text:
PART 1
GENERAL
Citation, commencement and interpretation
1
1
This Order may be cited as the Financial Services and Markets Act 2000 (Transitional Provisions and Savings) (Civil Remedies, Discipline, Criminal Offences etc.) Order 2001 and comes into force on the day on which section 19 comes into force.
2
In this Order —
“ the Act ” means the Financial Services and Markets Act 2000;
“the 2BCD Regulations ” means the Banking Coordination (Second Council Directive) Regulations 1992 ;
“the Banking Act ” means the Banking Act 1987 ;
“the Building Societies Act ” means the Building Societies Act 1986 ;
“commencement” means the beginning of the day on which section 19 comes into force;
“the Financial Services Act ” means the Financial Services Act 1986 ;
“the Insurance Companies Act ” means the Insurance Companies Act 1982 ;
“investment business” has the same meaning as in the Financial Services Act;
“the ISD Regulations ” means the Investment Services Regulations 1995 ;
“recognised clearing house”, “recognised investment exchange”, “recognised professional body”, “recognised self-regulating organisation” and “recognised self-regulating organisation for friendly societies” have the same meanings as in the Financial Services Act;
“the Regulated Activities Order ” means the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 .
3
Any reference in this Order to a section, Part or Schedule is, unless the context otherwise requires, a reference to that section or Part of, or Schedule to, the Act.
PART 2
CIVIL REMEDIES
Remedial injunctions and restitution orders
2
1
Any requirement imposed before commencement by or under any of the provisions specified by paragraph (3) is to be treated as a relevant requirement for the purposes of section 380(2) and section 382.
2
An application under section 380(2) or 382 in relation to a contravention of a requirement mentioned in paragraph (1) may be made only by the Authority and, in relation to such an application —
a
section 380(2) has effect subject to paragraphs (4) to (6); and
b
section 382 has effect subject to paragraphs (7) to (11).
3
The provisions specified by this paragraph are —
a
section 3 of the Financial Services Act (prohibition of carrying on investment business without being authorised or exempt);
b
any rule or regulation made under Chapter V of Part I of that Act (conduct of investment business) ;
c
section 47 (misleading statements and practices), 56 (unsolicited calls) , 57 (restrictions on advertising) or 59 (employment of prohibited persons) of that Act;
d
section 50 of that Act (modifications of conduct of business and financial resources rules), including that section as it applied by virtue of paragraph 14(3) of Schedule 11 to that Act (friendly societies) ;
e
section 58(3) of that Act (exceptions from restrictions on advertising);
f
Chapter VI of Part I of that Act (powers of intervention), including that Chapter as it applied by virtue of paragraph 23 of Schedule 11 to that Act ;
g
section 91(2) of that Act (directions to authorised unit trust schemes);
h
section 130 of that Act (restriction on promotion of contracts of insurance);
i
any rule or regulation made under Schedule 11 to that Act;
j
paragraph 24 of Schedule 11 to that Act (requirement to furnish information);
k
any rule of a recognised self-regulating organisation to which the person concerned was subject and which regulated the carrying on by him of investment business;
l
any rule of a recognised self-regulating organisation for friendly societies to which the person concerned was subject and which regulated the carrying on by him of investment business;
m
any rule of a recognised professional body, recognised investment exchange or recognised clearing house to which the person was subject and which regulated the carrying on by him of investment business;
n
regulation 18 of the Open-Ended Investment Companies (Investment Companies with Variable Capital) Regulations 1996 ; and
o
section 3 of the Banking Act (restriction on acceptance of deposits) .
4
No order may be made under section 380(2) in relation to a contravention of a requirement imposed by section 3 of the Financial Services Act unless the court is satisfied that the person concerned contravened that requirement by entering into a transaction.
5
No order may be made under section 380(2) in relation to a contravention of a requirement imposed by or under a provision of any rule that is specified by paragraph (3)(m) unless the court is satisfied that the body, exchange or clearing house is unable or unwilling to take appropriate steps to require the person concerned to take steps to remedy the contravention.
6
The only order that the court may make under section 380(2) in relation to a contravention of a requirement imposed by section 3 of the Banking Act is an order requiring a person to repay the deposit forthwith or at such time as the court may direct and, in determining whether and, if so, on what terms, to make such an order, the court must have regard to the effect that repayment in acordance with the order would have on the solvency of the person concerned or otherwise on his ability to carry on his business in a manner satisfactory to his creditors.
7
No order may be made under section 382(1) in relation to the contravention of a requirement mentioned in paragraph (1) solely on the ground that a person has been knowingly concerned in such a contravention by another.
8
No order may be made under section 382(1) in relation to a contravention of a requirement imposed by section 3 of the Banking Act unless the court is satisfied that section 382(1)(a) is satisfied.
9
In deciding whether, and if so, on what terms, to make an order under section 382(1)(a) in relation to such a contravention, the court must have regard to the effect that payment in accordance with the order would have on the solvency of the person concerned or otherwise on his ability to carry on business in a manner satisfactory to his creditors.
10
Paragraph (11) applies if an application is made under section 382(1) in relation to a contravention of a requirement imposed by section 3 of the Financial Services Act.
11
For the purposes of section 382(1)(b), a person is not to be regarded as having suffered loss or been otherwise adversely affected as a result of the contravention unless the court is satisfied that —
a
he is an investor; and
b
he suffered the loss or has been adversely affected as a result of —
i
the contravention by the person concerned of section 47 or 56 of the Financial Services Act; or
ii
the failure of that person to act substantially in accordance with any of the rules or regulations made under Chapter V of Part I of that Act.
Restitution by the Authority
3
1
Paragraph (2) applies if —
a
an authorised person (within the meaning of the Act) was, immediately before commencement, a member of a recognised self-regulating organisation or a recognised self-regulating organisation for friendly societies;
b
the Authority is satisfied that before commencement he contravened a requirement imposed by a rule of that organisation which regulated the carrying on by him of investment business;
c
that organisation had, immediately before commencement, a power that corresponded to the power of the Authority under section 384(5) (power to order restitution) in relation to that contravention (or would have had such a power had an application been made to it by or on behalf of a person who had suffered loss or been otherwise adversely affected as a result of the contravention) but had not exercised that power in relation to that contravention; and
d
the Authority is satisfied that section 384(1)(b) is met in relation to that contravention.
2
The Authority may, subject to paragraph (3), exercise the power in section 384(5).
3
The Authority may exercise the power in section 384(5) in relation to a contravention of a requirement imposed by a rule of The Securities and Futures Authority Limited only on the application by or on behalf of a person who has suffered loss or been otherwise adversely affected as a result of the contravention.
Injunctions to prevent disposal of assets
4
1
Any requirement imposed by or under any of the provisions specified by paragraph (3) is to be treated as a relevant requirement for the purposes of section 380(3)(a).
2
An application under section 380(3) in relation to a contravention of a requirement mentioned in paragraph (1) may be made only by the Authority and, in relation to such an application, section 380(3) has effect subject to paragraph (4).
3
The provisions specified by this paragraph are —
a
section 3 (restriction on acceptance of deposits) , 18 (false statements as to authorised status) , 35 (fraudulent inducement to make a deposit), 67 (restriction on use of banking names) , 69 (restrictions on use of banking descriptions) , 71 (notices relating to names of institutions) or 77 (notices relating to names of overseas institutions) of the Banking Act;
b
regulations under section 32 (advertisement regulations) , 34 (unsolicited calls) or 80 (regulations imposing requirements on overseas-based banks) of that Act;
c
a direction under section 19 of that Act given before commencement; and
d
a restriction imposed under regulation 10 (power to restrict listed activities) or 23 (restriction on activities of UK subsidiaries) of the 2BCD Regulations.
4
An order made under section 380(3) in relation to a contravention of a requirement mentioned in paragraph (1) has effect only while the suspected contravention is being investigated.
Unenforceable contracts
5
1
Subsections (1) and (2) of section 26 apply to an agreement of the kind specified by paragraph (4) as they apply to an agreement of the kind specified in subsection (1) of that section (and so an agreement of the kind specified by paragraph (4) is unenforceable against the other party).
2
Subsections (1) and (2) of section 27 apply to an agreement of the kind specified by paragraph (5) as they apply to an agreement of the kind specified in subection (1) of that section (and so an agreement of the kind specified by paragraph (5) is unenforceable against the other party).
3
In this article, a “regulated agreement” is an agreement made before commencement, the making or performance of which by one party (“the relevant party”) constituted an activity which fell within any paragraph of Part II of Schedule 1 to the Financial Services Act and which was not excluded by Part III or IV of that Schedule (or the performance of which would have constituted such an activity but for any repeal of that Act).
4
The kind of agreement specified by this paragraph is any agreement which —
a
is a regulated agreement which was entered into by the relevant party in the course of carrying on investment business in contravention of section 3 of that Act; or
b
is a contract of insurance, other than a regulated agreement, which was entered into by a person before commencement in the course of carrying on insurance business (within the meaning of the Insurance Companies Act) in contravention of section 2 of that Act.
5
The kind of agreement specified by this paragraph is any regulated agreement where —
a
the relevant party was, at the time the agreement was made, an authorised person (within the meaning of the Financial Services Act) or an exempted person (within the meaning of that Act) in respect of the investment business in the course of which he entered into the agreement; and
b
the agreement was entered into in consequence of anything said or done by a person (“the third party”) in the course of investment business carried on by the third party in contravention of section 3 of that Act.
6
Section 28 (amount of compensation recoverable) applies to an agreement of the kind specified by paragraph (4) or (5) which is unenforceable because of section 26 or 27 (as applied by this Order) subject to the following modifications —
a
for subsection (5), substitute —
5
The issue is whether the person carrying on investment business (within the meaning of the Financial Services Act 1986) reasonably believed that his entering into the agreement did not constitute a contravention of section 3 of that Act, or, as the case may be, that the person carrying on insurance business (within the meaning of the Insurance Companies Act 1982) reasonably believed that his entering into the contract did not constitute a contravention of section 2 of that Act.
