Source: http://www.legislation.gov.uk/uksi/2016/340/schedule/2/chapter/made
Timestamp: 2019-07-21 20:57:44
Document Index: 148898710

Matched Legal Cases: ['art 2', 'arts 3', 'ART 3', 'art 1', 'art 6', 'art 1', 'art 2', 'ART 7']

2. Regulation 6, in Part 2 of the PSC Regulations, applies to LLPs modified so that it reads as follows—
“Fee for a copy of an LLP’s PSC register
(2) That fee applies to any single request for a copy of an LLP’s PSC register(6), or any part of it, regardless of how many parts are required to be copied.”.
3. Regulations 7 to 47, in Parts 3 to 8 of the PSC Regulations, apply to LLPs modified so that they read as follows—
“PART 3NATURE OF CONTROL AND FOREIGN LIMITED PARTNERS
7. The particulars required by sections 790K(1)(h), 790K(2)(e) and 790K(3)(f) of the Act (particulars as to nature of control over the LLP) are—
(a)where the person meets the first specified condition(7), the statement listed in Part 1 of Schedule 2 which is applicable to that person;
(f)where the person meets the fifth specified condition in connection with a firm(8), every statement listed in Part 6 of Schedule 2 which is applicable to that person.
9.—(1) The additional matters required to be noted in an LLP’s PSC register under section 790M(7) of the Act are the matters required to be noted by regulations 10 to 17.
(2) Where any additional matter noted in an LLP’s PSC register in accordance with regulation 10, 11, 12 or 13 ceases to be true, the LLP must note in its PSC register —
10.—(1) This regulation applies where an LLP knows or has reasonable cause to believe that there is no registrable person(9) or registrable relevant legal entity(10) in relation to the LLP.
(2) The LLP must note in its PSC register that it knows or has reasonable cause to believe that there is no registrable person or registrable relevant legal entity in relation to the LLP.
11.—(1) This regulation applies where an LLP—
(a)knows or has reasonable cause to believe that there is a registrable person in relation to the LLP; and
(2) The LLP must—
(a)note in its PSC register that it knows or has reasonable cause to believe that there is a registrable person in relation to the LLP but it has not identified the registrable person; and
(b)make a separate note in its PSC register in respect of each registrable person which the LLP has been unable to identify.
(a)an LLP has identified a registrable person in relation to the LLP; and
(b)all the required particulars(11) of that person have not been confirmed(12) for the purposes of section 790M of the Act.
(a)note in its PSC register that it has identified a registrable person in relation to the LLP but all the required particulars of that person have not been confirmed; and
Additional matters where an LLP’s investigations are ongoing
13.—(1) This regulation applies where an LLP—
(c)has not yet completed taking reasonable steps to find out if there is anyone who is a registrable person or a registrable relevant legal entity in relation to the LLP under section 790D of the Act.
(2) The LLP must note in its PSC register that it has not yet completed taking reasonable steps to find out if there is anyone who is a registrable person or a registrable relevant legal entity in relation to the LLP.
(a)an LLP has given a notice under section 790D of the Act; and
(a)an LLP has given a notice under section 790E of the Act; and
(2) The LLP must note in the entry in its PSC register for the addressee that the addressee has failed to comply with a notice given by the LLP under section 790E of the Act.
(a)a note has been placed in an LLP’s register under regulation 14 or 15; and
(2) The LLP must note in its PSC register—
Additional matters where an LLP has issued a restrictions notice
17.—(1) This regulation applies where an LLP has issued a restrictions notice(13) under paragraph 1 of Schedule 1B to the Act.
(3) Where the LLP withdraws the restrictions notice under paragraph 11 of Schedule 1B to the Act, the LLP must note in its PSC register—
(4) Where a court makes an order under paragraph 8 of Schedule 1B to the Act directing that a relevant interest in the LLP(14) cease to be subject to restrictions, the LLP must note in its PSC register—
(a)that the court has made an order under paragraph 8 of Schedule 1B to the Act directing that a relevant interest in the LLP cease to be subject to restrictions; and
Content of warning notice
18. A warning notice(15) given under paragraph 1 of Schedule 1B to the Act must—
(c)identify the addressee’s relevant interest in the LLP;
(d)state that the LLP will consider reasons provided to it as to why the addressee failed to comply with the notice given under section 790D or 790E of the Act;
Content of restrictions notice
(f)state that an aggrieved person may apply to the court(16) for an order directing that the relevant interest cease to be subject to restrictions.
Failure to comply with section 790D or 790E notice: valid reason
20. An LLP must take into account any incapacity of the addressee of a notice given under section 790D or 790E of the Act in deciding what counts as a “valid reason” sufficient to justify the addressee’s failure to comply with the notice.
