Section 9.
Modifications etc. (not altering text)
C1Sch. 1 extended (with modifications) by S.I. 1986/2142, art. 6
C2Sch. 1 applied (with modifications) (1.12.1994) by S.I. 1994/2421, art. 16, Sch. 8
1Any misfeasance or breach of any fiduciary or other duty by the director in relation to the company.
2E+W+SAny misapplication or retention by the director of, or any conduct by the director giving rise to an obligation to account for, any money or other property of the company.
3The extent of the director’s responsibility for the company entering into any transaction liable to be set aside under Part XVI of the Insolvency Act (provisions against debt avoidance).
4The extent of the director’s responsibility for any failure by the company to comply with any of the following provisions of the Companies Act, namely—
(a)section 221 (companies to keep accounting records);
(b)section 222 (where and for how long records to be kept);
(c)section 288 (register of directors and secretaries);
(d)section 352 (obligation to keep and enter up register of members);
(e)section 353 (location of register of members);
[F1(f)section 363 (duty of company to make annual returns);]
[F2(h)sections 398 and 703D (duty of company to deliver particulars of charges on its property).]
Textual Amendments
F1Sch. 1 para. 4(f) substituted for sub-paras. (f) and (g) by Companies Act 1989 (c. 40, SIF 27), ss. 139(4), 213(2)
F2Sch. 1 para. 4(h) substituted by Companies Act 1989 (c. 40, SIF 27), ss. 107, 213(2), 215(2) Sch. 16 para. 4
Valid from 06/04/2008
[F34AE+W+SThe extent of the director's responsibility for any failure by the company to comply with any of the following provisions of the Companies Act 2006, namely—
(a)section 386 (companies to keep accounting records); and
(b)section 388 (where and for how long records to be kept).]
Textual Amendments
F3Sch. 1 paras. 4, 4A substituted (6.4.2008) for Sch. 1 para. 4 by The Companies Act 2006 (Consequential Amendments etc) Order 2008 (S.I. 2008/948), art. 3(1), Sch. 1 para. 106(8)(a) (with arts. 6, 11, 12)
Modifications etc. (not altering text)
C3Sch. 1 para. 4 substituted (1.10.2009) for Sch. 1 paras. 4, 4A by The Companies Act 2006 (Consequential Amendments, Transitional Provisions and Savings) Order 2009 (S.I. 2009/1941), art. 2(1), Sch. 1 para. 85(14)(b) (with art. 10)
[F45The extent of the director’s responsibility for any failure by the directors of the company to comply with—
(a)section 226 or 227 of the Companies Act (duty to prepare annual accounts), or
(b)section 233 of that Act (approval and signature of accounts).]
Textual Amendments
F4Sch. 1 para. 5 substituted (subject to the transitional and saving provisions mentioned in S.I. 1990/355, arts. 6–9) by Companies Act 1989 (c. 40, SIF 27), ss. 23, 213(2), Sch. 10 para. 35(3)
[F55AIn the application of this Part of this Schedule in relation to any person who is a director of an open-ended investment company, any reference to a provision of the Companies Act is to be taken to be a reference to the corresponding provision of the Open-Ended Investment Companies Regulations 2001 or of any rules made under regulation 6 of those Regulations (Financial Services Authority rules).]
Textual Amendments
F5Sch. 1 para. 5A substituted (1.12.2001) by S.I. 2001/1228, reg. 84, Sch. 7 Pt. I para. 9 (with reg. 1(2)(3)); S.I. 2001/3538, art. 2(1)
Modifications etc. (not altering text)
C4Sch. 1 Pt. II applied (with modifications) by S.I. 2001/1090, reg. 4, Sch. 2 Pt. II
6E+W+SThe extent of the director’s responsibility for the causes of the company becoming insolvent.
7E+W+SThe extent of the director’s responsibility for any failure by the company to supply any goods or services which have been paid for (in whole or in part).
8The extent of the director’s responsibility for the company entering into any transaction or giving any preference, being a transaction or preference—
(a)liable to be set aside under section 127 or sections 238 to 240 of the Insolvency Act, or
(b)challengeable under section 242 or 243 of that Act or under any rule of law in Scotland.
9The extent of the director’s responsibility for any failure by the directors of the company to comply with section 98 of the Insolvency Act (duty to call creditors’ meeting in creditors’ voluntary winding up).
10Any failure by the director to comply with any obligation imposed on him by or under any of the following provisions of the Insolvency Act—
(a)section 22 (company’s statement of affairs in administration);
(b)section 47 (statement of affairs to administrative receiver);
(c)section 66 (statement of affairs in Scottish receivership);
(d)section 99 (directors’ duty to attend meeting; statement of affairs in creditors’ voluntary winding up);
(e)section 131 (statement of affairs in winding up by the court);
(f)section 234 (duty of any one with company property to deliver it up);
(g)section 235 (duty to co-operate with liquidator, etc.).