; and
b
for subsection (6), substitute —
6
The issue is whether the party who was, at the time the agreement was made, an authorised person or exempted person (within the meaning of the Financial Services Act 1986) knew that the agreement was entered into in consequence of anything said or done by the third party in contravention of section 3 of that Act.
.
PART 3
DISCIPLINARY POWERS
Public statements in respect of pre-commencement contraventions of the Financial Services Act
6
1
Paragraph (3) applies if —
a
the Authority considers that an authorised person contravened a pre-commencement provision that related to him before commencement; and
b
the Authority has not given a written notice under section 60(2) of the Financial Services Act in respect of that contravention.
2
Paragraph (3) also applies if —
a
the Authority considers that an authorised person contravened a pre-commencement friendly societies provision that related to him before commencement;
b
that person was, immediately before commencement, a regulated friendly society other than a member society; and
c
the Authority has not given a written notice under paragraph 21 of Schedule 11 to the Financial Services Act in respect of that contravention.
3
The Authority may exercise the power conferred by section 205 (public censure) as if the contravention of the pre-commencement provision or pre-commencement friendly societies provision were a contravention of a requirement imposed by or under the Act.
4
“Pre-commencement provision”, in relation to an authorised person (“A”), means —
a
if immediately before commencement A was a regulated person —
i
any rule or regulation made under Chapter V of Part I of the Financial Services Act;
ii
section 56 or 59 of that Act; or
iii
any condition imposed under section 50 of that Act;
b
if immediately before commencement A was an authorised person (within the meaning of that Act), any prohibition or requirement imposed under Chapter VI of Part I of that Act (powers of intervention);
c
if immediately before commencement A was a manager or trustee (within the meaning of that Act) of an authorised unit trust scheme (within the meaning of that Act), any direction given to an authorised unit trust scheme under section 91 of that Act (directions to authorised unit trust schemes); or
d
any direction under regulation 18 of the Open-Ended Investment Companies (Investment Companies with Variable Capital) Regulations 1996 to which A was subject.
5
“Pre-commencement friendly societies provision” means —
a
any rule or regulation made under Schedule 11 to the Financial Services Act;
b
section 56 or 59 of that Act;
c
any condition imposed under section 50 of that Act as it applied by virtue of paragraph 14(3) of Schedule 11 to that Act;
d
any prohibition or requirement imposed under Chapter VI of Part I of that Act as it applied by virtue of paragraph 23 of that Schedule; or
e
any requirement imposed by paragraph 24 of that Schedule.
6
For the purposes of paragraph (2)(b), “regulated friendly society” and “member society” have the meanings given by the Financial Services Act.
7
For the purposes of paragraph (4)(a), “regulated person” means any of —
a
an authorised person under the Financial Services Act by virtue of —
i
section 22 (authorised insurers) ;
ii
section 24 (operators and trustees of recognised schemes);
iii
section 25 (authorisation by the Authority) ; or
iv
section 31 (authorisation in other member State) ;
b
a European institution carrying on home-regulated investment business in the United Kingdom, within the meaning of the 2BCD Regulations; or
c
a European investment firm carrying on home-regulated investment business in the United Kingdom, within the meaning of the ISD Regulations.
Public statements in respect of pre-commencement contraventions of the rules of self-regulating organisations
7
1
Paragraph (2) applies if the Authority considers that —
a
an authorised person (within the meaning of the Act) was, immediately before commencement, a member of a recognised self-regulating organisation or a recognised self-regulating organisation for friendly societies;
b
that person contravened a requirement imposed by a rule of that organisation which regulated the carrying on by him of investment business; and
c
that organisation had, immediately before commencement, a power to make a statement corresponding to the power of the Authority under section 205 (public censure) in relation to that contravention but had not exercised that power in relation to that contravention.
2
The Authority may exercise the power conferred by section 205 as if the contravention of that requirement were a contravention of a requirement imposed by or under the Act.
Imposition of penalties in respect of pre-commencement contraventions of the rules of self-regulating organisations
8
1
Paragraph (2) applies if the Authority considers that —
a
an authorised person (within the meaning of the Act) was, immediately before commencement, a member of a recognised self-regulating organisation or a recognised self-regulating organisation for friendly societies;
b
that person contravened a requirement imposed by a rule of that organisation which regulated the carrying on by him of investment business (“a relevant pre-commencement requirement”); and
c
that organisation had, immediately before commencement, a power to impose a penalty corresponding to the power of the Authority under section 206 (financial penalties) in relation to that contravention but had not exercised that power in relation to that contravention.
2
The Authority may exercise the power conferred by section 206 as if the contravention of that relevant pre-commencement requirement were a contravention of a requirement imposed by or under the Act.
3
The Authority may not, in the case of any particular contravention of a relevant pre-commencement requirement, impose under section 206 a penalty that exceeds the penalty which the relevant recognised self-regulating organisation or recognised self-regulating organisation for friendly societies could have imposed in relation to that contravention immediately before commencement.
4
In exercising, or deciding whether to exercise, its powers under section 206 in relation to a contravention of a relevant pre-commencement requirement, the Authority must, in the case of any particular contravention, have regard to any statement issued by the relevant recognised self-regulating organisation or recognised self-regulating organisation for friendly societies of its policy with respect to the imposition of, and amount of, penalties which was in force at the time when the contravention in question occurred.
Disciplinary powers in relation to persons registered with self-regulating organisations
9
1
Paragraph (2) applies where —
a
a person was, immediately before commencement —
i
a registered person or former registered person for the purposes of the rules of The Securities and Futures Authority Limited (“ SFA rules”);
ii
a registered individual for the purposes of Rule 1.2(2) to (4) of Chapter IV of the rules of the Investment Management Regulatory Organisation Limited (“ IMRO rules”); or
iii
a registered individual or former registered individual for the purposes of the rules of the Personal Investment Authority Limited (“ PIA rules”);
b
it appears to the Authority that that person, before commencement, contravened a requirement imposed by a SFA, IMRO or PIA rule which applied to him in his capacity as a person who performed (or was to perform) a function of the kind which, if performed immediately after commencement, would have been a controlled function within the meaning of Part V (“a relevant pre-commencement requirement”); and
c
that organisation had, immediately before commencement, a power to make a statement or impose a penalty corresponding to the power of the Authority under section 66(3)(a) or (b) (imposition of penalties and statements of misconduct) in relation to that contravention but had not exercised that power in relation to that contravention.
2
The Authority may exercise the power conferred by subsection (3)(a) or (b) (as appropriate) of section 66 as if the person were guilty of misconduct within the meaning of subsection (2) of that section, subject to the condition specified by paragraph (3).
3
The condition specified by this paragraph is that where the person —
a
was, immediately before commencement —
i
a former registered person, for the purposes of the SFA rules,
ii
a person who had, before commencement, ceased to be a registered individual but who was treated as a registered individual for the purposes of Rule 1.2(2) to (4) of Chapter IV of the IMRO rules, or
iii
a former registered individual for the purposes of the PIA rules,
b
is a person, other than a person of the kind specified by sub-paragraph (a), who was not, immediately after commencement, an approved person (within the meaning of Part V), or
c
was, immediately after commencement, an approved person, but has ceased to be an approved person,
the Authority may not exercise the power conferred by section 66 in relation to a contravention of a relevant pre-commencement requirement after the relevant period has expired.
4
For the purposes of paragraph (3), the relevant period is the period in which the relevant, recognised self-regulating organisation had, before commencement, power to impose such a measure after a person ceased to be a registered person or registered individual (as the case may be), running from —
a
in the case of a person specified by paragraph (3)(a), the time at which the person ceased to be a registered person or registered individual;
b
in the case of a person specified by paragraph (3)(b), commencement;
c
in the case of a person specified by paragraph (3)(c), the time at which the person ceased to be an approved person.
5
For the purposes of section 66(4), if the Authority is proposing to take action under section 66 in relation to a contravention of a relevant pre-commencement requirement, the Authority is deemed to know of the misconduct on the first day on which the relevant recognised self-regulating organisation knew of the contravention of the requirement or had information from which the contravention could reasonably have been inferred.
6
The Authority may not, in the case of any particular contravention of a relevant pre-commencement requirement, impose under section 66 a penalty that exceeds the penalty which the relevant recognised self-regulating organisation could have imposed in relation to that contravention immediately before commencement.
7
In exercising, or deciding whether to exercise, its powers under section 66 in relation to a contravention of a relevant pre-commencement requirement, the Authority must, in the case of any particular contravention, have regard to any statement issued by the relevant recognised self-regulating organisation of its policy with respect to the impositon of, and amount of, penalties which was in force at the time when the contravention in question occurred.
PART 4
PROVISIONS RELATING TO THOSE FORMERLY AUTHORISED IN RELATION TO DEPOSIT TAKING
Saving of sections 19 and 20 of the Banking Act
10
1
The provisions of this article apply notwithstanding any repeal of section 19 or 20 of the Banking Act.
2
If, immediately before commencement, a former authorised institution was subject to a direction given under section 19 of that Act, that direction continues to have effect after commencement.
3
The Authority may, after commencement, give a former authorised institution a direction under section 19 of that Act where before commencement —
a
its authorisation under that Act had been revoked;
b
the former authorised institution had surrendered its authorisation under that Act;
c
the restricted authorisation of the institution had expired (other than by virtue of section 12(8) of that Act); or
d
a disqualification notice had been served on the institution under section 183 of the Financial Services Act.
4
Section 19(2), (5), (6) and (7) and section 20 of the Banking Act continue to have effect in relation to any direction which has been given (or is to be given) under section 19 of that Act as modified by paragraph (3) or which continues to have effect by virtue of paragraph (2), subject to the following modifications to section 20 —
a
in subsection (2), omit the words “, except one varying a previous direction with the agreement of the institution concerned” so far as they relate to section 20(2)(a);
b
in subsection (2)(a), for the words “section 27 below” substitute “article 10(5) of the Financial Services and Markets Act 2000 (Transitional Provisions and Savings) (Civil Remedies, Discipline, Criminal Offences etc.) Order 2001”;
c
in subsection (2)(b), for the words “section 19(3), (4) and (5)” substitute “section 19(5)”.