21. Where an LLP is required to withdraw a restrictions notice under paragraph 11 of Schedule 1B to the Act by notice (a “withdrawal notice”), the withdrawal notice must—
(a)be given before the end of the period of 14 days beginning with the day on which the LLP became required to withdraw the restrictions notice under that paragraph;
(c)identify the addressee’s relevant interest in the LLP; and
22.—(1) The public authorities(17) listed in Schedule 3 to the PSC Regulations (“specified public authorities”) are specified for the purposes of section 243 of the Act (as applied by section 790ZF of the Act).
(2) The conditions specified for the disclosure of information within section 790ZF(2) of the Act by the registrar(18) to specified public authorities in accordance with section 243 of the Act (as applied by section 790ZF of the Act) are listed in Part 1 of Schedule 4 to the PSC Regulations.
23.—(1) The conditions specified for the disclosure of information within section 790ZF(2) of the Act by the registrar to a credit reference agency(19) in accordance with section 243 of the Act (as applied by section 790ZF of the Act) are listed in Part 2 of Schedule 4 of the PSC Regulations.
(2) The registrar may rely on a statement delivered to the registrar by a credit reference agency under Schedule 4 of the PSC Regulations as sufficient evidence of the matters stated in it.
(b)which has been determined by the registrar in favour of the applicant (but see paragraph (2);
25.—(1) An individual who is, or proposes to become, a registrable person in relation to an LLP may make an application to the registrar requiring the registrar to refrain from disclosing to a credit reference agency information within section 790ZF(2) relating to that individual.
(iii)the LLPs in relation to which the applicant is, or proposes to become, a registrable person;
(iv)the LLPs in relation to which the applicant used to be a registrable person;
(v)the LLPs in relation to which the applicant is or proposes to become a member;
(vi)the LLPs in relation to which the applicant used to be a member;
(vii)the companies in relation to which the applicant is, or proposes to become, a director(20);
(ix)the overseas companies(21) of which the applicant is or used to be a director, secretary or permanent representative; or
(b)a section 243 decision has been made in respect of the applicant which has not ceased to have effect.
(e)the email address of the applicant, if any;
(f)the name and registered number of each LLP in relation to which the applicant is, or proposes to become, a registrable person;
Application by an LLP requiring the registrar to refrain from disclosing an individual’s usual residential address information to a credit reference agency
26.—(1) An LLP (“the applicant”) may make an application to the registrar requiring the registrar to refrain from disclosing to a credit reference agency information within section 790ZF(2) of the Act relating to an individual (“R”) who is, or proposes to become, a registrable person in relation to the LLP.
(2) An LLP may only make an application under paragraph (1) where R has given consent for the LLP to make the application on R’s behalf.
(b)a section 243 decision has been made in respect of R which has not ceased to have effect.
(4) Where the grounds of the application are those described in paragraph (3)(b), the application must only relate to one individual who is, or proposes to become, a registrable person in relation to the LLP.
(i)the email address of R, if any;
(j)where R is a registrable person in relation to another LLP or company, the name and registered number of that LLP or company; and
(k)where the grounds of the application are those described in paragraph (3)(b), the name and registered number of the company in relation to which the section 243 decision was made, unless the decision relates to a proposed company which was never incorporated.
(7) The registrar must determine the application and, within 7 days beginning with the date that the determination is made, send to the applicant notice of the determination.
Application by a proposed member of a proposed LLP requiring the registrar to refrain from disclosing an individual’s usual residential address information to a credit reference agency
27.—(1) A proposed member of a proposed LLP (“the applicant”) may make an application to the registrar requiring the registrar to refrain from disclosing to a credit reference agency information within section 790ZF(2) relating to an individual (“R”) who proposes to become, on or after the formation of the proposed LLP, a registrable person in relation to the LLP.
(2) A proposed member of a proposed LLP may only make an application under paragraph (1) where R has given consent for the proposed member to make the application on R’s behalf.
(a)the applicant reasonably believes that there is a serious risk that R, or a person who lives with R, will be subjected to violence or intimidation as a result of the proposed activities of the proposed LLP; or
(4) Where the grounds of the application are those described in paragraph 3(b), the application must only relate to one individual who proposes to become a registrable person in relation to the proposed LLP.
(f)the name of the proposed LLP to which the memorandum relates;
(j)the email address of R, if any;
(k)where R is a registrable person in relation to another LLP or company, the name and registered number of that LLP or company; and
(l)where the grounds of the application are those described in paragraph (3)(b), the name and registered number of the LLP in relation to which the section 243 decision was made, unless the section 243 decision relates to a proposed company which was never incorporated.
(3) No application for such permission may be made after 28 days beginning with the date of the notice under regulation 25(5), 26(7), or 27(7) unless the court is satisfied that there was good reason for the failure of the applicant to seek permission before the end of that period.
PART 7PROTECTION OF SECURED INFORMATION
(b)where the request for secured information by the specified public authority is made by reference to an LLP, £5.00 per LLP specified in the request.
