secretary
under regulations prescribed pursuant to section 1021(g) of this title.
(6) If, within 30 days of a request by the Secretary to a plan
administrator for documents under section 1024(a)(6) of this title, the
plan administrator fails to furnish the material requested to the
https://www.law.cornell.edu/uscode/text/29/1132

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