5
Where —
a
a person is aggrieved by a decision of the Authority after commencement to give him a direction under section 19 of the Banking Act or to vary a direction given to him under that section (whether given before or after commencement), or
b
the effect of such a decision of the Authority is to require the removal of a person as director, controller or manager (in each case, within the meaning of the Act) of a former authorised institution,
that person may refer the matter to the Tribunal.
6
Section 133 applies to a reference to the Tribunal under this article subject to the following modifications —
a
the reference in section 133(1) to “this Act” includes a reference to this article;
b
the reference in section 133(1)(a) to the “decision notice” includes a reference to the notice given under section 20(1) of the Banking Act and any copy of the direction given under section 20(3) of that Act;
c
for subsection (4), substitute —
4
On a reference the Tribunal may direct the Authority to give a different direction or to vary an existing direction in a different way.
;
d
subsections (6) to (9) are omitted.
7
Section 414 (service of notices) has effect as if section 20 of the Banking Act, to the extent that it requires any notice to be given, were a provision of the Act.
8
Sections 400 (offences by bodies corporate etc.), 401 (proceedings for offences) and 403 (jurisdiction and procedure in respect of offences) have effect as if any offence committed under section 19(6) of the Banking Act after commencement were an offence under the Act.
9
In proceedings for an offence under section 19 of the Banking Act committed after commencement it is a defence for the person charged to show that he took all reasonable precautions and exercised all due diligence to avoid the commission of such an offence by himself or any person under his control.
10
Part XXV has effect as if any requirement imposed by a direction given under section 19 of that Act after commencement were a relevant requirement.
11
In this article “former authorised institution” means any person who —
a
immediately before commencement did not hold an authorisation granted (or deemed to be granted) under section 9 of the Banking Act, but formerly held such an authorisation; and
b
is not and never has been an authorised person within the meaning of the Act.
Saving of sections 43A and 43B of the Building Societies Act
11
1
The provisions of this article apply notwithstanding any repeal of section 43A or 43B of the Building Societies Act .
2
If, immediately before commencement, a former authorised building society was subject to a direction, given under section 43A of that Act, that direction continues to have effect after commencement.
3
The Authority may, after commencement, give a former authorised building society a direction under section 43A of that Act where before commencement the authorisation of the society under the Building Societies Act had been revoked or its registration under that Act had been cancelled (including at the society’s request).
4
Section 43A(2), (3) and (6) to (8) and section 43B of that Act continue to have effect in relation to any direction which has been given (or is to be given) under section 43A of that Act as modified by paragraph (3) or which continues to have effect by virtue of paragraph (2), subject to the following modifications —
a
for each reference to the Building Societies Commission, substitute a reference to the Financial Services Authority;
b
in subsection (2) of section 43A, for paragraph (b) substitute —
b
may relate to any activities of the society, whether or not they are regulated activities (within the meaning of the Financial Services and Markets Act 2000);
;
c
in subsection (2)(a) of section 43B, for the words “section 46” substitute “article 11(5) of the Financial Services and Markets Act 2000 (Transitional Provisions and Savings) (Civil Remedies, Discipline, Criminal Offences etc.) Order 2001”;
d
in subsection (2)(b) of section 43B, for the words “section 43A(4), (5) and (6)” substitute “section 43A(6)”.
5
Where —
a
a person is aggrieved by a decision of the Authority to give him a direction under section 43A of the Building Societies Act,
b
the Authority, in deciding to give a direction under that section, makes a determination that a person is not a fit and proper person to hold or to remain in an office in the former authorised building society, or
c
the Authority imposes a requirement that any person be removed from an office in the former authorised building society,
that person may refer the matter to the Tribunal.
6
Section 133 applies to a reference to the Tribunal under this article subject to the following modifications —
a
the reference in section 133(1) to “this Act” includes a reference to this article;
b
the reference in section 133(1)(a) to the “decision notice” includes a reference to the notice given under section 43B of the Building Societies Act and any copy of the direction given under section 43B(3) of that Act;
c
for subsection (4), substitute —
4
On a reference the Tribunal may direct the Authority to give a direction imposing different requirements.
;
d
subsections (6) to (9) are omitted.
7
Section 414 (service of notices) has effect as if section 43B of the Building Societies Act, to the extent that it requires any notice to be given, were a provision of the Act.
8
Sections 400 (offences by bodies corporate etc.), 401 (proceedings for offences) and 403 (jurisdiction and procedure in respect of offences) have effect as if any offence committed under section 43A(7) of the Building Societies Act after commencement were an offence under the Act.
9
In proceedings for an offence under section 43A of the Building Societies Act committed after commencement it is a defence for the person charged to show that he took all reasonable precautions and exercised all due diligence to avoid the commission of such an offence by himself or any person under his control.
10
Part XXV has effect as if any requirement imposed by a direction given under section 43A of that Act after commencement were a relevant requirement.
11
In this article “former authorised building society” means any person who —
a
immediately before commencement did not hold an authorisation within the meaning of the Building Societies Act, but formerly held such an authorisation; and
b
is not and never has been an authorised person within the meaning of the Act.
Winding-up of former authorised institutions etc.
12
1
Section 367 (winding-up petitions) has effect as if —
a
the reference in subsection (1)(a) to a body which has been an authorised person included a reference to a body which —
i
is not and never has been an authorised person (within the meaning of the Act);
ii
has been an authorised institution within the meaning of the Banking Act;
iii
was not, immediately before commencement, authorised under that Act; and
iv
continues to have any liability in respect of deposits which it accepted when it was authorised under that Act;
b
the reference in subsection (1)(c) to a body which has carried on a regulated activity in contravention of the general prohibition included a reference to a company or partnership which has, before commencement, contravened section 3 of the Banking Act and which continues to have any liability in respect of deposits which it accepted in contravention of that enactment.
2
In that section as it has effect by virtue of paragraph (1), for subsections (4) and (5) substitute —
4
If a body is in default on an obligation to pay a sum due and payable in respect of a deposit, within the meaning of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (including any sum that would otherwise be excluded by article 6 of that Order), it is to be treated for the purpose of subsection (3)(a) as unable to pay its debts.
.
PART 5
CRIMINAL OFFENCES
Offences committed before commencement
13
1
Sections 401 (proceedings for offences) and 403 (jurisdiction and procedure in respect of offences) have effect as if each offence to which this article applies were an offence under the Act.
2
This article applies to any offence under any of the following provisions (or, where appropriate, subordinate legislation made under those provisions) which was committed before commencement —
a
the Financial Services Act;
b
the Banking Act;
c
the Insurance Companies Act;
d
the 2BCD Regulations;
e
the ISD Regulation;
f
section 9 or 43A of the Building Societies Act;
g
paragraph 3 of Schedule 3 to that Act;
h
section 31 of the Friendly Societies Act 1992 .
3
In any proceedings brought after commencement for an offence to which this article applies, the person charged may raise any defence or excuse which he would have been entitled to raise had the proceedings been brought before commencement, notwithstanding any repeal or revocation of any provisions specified in paragraph (2).
PART 6
INFORMATION GATHERING AND INVESTIGATIONS
Regulated persons
14
For the purposes of this Part —
“former regulated person” means any person who was, at any time before commencement, a regulated person but who is not, and never has been, an authorised person within the meaning of the Act;
“regulated person” means —
an authorised person within the meaning of the Financial Services Act;
an exempted person by virtue of section 43 (listed money market institutions) or section 44 (appointed representatives) of that Act;
an authorised institution within the meaning of the Banking Act;
a person who was authorised under section 3 or 4 of the Insurance Companies Act ;
a European institution within the meaning of the 2BCD Regulations;
a European investment firm within the meaning of the ISD Regulations;
an EC company within the meaning of the Insurance Companies Act which, by virtue of paragraph 1 or 8 of Schedule 2F to that Act , was able to carry on direct insurance business through a branch in the United Kingdom or provide insurance in the United Kingdom;
a friendly society which was authorised or treated as authorised for the purposes of Part IV of the Friendly Societies Act 1992, or which was permitted by virtue of section 31(2) or (3) of that Act to carry on any activities without authorisation under that Part; or
a building society which was authorised or treated as authorised for the purposes of the Building Societies Act.
Power to require information
15
1
Section 165 (Authority’s power to require information) has effect as if —
a
each reference to an authorised person (except the references in subsections (7)(b) and (8)) included a reference to a former regulated person; and
b
the reference in subsection (4) to information and documents reasonably required in connection with the exercise by the Authority of functions conferred on it by or under the Act were, so far as it relates to information and documents held by or on behalf of —
i
a former regulated person, or
ii
a person connected with such a person,
a reference to information and documents reasonably required in connection with the exercise by the Authority of functions conferred on the Authority by, or exercisable by the Authority by virtue of, this Order in relation to that former regulated person.
2
In determining whether a person is connected with a former regulated person under section 165(11), Part I of Schedule 15 has effect as if each reference to an authorised person were a reference to a former regulated person.
Reports by skilled persons
16
Section 166 (reports by skilled persons) has effect as if —
a
the reference in subsection (2)(d) to a person who has at any relevant time been a person falling within paragraph (a), (b), or (c) included a reference to a person who has at any relevant time been —
i
a regulated person (“A”);
ii
any other member of A’s group; or
iii
a partnership of which A is a member; and
b
so far as it relates to a requirement to be imposed under section 166 on any of the persons specified by paragraph (a), the reference in subsection (1) of that section to any matter about which the Authority has required or could require the provision of information or production of documents under section 165 were a reference to any matter about which the Authority has required or could require the provision of information or production of documents under section 165 by virtue of article 15 of this Order.
Appointment of persons to carry out general investigations
17
1
Section 167 (appointment of persons to carry out general investigations) has effect as if —
a
the reference in subsection (4) to a former authorised person, so far as it applies to paragraph (a) (but not paragraph (b)) included a reference to a former regulated person; and
b
the reference in paragraph (a) of that subsection to an authorised person included a reference to a regulated person.