(a)is a registrable person in relation to an LLP;
(b)proposes to become a registrable person in relation to an LLP; or
(c)used to be a registrable person in relation to an LLP.
(a)the activities of that LLP; or
(b)one or more characteristics or personal attributes of the applicant when associated with that LLP,
(v)the email address of the applicant, if any;
(vi)the name and registered number of the LLP in relation to which the applicant is, proposes to become, or used to be a registrable person; and
(4) Where an individual who is or used to be a registrable person in relation to an LLP sends an application under paragraph (1) to the registrar in relation to that LLP, that individual must inform the LLP of that fact as soon as reasonably practicable.
Application by an LLP requiring the registrar to refrain from using or disclosing an individual’s secured information
37.—(1) An LLP (“the applicant”) may make an application to the registrar requiring the registrar to refrain from using or disclosing secured information relating to an individual (“S”) who—
in relation to that LLP.
(2) An LLP may only make an application under paragraph (1) where S has given consent for the LLP to make the application on S’s behalf.
(ix)the email address of S, if any; and
(6) Where the application is unsuccessful the notice under paragraph (5) must inform the applicant of the applicant’s right to apply for permission to appeal against the determination within 28 days beginning with the date of the notice.
Application by a proposed member of a proposed LLP requiring the registrar to refrain from using or disclosing an individual’s secured information
38.—(1) A proposed member of a proposed LLP (“the applicant”) may make an application to the registrar requiring the registrar to refrain from using or disclosing secured information relating to an individual (“S”) who proposes to become, on or after the formation of proposed the LLP, a registrable person in relation to the proposed LLP.
(2) A proposed member of a proposed LLP may only make an application under paragraph (1) where S has given consent for the proposed member to make the application on S’s behalf.
(a)the proposed activities of the proposed LLP; or
(b)one or more characteristics or personal attributes of S when associated with the proposed LLP,
(vi)the name of the proposed LLP;
(x)the email address of S, if any; and
(2) Where a person in relation to whom an application under regulation 36 or 37 has been made sends a notice to the registrar under paragraph (1), that person must notify the LLP to which the application related of this fact as soon as reasonably practicable.
(3) Where a person in relation to whom an application under regulation 38 has been made sends a notice to the registrar under paragraph (1), that person must notify the proposed member of the proposed LLP who made the application and, if incorporated, the LLP to which the application related of this fact as soon as reasonably practicable.
(2) The registrar must make secured information on the register to which the application under regulation 36, 37 or 38 relates available for public inspection on the register—
(a)where notice of an application for permission to appeal has not been served on the registrar in accordance with regulation 41(4), at the end of the period of 42 days beginning with the date of the notice given under regulation 36(5), 37(5) or 38(5); or
(b)where notice of an application for permission to appeal has been served on the registrar in accordance with regulation 41(4) as soon as reasonably practicable after—
(2) Where a notice is given under paragraph (1)(a), the person giving the notice must also notify the LLP to which the application that was determined relates of the notice given to the registrar.
(6) Where the registrar makes secured information available for public inspection on the register under this regulation, the registrar must notify the person to whom the secured information relates and the LLP to which the application under regulation 36, 37 or 38 related of that action as soon as reasonably practicable.
Protection by an LLP of secured information
45.—(1) Subject to paragraph (2), an LLP must not use or disclose secured information relating to a person (“S”) if—
(a)in relation to that information an application has been made under regulation 36, 37 or 38 and
(b)the LLP has not received notification under regulation 40(2), 40(3), 42(3), 43(2), 44(6) or 46(5)(b).
(2) The LLP may use or disclose secured information relating to S—
(b)in order to comply with a requirement of the 2006 Act or these Regulations as to particulars to be sent to the registrar; or
(c)where S has given consent for the LLP to use or disclose secured information relating to S.
(a)under regulation 36(1)(a) or 36(1)(c) when the applicant has informed the LLP under regulation 36(4) that the applicant has made an application;
(b)under regulation 36(1)(b) when the LLP has received the particular required by section 790K(l)(i) of the Act in relation to that individual;
(c)under regulation 37 when the LLP sends the application to the registrar; or
(d)under regulation 38 when the proposed member of a proposed LLP sends an application to the registrar.
(4) Where an LLP is prohibited under paragraph (1) from using or disclosing any secured information, the LLP’s PSC register is to be treated as not including that information for the purposes of sections 790N(1), 790O(1) and 790O(2) of the Act.
(b)where, before the expiry of the protected period, the protectable person ceases to be a registrable person in relation to the LLP to which the application relates and notifies the registrar in writing of that fact, after the expiry of the protected period the registrar must not use or disclose the secured information and must omit that secured information from the material on the register that is available for public inspection.