2
The Authority may not exercise the power conferred on it by section 167 in relation to a former regulated person unless it considers that an investigation is reasonably required in connection with the exercise by the Authority of functions conferred on it by, or exercisable by the Authority by virtue of, this Order.
3
The Secretary of State may not exercise the power conferred on him by section 167 in relation to a former regulated person.
Appointment of persons to carry out investigations in particular cases
18
1
Section 168(3) applies if it appears to the Authority or the Secretary of State that there are circumstances suggesting that any person may have committed an offence under any of the following enactments or if it appears to the Authority that any person may have contravened any of the following enactments —
a
section 3, 47, 56 , 57 , 76 or 200(2) of the Financial Services Act;
b
section 3(1) or 18 of the Banking Act ;
c
section 2 or 72 of the Insurance Companies Act;
d
section 9 of, or paragraph 3 of Schedule 3 to, the Building Societies Act;
e
section 31 of the Friendly Societies Act 1992.
2
For the purposes of Part XI, a person appointed under section 168(3) as a result of paragraph (1) is to be treated as having been appointed as a result of subsection (2) of section 168.
3
Section 168(5) applies if —
a
it appears to the Authority or the Secretary of State that there are circumstances suggesting that any person may have committed an offence under any of the provisions specified by article 13 other than those specified by paragraph (1); or
b
it appears to the Authority that there are circumstances suggesting that —
i
any person may have contravened any of the provisions specified by article 2(3) other than those enactments specified by paragraph (1);
ii
an authorised person who was immediately before commencement a member of a recognised self-regulating organisation or recognised self-regulating organisation for friendly societies may have contravened a rule imposed by that organisation that regulated the carrying on by him of investment business; or
iii
a person who was, immediately before commencement, a person specfied by paragraph (1)(a) of article 9 may have contravened a requirement specified by paragraph (1)(b) of that article.
4
For the purposes of Part XI, a person appointed under section 168(5) as a result of paragraph (3) is to be treated as having been appointed as a result of subsection (4) of section 168.
PART 7
MISCELLANEOUS
Auditors
19
Section 345 (disqualification of auditors) has effect as if the reference to a duty imposed on an auditor under the Act included a reference to a duty imposed (whether before or, where applicable, after commencement) on an auditor under any of the following enactments —
a
section 109 of the Financial Services Act (communication by auditor with supervisory authorities) ;
b
section 47 of the Banking Act (communication by auditor with the Authority) ;
c
section 21A of the Insurance Companies Act (communications by auditor with the Treasury or the Secretary of State) ;
d
section 82 of the Building Societies Act (auditors' duties to Commission) ;
e
section 79 of the Friendly Societies Act 1992 (auditors' duties to Commission) .
Recognised professional bodies
20
1
Notwithstanding any repeal of section 18 of, or Schedule 3 to, the Financial Services Act (requirements for recognition of professional bodies) , the following provisions of that Schedule continue to have effect in relation to any body which was, immediately before commencement, a recognised professional body —
a
paragraphs 3 and 3A, so far as they relate to the carrying on of investment business before commencement;
b
sub-paragraphs (2) and (4) to (6) of paragraph 4;
c
sub-paragraph (3) of paragraph 4, so far as it relates to provision for disciplining members of the body;
d
paragraph 5, so far as it relates to investment business carried on before commencement;
e
paragraph 6, so far as it relates to the obligation to co-operate with the Authority in the exercise of functions conferred on it by or under the Act in relation to the supervision or regulation of investment business or other financial services (or any other person having responsibility for the supervision or regulation of such business or services) in so far as that obligation relates to investment business carried on before commencement by a person who held a certificate issued by that body for the purposes of Part I of the Financial Services Act.
2
Notwithstanding any repeal of section 211(3) of, or Schedule 15 to, the Financial Services Act (transitional provisions), sub-paragraphs (1) and (3) of paragraph 6 of that Schedule continue to have effect in relation to any rules which are required to be made by a body which was, immediately before commencement, a recognised professional body, so that the body can continue to satisfy the requirements of Schedule 3 to that Act which continue to have effect by virtue of paragraph (1).
3
For the purposes of section 380(1) and (2) (injunctions), any requirement imposed by the provisions of Schedule 3 to the Financial Services Act which continues to have effect by virtue of paragraph (1) is deemed to be a relevant requirement.
Information from former recognised professional bodies
21
The Authority may by notice in writing require any person who was, immediately before commencement, a recognised professional body to furnish it with information —
a
which relates to —
i
investment business carried on before commencement by a person who held a certificate issued by that body for the purposes of Part I of the Financial Services Act; or
ii
the regulation or supervision of that investment business; and
b
which the Authority reasonably requires for the exercise of functions conferred on it by or under the Act.
Tribunal proceedings that relate to the contravention of a rule
22
In any reference to, or proceedings before, the Tribunal, in any subsequent appeal under section 137 and in any proceedings under Part XXV, the validity of any rule of a recognised self-regulating organisation, a recognised self-regulating organisation for friendly societies, a recognised professional body, a recognised investment exchange or a recognised clearing house may, in accordance with any provisions that relate to such references, proceedings or appeals, be raised.
Tony McNulty
John Heppell
Two of the Lords Commissioners of Her Majesty’s Treasury
20th July 2001


type: legislation

jurisdiction: UK

text:
1
This Order may be cited as the Capital Allowances (Corresponding Northern Ireland Grants) Order 2001 and shall come into force on 1st April 2001.
2
The following grants, so far as they are made towards capital expenditure, are hereby declared to correspond to a grant made under Part II of the Industrial Development Act 1982 —
a
any grant made under Part III of the Industrial Development (Northern Ireland) Order 1982 , being a grant at a rate not exceeding 45 per cent. of the expenditure and being a grant made under an agreement entered into before 1st April 2003,
b
any grant made by the Local Enterprise Development Unit out of moneys granted under article 30 of the Industrial Development (Northern Ireland) Order 1982, being a grant at a rate not exceeding 45 per cent. of the expenditure and being a grant made under an agreement entered into before 1st April 2003,
c
so much of any grant so made at a higher rate as is equal to 45 per cent. of the expenditure.
Jim Dowd
Greg Pope
Two of the Lords Commissioners of Her Majesty’s Treasury
7th March 2001


text:
Citation and extent
1
1
This Order may be cited as the Care Standards Act 2000 (Commencement No. 10 (England) and Transitional, Savings and Amendment Provisions) Order 2001.
2
This Order extends to England only.
Interpretation
2
1
In this Order —
“the Act” means the Care Standards Act 2000;
“the 1957 Act” means the Nurses Agencies Act 1957 ;
“the 1984 Act” means the Registered Homes Act 1984 ;
“the 1989 Act” means the Children Act 1989 ;
“the No. 9 Order” means the Care Standards Act 2000 (Commencement No. 9 (England) and Transitional and Savings Provisions) Order 2001 ;
“mental nursing home” has the meaning given to it in section 22 of the 1984 Act;
“nursing home” has the meaning given to it in section 21 of the 1984 Act;
“residential care home” shall be construed in accordance with section 1(1) of the 1984 Act.
2
In this Order, a reference —
a
to a numbered article is to the article in this Order bearing that number;
b
in an article to a numbered paragraph is to the paragraph in that article bearing that number.
Appointed days
3
1
In this article, any reference to a section is a reference to a section of the Act, and any reference to a Schedule is a reference to a Schedule to the Act.
2
This article shall have effect subject to article 4.
3
1st April 2002 is the day appointed for the coming into force of —
a
section 116 and Schedule 4, in so far as they relate to paragraphs 1 to 4, 5(1), (3) and (8), 8 to 11, 14(3), (7) to (9), (10)(a), (11), (12), (16)(a) and (c), (17) to (21), (23)(a)(i) to (iii), (vi) and (vii) and (24) to (28), 15 to 18, 20, 23, 24(1) and (2) and 28 to 30 of that Schedule;
b
section 116 and Schedule 4, in so far as they relate to paragraph 21 of that Schedule, except for the words “and vulnerable adults” in that paragraph;
c
section 117 and Schedule 6, in so far as they relate to —
i
the National Assistance Act 1948 ;
ii
the London Government Act 1963 ;
iii
the Local Authority Social Services Act 1970 ;
iv
the Greater London Council (General Powers) Act 1981 ;
v
the Mental Health Act 1983 ;
vi
the Public Health (Control of Disease) Act 1984 ;
vii
the Greater London Council (General Powers) Act 1984 ;
viii
the provisions of the 1989 Act, except for the definition of “child minder”, specified in the right-hand column of Schedule 6, in so far as the repeal of those provisions is not already in force;
ix
the National Health Service and Community Care Act 1990 ;
x
the Registered Homes (Amendment) Act 1991 ;
xi
the Arbitration Act 1996 ;
xii
the Education Act 1996 ;
xiii
the Nurses, Midwives and Health Visitors Act 1997 .
4
1st July 2002 is the day appointed for the coming into force of section 117 and Schedule 6, in so far as they relate to the Local Government Act 1972 and the Nurses, Midwives and Health Visitors Act 1979 .
Transitional provisions
4
1
This paragraph applies to any undertaking which for the time being —
a
is a residential care home, nursing home or mental nursing home in respect of which —
i
a person is registered under Part I or II of the 1984 Act; and
ii
the registration of that person under that Act continues in force after 1st April 2002 in accordance with Schedule 1 to the No. 9 Order; or
b
is a home which is registered —
i
in a register kept for the purposes of section 60 of the 1989 Act; or
ii
under Part VIII of the 1989 Act, and
the registration in respect of which under that Act continues in force on or after 1st April 2002 in accordance with Schedule 1 to the No. 9 Order.
2
This Paragraph applies to any undertaking which for the time being is an agency for the supply of nurses within the meaning of the 1957 Act —
a
which a person is authorised to carry on by a licence which has been granted to him by a local authority under section 2 of that Act; and
b
in respect of which the licence so granted continues in force on or after 1st July 2002 in accordance with Schedule 1 to the No. 9 Order.
3
This paragraph applies to any community home —
a
in relation to which a person has applied in accordance with paragraph 15 of Schedule 1 to the No. 9 Order for registration under Part II of the Act as a person who carries on or manages a children’s home;
b
in respect of which, in accordance with paragraph 15 of that Schedule, section 11(1) to (3), (5) and (6) of the Act does not apply to that person.
4
An enactment which is amended by virtue of any provision in Schedule 4 to the Act brought into force under article 3(3)(a) shall, in so far as the enactment relates to —
a
any undertaking to which paragraph (1) applies; or
b
any community home to which paragraph (3) applies,
have effect in relation to that undertaking or community home, as the case may be, as if the amendment had not been made.
5
Any enactment which is repealed to any extent by virtue of any entry in Schedule 6 to the Act brought into force under article 3(3)(c) or (4) shall, in so far as it relates to —
a
any undertaking to which paragraph (1) or (2) applies; or
b
any community home to which paragraph (3) applies,
have effect in relation to that undertaking or community home, as the case may be, as if the enactment had not been repealed.
Amendment of the No. 9 Order
5
1
The No. 9 Order shall be amended in accordance with the following paragraphs of this article.
2
In article 3 of the No. 9 Order, in paragraph (7)(i), after the words “Protection of Children Act” on the first and third occasions on which they occur, there shall be added “1999”.
3
In Schedule 1 to the No. 9 Order —
a
in paragraph 6(1), after the words “sub-paragraph (2)” there shall be added the words “or (2A)”;
b
in paragraph 6, after sub-paragraph (2) there shall be inserted the following sub-paragraphs —
2A
This sub-paragraph applies where —
a
the existing provider is an individual; and
b
in the period commencing on 1st April 2001 and ending on 31st March 2002 —
i
the existing provider applied to be registered under Part I or II of the 1984 Act in respect of the existing undertaking, and his application for registration was granted; and
ii
the authority received a police check in relation to the existing provider.
2B
In sub-paragraph (2A) —
“police check” means a report, sent to the authority by, or by a person on behalf of, the chief officer of police or other member of a police force within the meaning of the Police Act 1996 , which indicates that —
in relation to the information provided about the existing provider, no record has been found of any police record relating to England or Wales; or
the information provided about the existing provider appears identical with the person whose record is attached to the report.
;
c
in paragraph 6(2)(a)(i), after the words “specified in” there shall be added the word “section”;
d
in paragraph 6(3)(c)(i)(bb), the words “issued to the person” shall be omitted;
e
in paragraph 11(3)(a), after the words “registered person” there shall be added the words “in writing before 13th November 2001”;
f
in paragraph 14(9)(b), the words “(except for the purpose of making subordinate legislation)” shall be omitted;
g
in paragraph 15(1)(a)(ii), the words “a children’s home, other than” shall be omitted.
4
At the end of the Schedule 1 to the No. 9 Order, the following paragraph shall be added —
Registered Homes Tribunal
16
Part III of the 1984 Act shall continue to have effect after 1st April 2002 in relation to any appeal to the Registered Homes Tribunal which —
a
is commenced before 1st April 2002; or
b
in accordance with this Schedule may be brought on or after 1st April 2002.
.
5
In Schedule 2 to the No. 9 Order, in paragraph 2(b), after the word “categories” the word “of” shall be omitted.
Signed by authority of the Secretary of State for Health
Jacqui Smith
Minister of State,
Department of Health
21st December 2001


text:
Title, extent and commencement
1
These Regulations may be cited as the Foot-and-Mouth Disease (Export of Vehicles) (Disinfection of Tyres) (Amendment) (No. 2) Regulations 2001; they extend to the United Kingdom and shall come into force at 11.45 p.m. on 4th April 2001.
Amendment to the Foot-and-Mouth Disease (Export of Vehicles) (Disinfection of Tyres) Regulations 2001
2
1
In regulation 1(2) of the Foot-and-Mouth Disease (Export of Vehicles) (Disinfection of Tyres) (No. 2) Regulations 2001 for the words “4th April 2001” there shall be substituted the words “19th April 2001”.
2
In regulation 2(1) of those Regulations for the definition of “the Decision” there shall be substituted —
“the Decision” means Commission Decision 2001/172/ EC concerning certain protection measures with regard to foot-and-mouth disease in the United Kingdom and repealing Decision 2001/145/EC , as amended by Commission Decision 2001/190/EC , Commission Decision 2001/209/EC , Commission Decision 2001/239/EC and Commission Decision 2001/268/EC ;
.
Hayman
Minister of State Ministry of Agriculture, Fisheries and Food
Signed at 1.15 p.m. 4th April 2001


text:
Citation, commencement and interpretation
1
1
This Order may be cited as the Huntingdonshire Primary Care Trust (Establishment) Order 2001 and shall come into force on 21st February 2001.
2
In this Order, unless the context otherwise requires —
“the Act” means the National Health Service Act 1977;
“Executive Committee” has the meaning given in regulation 1(2) of the Membership Regulations ;
“member”, “officer member” and “non-officer member” have the meanings given in regulation 1(2) of the Membership Regulations;
“Membership Regulations” means the Primary Care Trusts (Membership, Procedure and Administration Arrangements) Regulations 2000 ;
“operational date” is to be construed in accordance with paragraph 1(2) of Schedule 5A to the Act;
“preparatory period” is to be construed in accordance with paragraph 2(2) of Schedule 5A to the Act;
“the trust” means the Huntingdonshire Primary Care Trust established by article 2 of this Order.
Establishment and name of the Primary Care Trust
2
There is hereby established a Primary Care Trust which is to be called the Huntingdonshire Primary Care Trust.
Area of the trust
3
The trust shall be established for the area specified in the Schedule to this Order.
Members of the trust
4
1
The trust shall have, in addition to the chairman, 5 officer members and 5 non-officer members.
2
The non-officer members shall comprise the persons appointed by the Secretary of State under regulation 2(3) of the Membership Regulations.
3
The officer members shall comprise —
a
the persons who for the time being hold the offices of the Chief Executive and Director of Finance of the trust;
b
the person who for the time being holds the post of chairman of the Executive Committee of the trust;
c
2 persons appointed by the chairman of the trust following nomination by the Executive Committee of the trust.
Operational date of the trust
5
The trust’s operational date shall be 1st April 2001.
Limitations on the exercise of functions by the trust during the preparatory period
6
During the preparatory period the exercise of functions by the trust shall be limited to the following —
a
entering into NHS contracts;
b
entering into other contracts including contracts of employment; and
c
doing such other things as are reasonably necessary to enable it to begin to operate satisfactorily with effect from the operational date.
Assistance during the preparatory period
7
1
The Cambridgeshire Health Authority shall meet the costs of the trust performing its functions during the preparatory period by discharging such of the liabilities of the trust incurred during that period as are of a description specified in paragraph (2) and do not in aggregate exceed such amount as may be notified by the Authority to the trust.
2
The liabilities referred to in the preceding paragraph are —
a
liability for the remuneration and travelling or other allowances of the chairman and members of the trust;
b
liability for the travelling or other allowances of the members of committees and sub-committees of the trust who are not also members of the trust;
c
liability for the remuneration of officers of the trust; and
d
any other liability which may reasonably be incurred by the trust for the purpose of enabling it to begin to operate satisfactorily with effect from its operational date.
3
The Cambridgeshire Health Authority shall make available officers of the Authority to the trust during the preparatory period.
4
The Hitchingbrooke Health Care National Health Service Trust shall make available to the trust during the preparatory period —
a
premises and other facilities of the NHS trust; and
b
staff of the NHS trust.
Signed by authority of the Secretary of State
Hunt
Parliamentary Under Secretary of State,
Department of Health
11th February 2001


text:
Citation, commencement and effect
1
1
These Regulations may be cited as the Income Tax (Electronic Communications) (Incentive Payments) Regulations 2001 and shall come into force on 1st February 2001.
2
Nothing in these Regulations affects the operation of the Electronic Lodgement of Tax Returns Order 1997 or the Income Tax (Electronic Communications) Regulations 2000 .
Interpretation
2
In these Regulations —
“ the Board ” means the Commissioners of Inland Revenue;
“employer” means any person paying emoluments;
“ Employments Regulations ” means the Income Tax (Employments) Regulations 1993 ;
“incentive payment” means a payment by way of an incentive to use electronic communications for the delivery of information under regulation 3, 4 or 5;
“the Management Act ” means the Taxes Management Act 1970 ;
“tax credit” means working families' tax credit or, as the case may be, disabled person’s tax credit .
Incentive payment — return under sections 8 and 9 of the Management Act
3
1
The Board shall make an incentive payment in the amount of £10 to any individual who —
a
makes and delivers a return under sections 8 and 9 of the Management Act for a year of assessment using electronic communications, and
b
satisfies the conditions specified in any direction given by the Board under paragraph (2).
2
The Board may give a direction specifying any or all of the following conditions —
a
a condition that the year of assessment for which the return is to be made and delivered is one specified in the direction,
b
a condition specifying the form of electronic communication by which the return is to be delivered,
c
a condition that the individual by whom the return is to be made and delivered is one who is authorised to use the form of electronic communication specified in the direction,
d
a condition that where the individual by whom the return is made and delivered becomes liable to pay an amount by way of income tax for the year of assessment concerned, the payment or, if more than one, at least one of the payments, made by him in meeting that liability is made using one of the forms of electronic payment specified in the direction,
e
a condition that the return is made and delivered using the form of electronic communication specified in the direction,
f
a condition that the return is made and delivered by the individual on or before the day mentioned in section 8(1A) of the Management Act,
g
a condition that any amount payable by way of income tax by the individual for the year of assessment concerned is paid in accordance with the provisions for payment of income tax contained in sections 59A and 59B of the Management Act .
3
Where an officer of the Board considers that the individual has failed to satisfy one or more of the conditions specified in the direction, he may give notice to the individual that the conditions are not met or, where the incentive payment has already been authorised or made, notice withdrawing the incentive payment.