(a)include in the notice the date on which that protectable person ceased to be a registrable person in relation to the LLP; and
(b)send a copy of the notice to the LLP.
(4) The registrar may use or disclose the secured information for communicating with the protectable person and, where the application was made under regulation 37, the LLP which made the application.
(5) Where the registrar has not received a notice under paragraph (2)(b) before the expiry of the protected period, the registrar must, as soon as reasonably practicable after the expiry of that period—
(b)notify the protectable person and the LLP to which the application under regulation 36 or 37 related of that action.
(ii)where an appeal under regulation 41 has been brought and dismissed, 12 weeks beginning with the date the court dismissed the appeal in accordance with regulation 41(5); and
47. Where an individual or a relevant legal entity is registrable(22) in relation to an LLP on 6th April 2016, the date on which the individual or entity became a registrable person or a registrable relevant legal entity, as the case may be, in relation to the LLP in question is deemed to be 6th April 2016 for the purposes of sections 790K(1)(g), 790K(2)(d) and 790K(3)(e) of the Act.”
4. Schedules 1, 3 and 4 to the PSC Regulations apply to LLPs, and Schedule 2 to the PSC Regulations applies to LLPs modified so that it reads as follows—
“SCHEDULE 2PARTICULARS REQUIRED AS TO NATURE OF CONTROL
1. A statement that the person holds or is treated as holding, directly or indirectly, the right to share in more than 25% but not more than 50% of any surplus assets of the LLP on a winding up.
2. A statement that the person holds, directly or indirectly, the right to share in more than 50% but less than 75% of any surplus assets of the LLP on a winding up.
3. A statement that the person holds, directly or indirectly, the right to share in 75% or more of any surplus assets of the LLP on a winding up.
4. A statement that the person holds, directly or indirectly, more than 25% but not more than 50% of the LLP voting rights in the LLP.
5. A statement that the person holds, directly or indirectly, more than 50% but less than 75% of the LLP voting rights in the LLP.
6. A statement that the person holds, directly or indirectly, 75% or more of the LLP voting rights in the LLP.
7. A statement that the person holds the right, directly or indirectly, to appoint or remove a majority of the persons who are entitled to take part in the management of the LLP.
8. A statement that the person has the right to exercise, or actually exercises, significant influence or control over the LLP.
(b)the trustees of that trust (in their capacity as such) hold or are treated as holding, directly or indirectly, the right to share in more than 25% but not more than 50% of any surplus assets on a winding up of the LLP.
(b)the trustees of that trust (in their capacity as such) hold, directly or indirectly, the right to share in more than 50% but less than 75% of any surplus assets on a winding up of the LLP.
(b)the trustees of that trust (in their capacity as such) hold, directly or indirectly, the right to share in more than 75% of any surplus assets on a winding up of the LLP.
(b)the trustees of that trust (in their capacity as such) hold, directly or indirectly, more than 25% but not more than 50% of the voting rights in the LLP.
(b)the trustees of that trust (in their capacity as such) hold, directly or indirectly, more than 50% but less than 75% of the voting rights in the LLP.
(b)the trustees of that trust (in their capacity as such) hold, directly or indirectly, 75% or more of the voting rights in the LLP.
(b)the trustees of that trust (in their capacity as such) hold the right, directly or indirectly, to appoint or remove a majority of the members who are entitled to take part in the management of the LLP.
(b)the trustees of that trust (in their capacity as such) have the right to exercise, or actually exercise, significant influence or control over the LLP.
(b)the members of that firm (in their capacity as such) hold or are treated as holding, directly or indirectly, the right to share in more than 25% but not more than 50% of any surplus assets of the LLP on a winding up.
(b)the members of that firm (in their capacity as such) hold, directly or indirectly, the right to share in more than 50% but less than 75% of any surplus assets of the LLP on a winding up.
(b)the members of that firm (in their capacity as such) hold, directly or indirectly, the right to share in 75% or more of any surplus assets of the LLP on a winding up.
(b)the members of that firm (in their capacity as such) hold, directly or indirectly, more than 25% but not more than 50% of the voting rights in the LLP.
(b)the members of that firm (in their capacity as such) hold, directly or indirectly, more than 50% but less than 75% of the voting rights in the LLP.
(b)the members of that firm (in their capacity as such) hold, directly or indirectly, 75% or more of the voting rights in the LLP.
(b)the members of that firm (in their capacity as such) hold the right, directly or indirectly, to appoint or remove a majority of the members who are entitled to take part in the management of the LLP.
(b)the members of that firm (in their capacity as such) have the right to exercise, or actually exercise, significant influence or control over the LLP.”.
See paragraph 1 of Schedule 1B to the Act for the meaning of “restrictions notice”.
See section 1156(1) of the Act for the meaning of “the court”; section 1156(1) was amended by paragraph 43(a) of Schedule 9 to the Crime and Courts Act 2013 (c.22).