4
Where prior to the giving of a notice under paragraph (3) an incentive payment has already been made to the individual, an officer of the Board may recover the amount of the incentive payment in accordance with paragraph (5).
5
For the purposes of paragraph (4), subsections (1), (4), (5) and (6) of section 30 of the Management Act (recovery of overpayment of tax, etc ) and section 30A of that Act (assessing procedure) shall apply as if the amount of the incentive payment to be recovered were an amount of income tax repaid to that individual which ought not to have been repaid to him.
6
The Board may give a direction relating to appeals against notices under paragraph (3) and appeals against assessments made in pursuance of paragraph (5).
Incentive payment — return under regulation 43 of the Employments Regulations
4
1
The Board may make an incentive payment in the amount of £50 to any employer who —
a
renders a return under regulation 43 of the Employments Regulations for a year of assessment using electronic communications, and
b
satisfies the conditions specified in any direction given by the Board under paragraph (2).
2
The Board may give a direction specifying any or all of the following conditions —
a
a condition that the year of assessment for which the return is to be rendered is one specified in the direction,
b
a condition specifying the form of electronic communication by which the return is to be rendered,
c
a condition that the employer by whom the return is to be rendered is one who is authorised to use the form of electronic communication specified in the direction,
d
a condition that at least one of the payments made by the employer under regulation 40 or 41 of the Employments Regulations in the year of assessment concerned is made using one of the forms of electronic payment specified in the direction,
e
a condition that the return is rendered by the employer, or by an agent of the employer authorised to render the return, using the form of electronic communication specified in the direction,
f
a condition that, where the return is rendered by the employer’s agent on the employer’s behalf —
i
the employer has registered on line to use the form of electronic communication specified in the direction,
ii
the employer has used that form of electronic communication to notify the Board of his agent’s name and address, and
iii
his agent is authorised by him to render the return on his behalf and to use that form of electronic communication,
g
a condition that the return is rendered not later than the end of the period mentioned in regulation 43(1) of the Employments Regulations,
h
a condition that each of the payments required to be made by the employer under regulation 40 or 41 for the year of assessment concerned is made not later than the end of the period mentioned in regulation 40(1) or, as the case may be, regulation 41(1).
3
Where an officer of the Board considers that the employer has failed to satisfy one or more of the conditions specified in the direction, he may give notice to the employer that the conditions are not met or, where the incentive payment has already been authorised or made, notice withdrawing the incentive payment.
4
When prior to the giving of a notice under paragraph (3) an incentive payment has already been made to the employer, an officer of the Board may recover the amount of the incentive payment in accordance with paragraph (5).
5
For the purposes of paragraph (4), subsections (1), (4), (5) and (6) of section 30 of the Management Act and section 30A of that Act shall apply as if the amount of the incentive payment to be recovered were an amount of income tax repaid to a person which ought not to have been repaid to him.
6
The Board may give a direction relating to appeals against notices under paragraph (3) and appeals against assessments made in pursuance of paragraph (5).
Incentive payment — return of payments of tax credit
5
1
The Board shall make an incentive payment in the amount of £50 to any employer who —
a
pays tax credit to one or more of his employees during a year of assessment,
b
in accordance with regulation 6(7) of the Tax Credits (Payment by Employers) Regulations 1999 records on the certificate contained in a return under regulation 43 of the Employments Regulations the total tax credit paid to his employees for that year,
c
renders that return using electronic communications, and
d
satisfies the conditions specified in any direction given by the Board under paragraph (2).
2
The Board may give a direction specifying any or all of the following conditions —
a
a condition that the year of assessment for which the return is to be rendered is one specified in the direction,
b
a condition specifying the form of electronic communication by which the return is to be rendered,
c
a condition that the employer by whom the return is to be rendered is one who is authorised to use the form of electronic communication specified in the direction,
d
a condition that the employer satisfies each of the conditions specified in a direction made under regulation 4(2) of these Regulations,
e
a condition that the employer has paid tax credit in the year of assessment concerned in accordance with regulation 6 of the Tax Credits (Payment by Employers) Regulations 1999 (obligation to pay tax credit on paying emoluments to employees entitled to tax credit).
3
Where an officer of the Board considers that the employer has failed to satisfy one or more of the conditions specified in the direction, he may give notice to the employer that the conditions are not met or, where the incentive payment has already been authorised or made, notice withdrawing the incentive payment.
4
Where prior to the giving of a notice under paragraph (3) an incentive payment has already been made to the employer, an officer of the Board may recover the amount of the incentive payment in accordance with paragraph (5).
5
For the purposes of paragraph (4), subsections (1), (4), (5) and (6) of section 30 of the Management Act and section 30A of that Act shall apply as if the amount of the incentive payment to be recovered were an amount of income tax repaid to a person which ought not to have been repaid to him.
6
The Board may give a direction relating to appeals against notices under paragraph (3) and appeals against assessments made in pursuance of paragraph (5).
Tim Flesher
Dave Hartnett
Two of the Commissioners of Inland Revenue
11th January 2001


text:
Citation, commencement and effect
1
1
These Regulations may be cited as the Income Tax (Deposit-takers) (Interest Payments) (Amendment) Regulations 2001 and shall come into force on 9th March 2001.
2
Regulations 4 to 7 shall have effect in relation to payments of interest by deposit-takers falling within regulation 3 of the principal Regulations that are made or received on or after 6th April 2001.
3
Regulation 8 shall have effect in relation to declarations under section 481(5)(k) of the Income and Corporation Taxes Act 1988 (declaration that person beneficially entitled to payment of interest is not ordinarily resident in the United Kingdom) that are made on or after 6th April 2001.
Interpretation
2
In these Regulations “the principal Regulations” means the Income Tax (Deposit-takers) (Interest Payments) Regulations 1990 .
Amendments to the principal Regulations
3
Amend the principal Regulations in accordance with the following provisions of these Regulations.
4
In regulation 2 after the definition of “depositor” insert the following definitions —
“electronic communication” includes any communication by means of a telecommunication system (within the meaning of the Telecommunications Act 1984 );
“electronic signature” has the meaning given by section 7(2) of the Electronic Communications Act 2000 ;
.
5
Renumber regulation 5 as paragraph (1) of that regulation.
6
In regulation 5(1) (as renumbered) —
a
in sub-paragraph (c)(i) for “663” substitute “660B” ;
b
in sub-paragraph (e)(ii) omit the words “in writing”.
7
After regulation 5(1) (as renumbered) add the following paragraphs —
2
A certificate given in accordance with paragraph (1), and a notification given under sub-paragraph (e) of that paragraph, if in writing, shall be signed by the maker of the certificate or notification (“the relevant person”).
3
Where a certificate referred to in paragraph (2) is not in writing, the deposit-taker concerned may —
a
make a declaration in writing on behalf of the relevant person that the particulars contained in the certificate are those recorded in the declaration, and
b
send a copy of the declaration to the relevant person.
4
Subject to any corrections notified by the relevant person to the deposit-taker within the period of 30 days following the date on which the copy of the declaration referred to in paragraph (3) was sent to the relevant person, and incorporated in a revised declaration made by the deposit-taker, any such declaration shall take effect as from the date on which the copy of it was sent to the relevant person in accordance with that paragraph.
5
A certificate or notification referred to in paragraph (2) shall be regarded as being given in writing for the purposes of this regulation if it is given —
a
by telephonic facsimile transmission, or
b
by electronic communication containing an electronic signature of the relevant person.
6
A declaration made by the deposit-taker in accordance with paragraph (3) shall be regarded as made in writing for the purposes of this regulation if it is produced by electronic means; and the copy of a declaration to be sent to the relevant person in accordance with paragraph (3) may be sent by telephonic facsimile transmission or by electronic communication.
.
8
After regulation 13 add the following regulation —
Form of declaration under section 481(5)(k) of the Taxes Act
14
1
Notwithstanding section 481(5)(k) of the Taxes Act (declaration that person beneficially entitled to deposit interest is not ordinarily resident in the United Kingdom to be made in writing), a declaration under that provision may be made by means of electronic communication.
2
Where a declaration under that provision (“the original declaration”) is not in writing, the deposit-taker may —
a
make a declaration in writing (“the deposit-taker declaration”), on behalf of the person who made the original declaration, that the particulars contained in the original declaration are those recorded in the deposit-taker declaration, and
b
send a copy of the deposit-taker declaration to that person.
3
Subject to any corrections notified by that person to the deposit-taker within the period of 30 days following the date on which the copy of the deposit-taker declaration was sent to that person, and incorporated in a revised declaration made by the deposit-taker, the deposit-taker declaration shall take effect as from the date on which the copy of it was sent to that person.
4
A declaration shall be regarded as given in writing for the purposes of this regulation if it is given —
a
by telephonic facsimile transmission, or
b
by electronic communication containing an electronic signature of the person making it.
5
A deposit-taker declaration made in accordance with paragraph (2) or (3) of this regulation shall be regarded as made in writing if it is produced by electronic means; and the copy of the deposit-taker declaration to be sent to a person in accordance with paragraph (2)(b) may be sent by telephonic facsimile transmission or by electronic communication.
.
Tim Flesher
Dave Hartnett
Two of the Commissioners of Inland Revenue
15th February 2001


text:
1
This Order may be cited as the Education (Inspectors of Schools in England) Order 2001 and shall come into force on 15th March 2001.
2
The persons named in the Schedule to this Order are hereby appointed Her Majesty’s Inspectors of Schools in England with effect from 15th March 2001.
A. K. Galloway
Clerk of the Privy Council


text:
Citation, commencement and application
1
1
These Regulations may be cited as the Financial Services and Markets Act 2000 (Treatment of Assets of Insurers on Winding Up) Regulations 2001 and come into force on the relevant day.
2
These Regulations apply to the winding up of an insurer which commences on or after the relevant day.
Interpretation
2
In these Regulations —
“ the Act ” means the Financial Services and Markets Act 2000;
“contract of long-term insurance” has the meaning given by article 3(1) of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 ;
“insurer” has the meaning given by article 2 of the Financial Services and Markets Act 2000 (Insolvency) (Definition of “Insurer”) Order 2001 ;
“the relevant day” means the day on which section 19 of the Act comes into force.
Treatment of assets
3
1
Where an insurer is being wound up —
a
the assets representing the fund or funds maintained by the insurer in respect of its business of effecting or carrying out any contract of long-term insurance are to be available only for meeting the liabilities of the insurer attributable to that business; and
b
the other assets of the insurer are to be available only for meeting the liabilities of the insurer attributable to its other business.
2
Where the value of the assets mentioned in either sub-paragraph of paragraph (1) exceeds the amount of the liabilities mentioned in that sub-paragraph, the restriction imposed by that paragraph does not apply to so much of those assets as represents the excess.
General meetings of creditors
4
In relation to the assets falling within either sub-paragraph of regulation 3(1), the creditors mentioned in section 168(2) of the Insolvency Act 1986 or, as the case may be, Article 143(2) of the Insolvency (Northern Ireland) Order 1989 are to be only those who are creditors in respect of liabilities falling within that sub-paragraph; and, accordingly, any general meetings of creditors summoned for the purposes of that section (or, as the case may be, that Article) are to be separate general meetings of the creditors in respect of the liabilities falling within each sub-paragraph.
John Heppell
Tony McNulty
Two of the Lords Commisioners of Her Majesty’s Treasury
23rd August 2001


text:
Citation, commencement and interpretation
1
1
These Regulations may be cited as the Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001, and come into force on the day on which section 19 of the Act comes into force.
2
In these Regulations —
“buy”, “sell”, “security” and “contractually based investment” have the same meaning as in the Regulated Activities Order ;
“other counterparties” means persons other than the principal;
“the principal”, in relation to a contract, means the party who is an authorised person, and “the representative” means the other party;
“the Regulated Activities Order” means the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 .
Descriptions of business for which appointed representatives are exempt
2
Any business which comprises —
a
an activity of the kind specified by article 25 of the Regulated Activities Order (arranging deals in investments), where the arrangements are for or with a view to transactions relating to securities or contractually based investments;
b
an activity of the kind specified by article 40 of that Order (safeguarding and administering investments), where the activity consists of arranging for one or more other persons to safeguard and administer assets;
c
an activity of the kind specified by article 53 of that Order (advising on investments); or
d
an activity of the kind specified by article 64 of that Order (agreeing to carry on activities), so far as relevant to an activity falling within paragraph (a), (b) or (c);
is prescribed for the purposes of subsection (1)(a)(i) of section 39 of the Act (exemption of appointed representatives).
Requirements applying to contracts between authorised persons and appointed representatives
3
1
For the purposes of subsection (1)(a)(ii) of that section, it is a prescribed requirement that the contract between the principal and the representative must (unless it prohibits the representative from representing other counterparties) contain a provision enabling the principal to —
a
impose such a prohibition; or
b
impose restrictions as to the other counterparties which the representative may represent, or as to the types of investment in relation to which the representative may represent other counterparties.
2
For the purposes of paragraph (1) a representative is to be treated as representing other counterparties where he —
a
makes arrangements (in circumstances constituting the carrying on of an activity of the kind specified by article 25 of the Regulated Activities Order) for persons to enter (or with a view to persons entering) into investment transactions with other counterparties;
b
arranges (in circumstances constituting the carrying on of an activity of the kind specified by article 40 of that Order) for other counterparties to safeguard and administer assets; or
c
gives advice (in circumstances constituting the carrying on of an activity of the kind specified by article 53 of that Order) on the merits of entering into investment transactions with other counterparties;
where an “investment transaction” means a transaction to buy, sell, subscribe for or underwrite an investment which is a security or a contractually based investment.
Greg Pope
Clive Betts
Two of the Lords Commissioners of Her Majesty’s Treasury
28th March 2001


text:
Citation, commencement and interpretation
1
These Rules may be cited as the Civil Procedure (Amendment No. 5) Rules 2001 and shall come into force —
a
for the purposes of rules 2, 37, 38 and 40, and this rule, on 14th January 2002;
b
for the purposes of rules 4 to 6, 9, 10, 13, 14, 18, 35 and 41, on 1st March 2002; and
c
for all other purposes, on 25th March 2002.
2
In these Rules —
a
a reference to a Part or rule by number alone means the Part or rule so numbered in the Civil Procedure Rules 1998 ;
b
a reference to an Order by number and prefixed by “ RSC ” means the RSC Order so numbered in Schedule 1 to those Rules; and
c
a reference to an Order by number and prefixed by “ CCR ” means the CCR Order so numbered in Schedule 2 to those Rules.
Amendments to the Civil Procedure Rules 1998
3
In rule 2.3, in paragraph (2), for “relevant” substitute “rule or”.
4
In rule 6.18 —
a
for sub-paragraph (g), substitute —
g
“domicile” is to be determined —
i
in relation to a Convention territory, in accordance with sections 41 to 46 of the 1982 Act;
ii
in relation to a Regulation State, in accordance with the Judgments Regulation and paragraphs 9 to 12 of Schedule 1 to the Civil Jurisdiction and Judgments Order 2001;
;
b
at the end of sub-paragraph (h), delete “and”; and
c
after sub-paragraph (i), insert —
j
“the Judgments Regulation” means Council Regulation ( EC ) No. 44/2001 of 22nd December 2000 on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters; and
k
“Regulation State” in any provision, in the application of that provision in relation to the Regulation, has the same meaning as “Member State” in the Judgments Regulation, that is all Member States except Denmark.
.
5
In rule 6.19(1)(a), for “any part of the United Kingdom”, substitute “any other part of the United Kingdom”.
6
After rule 6.19(1) insert —
1A
A claim form may be served on a defendant out of the jurisdiction where each claim included in the claim form made against the defendant to be served is a claim which the court has power to determine under the Judgments Regulation and —
a
no proceedings between the parties concerning the same claim are pending in the courts of any other part of the United Kingdom or any other Regulation State; and
b
i
the defendant is domiciled in the United Kingdom or in any Regulation State;
ii
Article 22 of the Judgments Regulation refers to the proceedings; or
iii
the defendant is a party to an agreement conferring jurisdiction to which Article 23 of the Judgments Regulation refers.
.
7
In rule 6.20 —
a
omit the cross-reference after paragraph (15); and
b
after the cross-reference after paragraph (17), insert —
Admiralty claims
17A
a claim is —
a
in the nature of salvage and any part of the services took place within the jurisdiction; or
b
to enforce a claim under section 153, 154 or 175 of the Merchant Shipping Act 1995 .
.
8
In rule 6.21, after paragraph (4), insert —
(The second practice direction to this Part sets out how the periods referred to in paragraphs (a), (b) and (c) are calculated.)
.
9
In rule 6.22 —
a
in paragraph (2) —
i
after “6.19(1)” insert “or (1A)”; and
ii
after “Contracting State” insert “or Regulation State”; and
b
in paragraph (4), after “6.19(1)” insert “or (1A)”.
10
In rule 6.23 —
a
in paragraph (2) —
i
after “6.19(1)” insert “or (1A)”; and
ii
after “Contracting State” insert “or Regulation State”; and
b
in paragraph (4), after “6.19(1)” insert “or (1A)”.
11
In rule 8.3, omit paragraph (4).
12
In Part 11 —
a
in rule 11(4), for paragraph (a), substitute —
a
be made within 14 days after filing an acknowledgment of service; and
;
b
after rule 11(4), omit the cross-reference;
c
in rule 11(5), for “for filing a defence” substitute “specified in paragraph (4)”;
d
for rule 11(9) substitute —
9
If a defendant makes an application under this rule, he must file and serve his written evidence in support with the application notice, but he need not before the hearing of the application file —
a
in a Part 7 claim, a defence; or
b
in a Part 8 claim, any other written evidence.
; and
e
omit rule 11(10).
13
In rule 12.10 —
a
in paragraph (b)(i) —
i
after “6.19(1)” insert “or (1A)”; and
ii
omit “under the Civil Jurisdiction and Judgments Act 1982 ”; and
b
in paragraph (b)(ii), after “Convention territory” insert “or Regulation State”.
14
In rule 12.11 —
a
in paragraph (4), for sub-paragraph (a) substitute —
a
the claim under the Civil Jurisdiction and Judgments Act 1982 or the Judgments Regulation, was served in accordance with rules 6.19(1) or 6.19(1A) as appropriate;
; and
b
in paragraph (6) —
i
for sub-paragraph (a) substitute —
a
“domicile” is to be determined —
i
in relation to a Convention territory, in accordance with sections 41 to 46 of the Civil Jurisdiction and Judgments Act 1982;
ii
in relation to a Regulation State, in accordance with the Judgments Regulation and paragraphs 9 to 12 of Schedule 1 to the Civil Jurisdiction and Judgments Order 2001;
;
ii
at the end of sub-paragraph (c), delete “and”; and
iii
after sub-paragraph (d), insert —
e
“the Judgments Regulation” means Council Regulation (EC) No. 44/2001 of 22nd December 2000 on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters; and
f
“Regulation State” has the same meaning as “Member State” in the Judgments Regulation, that is all Member States except Denmark.
.
15
In rule 20.6 —
a
at the beginning, insert “(1)”;
b
after paragraph (1), insert —
2
A defendant may file and serve a notice under this rule —
a
without the court’s permission, if he files and serves it —
i
with his defence; or
ii
if his claim for contribution or indemnity is against a defendant added to the claim later, within 28 days after that defendant files his defence; or
b
at any other time with the court’s permission.
.
16
In rule 22.1, in paragraph (1) —
a
at the end of sub-paragraph (d), delete “and”; and
b
at the end of sub-paragraph (e), insert —
; and
any other document where a rule or practice direction requires.
.
17
In rule 25.10, in sub-paragraph (a), after “interim injunction (gl) ”, insert “other than a freezing injunction”.
18
In rule 25.13(2), in sub-paragraphs (a)(ii) and (b)(ii), after “Lugano Convention” insert “or the Regulation”.
19
In rule 26.3, after paragraph (6), insert —
6A
The date for filing the completed allocation questionnaire may not be varied by agreement between the parties.
.
20
In rule 31.14 —
a
at the beginning, insert “(l)”;
b
at the end of sub-paragraph (c), insert “or”;
c
at the end of sub-paragraph (d), for “; or” substitute “.”;
d
omit sub-paragraph (e); and
e
after paragraph (l), but before the cross-reference, insert —
2
Subject to rule 35.10(4), a party may apply for an order for inspection of any document mentioned in an expert’s report which has not already been disclosed in the proceedings.
.
21
In rule 35.12, in paragraph (1), for sub-paragraphs (a) and (b) substitute —
a
identify and discuss the expert issues in the proceedings; and
b
where possible, reach an agreed opinion on those issues.
.
22
In rule 35.14 —
a
for paragraph (2) substitute —
2
An expert must, unless the court orders otherwise, provide a copy of any proposed request for directions under paragraph (1) —
a
to the party instructing him, at least 7 days before he files the request; and
b
to all other parties, at least 4 days before he files it.
; and
b
in paragraph (3) —
i
after “served with” insert “a copy of the directions.”; and
ii
omit sub-paragraphs (a) and (b).
23
After rule 37.4, insert —
Payment into court under enactments
37.5
A practice direction may set out special provisions with regard to payments into court under various enactments.
.
24
In rule 44.13, for paragraph 1 substitute —
1
Where the court makes an order which does not mention costs —
a
the general rule is that no party is entitled to costs in relation to that order; but
b
this does not affect any entitlement of a party to recover costs out of a fund held by him as trustee or personal representative, or pursuant to any lease, mortgage or other security.
.
25
In rule 45.1 —
a
in paragraph (2)(a), after “sum of money”, insert “where the value of the claim exceeds £25”;
b
at the end of paragraph (2)(b), insert “and the value of the claim exceeds £25; or”; and
c
after paragraph (2)(b) —
i
omit “and in either case the value of the claim exceeds £25.”; and
ii
insert —
c
a judgment creditor has taken steps under Parts 70 to 73 to enforce a judgment or order.
.
26
After rule 45.5, insert rule 45.6, as set out in Schedule 1 to these Rules.
27
In rule 48.4, for paragraphs (2) and (3) substitute —
2
The general rule is that he is entitled to be paid the costs of those proceedings, insofar as they are not recovered from or paid by any other person, out of the relevant trust fund or estate.
3
Where he is entitled to be paid any of those costs out of the fund or estate, those costs will be assessed on the indemnity basis.
.
28
In Part 49, in paragraph (2), omit sub-paragraphs (a), (b), (c) and (e).
29
After Part 57, insert —
a
Part 58 (Commercial Court) as set out in Schedule 2 to these Rules;
b
Part 59 (Mercantile Courts) as set out in Schedule 3;
c
Part 60 (Technology and Construction Court claims) as set out in Schedule 4;
d
Part 61 (Admiralty claims) as set out in Schedule 5; and
e
Part 62 (Arbitration claims) as set out in Schedule 6.
30
In rule 70.5 —
a
in the note after paragraph (2), at the end insert —
;
v
judgments to which Council Regulation (EC) No. 44/2001 of 22nd December 2000 on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters applies
; and
b
in paragraph (8), for “Value Added Tax tribunal” substitute “ VAT and duties tribunal”.
31
In rule 71.8, in paragraph (4)(b), for “attend court at that time and place” substitute “comply with any term on which the committal order is suspended”.
32
In rule 72.1, in paragraph (2), for “which is a deposit-taking business for the purposes of the Banking Act 1987”, substitute “in the course of which he lawfully accepts deposits in the United Kingdom”.
33
In rule 72.6, in paragraph (2)(c) —
a
at the end of sub-paragraph (i) omit “and”; and
b
after sub-paragraph (ii) insert —
; and
iii
whether the bank or building society asserts any right to the money in the account, whether pursuant to a right of set-off or otherwise, and if so giving details of the grounds for that assertion.
.
34
In RSC Order 62, in Part III of Appendix 3, omit paragraphs 3 and 4.
35
In RSC Order 71 —
a
in rule 32(2), after “6.25” insert “, 6.26”;
b
for rule 33, substitute —
Rule 33
1
An appeal under Article 37 or Article 40 of Schedule 1 or 3C to the Act of 1982 must be made in accordance with CPR Part 52, except that —
a
permission is not required; and
b
the appellant’s notice must be served —
i
in the case of an appeal under Article 37 of Schedule 1 or 3C to the Act of 1982, within one month of service of notice of registration of the judgment, or two months of service of such notice where that notice was served on a party not domiciled within the jurisdiction;
ii
in the case of an appeal under Article 40 of Schedule 1 or 3C to the Act of 1982, within one month of the determination of the application under rule 27.
2
If —
a
the party against whom judgment was given is not domiciled in a Convention territory, and
b
an application to extend the time for appealing is made within two months of service of notice of registration,
the court may extend the period within which an appeal may be made against the order for registration, except on the grounds of distance.
;
c
in rule 36, in paragraph (2)(b), for the words from “any document” to the end, substitute —
any document showing that for these proceedings the applicant is an assisted person or an LSC funded client, as defined in CPR rule 43.2(1)(h) and (i)
; and
d
after Part IV, insert Part V as set out in Schedule 7 to these Rules.
36
RSC Order 74 is revoked.
37
In RSC Order 92, omit rule 3A.
38
In RSC Order 93 —
a
in rule 22 —
i
in the heading and in paragraph (1), for “the Financial Services Act 1986” substitute “the Financial Services and Markets Act 2000 ”;
ii
in paragraph (3), for “the Secretary of State or a designated agency under section 72” substitute “the Financial Services Authority under section 367”;
iii
for paragraph (4) substitute —
4
Where there is a question of the construction of any rule or other instrument made by or with the approval or consent of the Financial Services Authority under the Act, that Authority may make representations to the court.
; and
b
omit rule 23.
39
In CCR Order 28 —
a
after rule 1(2), insert —
3
The judgment creditor must file with the request all written evidence on which he intends to rely.
;
b
in rule 2 —
i
for paragraph (3)(b), substitute —
b
it is made under section 110(2) of the Act.
; and
ii
for paragraph (4), substitute —
4
The written evidence on which the judgment creditor intends to rely must be served with the judgment summons.
;
c
in rule 3(1), for “A judgment summons shall”, substitute “The judgment summons and written evidence must”;
d
after rule 4(1), insert —
1A
An order made under section 110(1) of the Act must be served personally on the judgment debtor.
1B
Copies of —
a
the judgment summons; and
b
the written evidence,
must be served with the order.
;
e
for rule 5, substitute —
Evidence
5
1
No person may be committed on an application for a judgment summons unless —
a
the order is made under section 110(2) of the Act; or
b
the judgment creditor proves that the debtor —
i
has or has had since the date of the judgment or order the means to pay the sum in respect of which he has made default; and
ii
has refused or neglected or refuses or neglects to pay that sum.
2
The debtor may not be compelled to give evidence.
; and
f
omit rule 10(3).
40
In CCR Order 34, in paragraph (a) of rule 1 —
a
for “section 14 or 92” substitute “section 14, 92 or 118”; and
b
after “seized in execution,” insert “or by wilfully insulting a judge, juror, witness or any officer of the court,”.
41
In CCR Order 35 —
a
in rule 3, in paragraph (2)(b), for the words from “any document” to the end, substitute —
any document showing that for these proceedings the applicant is an assisted person or an LSC funded client, as defined in CPR rule 43.2(1)(h) and (i);
; and
b
after rule 3, insert —
Application under Article 54 of the Council Regulation (EC) No. 44/2001 of 22nd December 2000 on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters
3A
1
An application to the court by an interested party for a certificate under Article 54 of Council Regulation (EC) No. 44/2001 of 22nd December 2000 on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters must be made —
a
without notice being served on any other party; and
b
on witness statement or affidavit.
2
A witness statement or affidavit under paragraph (1)(b) must —
a
give particulars of the proceedings in which the judgment was obtained;
b
contain evidence of service of the claim form by which the proceedings were begun where judgment was given in default of appearance by the defendant; and
c
where appropriate, include any document showing that for these proceedings the applicant is an assisted person or an LSC funded client, as defined in CPR rule 43.2(1)(h) and (i).
3
A sealed copy of the judgment shall be issued together with a sealed certificate, in the form of Annex V to the Council Regulation, signed by the district judge.
.
42
In CCR Order 38, in Appendix B —
a
in Part I —
i
in the heading, omit “, APPLICATIONS TO ENFORCE AN AWARD”; and
ii
in paragraph 1, omit sub-paragraph (e);
b
in Part II, for paragraph (d)(ii) in column 1 of the Table, substitute —
ii
possession of land, where one of the grounds for possession is arrears of rent (whether or not the order for possession is suspended on terms) and the defendant has neither delivered a defence, admission or counterclaim, nor otherwise denied liability
; and
c
in Part III, in the Table, omit items 7, 8 and 11.
Transitional provisions and Savings
43
1
Where proceedings for the possession of land are issued before 25th March 2002, rule 42(b) shall not apply, and CCR Order 38 shall apply as if it had not been amended.
2
Where on or after 25th March 2002 fixed costs are to be awarded in enforcement proceedings which, pursuant to rule 24 of the Civil Procedure (Amendment No. 4) Rules 2001 , continue to be governed by rules in Schedule 1 or Schedule 2 to the Civil Procedure Rules 1998 rather than rules in Parts 70 to 73, the rules governing enforcement costs in force immediately before 25th March 2002 shall continue to apply as if they had not been revoked.
Phillips of Worth Matravers, M.R.
Andrew Morritt, V-C.
Anthony May, L.J.
Richard Holman
Carlos Dabezies
John Leslie
Michael Black
Michelle Stevens-Hoare
Philip Rainey
Tim Parker
Juliet Herzog
Alan Street
Ahmad Butt
I allow these Rules
Irvine of Lairg, C.
Dated 13th December 2001