SCHEDULES

Section 9.

SCHEDULE 1E+W+S Matters for Determining Unfitness of Directors

Part IE+W+S Matters Applicable in All Cases

1E+W+SAny misfeasance or breach of any fiduciary or other duty by the director in relation to the company [F1, including in particular any breach by the director of a duty under Chapter 2 of Part 10 of the Companies Act 2006 (general duties of directors) owed 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.

3E+W+SThe 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 [F21986] (provisions against debt avoidance).

[F3[F44E+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—

(a)section 113 (register of members);

(b)section 114 (register to be kept available for inspection);

(c)section 162 (register of directors);

(d)section 165 (register of directors' residential addresses);

(e)section 167 (duty to notify registrar of changes: directors);

(f)section 275 (register of secretaries);

(g)section 276 (duty to notify registrar of changes: secretaries);

(h)section 386 (duty to keep accounting records);

(i)section 388 (where and for how long accounting records to be kept);

(j)section 854 (duty to make annual returns);

(k)section 860 (duty to register charges);

(l)section 878 (duty to register charges: companies registered in Scotland).]]

[F54AE+W+S. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F65E+W+SThe extent of the director's responsibility for any failure by the directors of the company to comply with the following provisions of the Companies Act 2006—

(a)section 394 or 399 (duty to prepare annual accounts);

(b)section 414 or 450 (approval and signature of abbreviated accounts); or

(c)section 433 (name of signatory to be stated in published copy of accounts).]

5AE+W+SF7. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Part IIE+W+S Matters Applicable where Company has become Insolvent

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).

8E+W+SThe 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 [F81986], or

(b)challengeable under section 242 or 243 of that Act or under any rule of law in Scotland.

9E+W+SThe extent of the director’s responsibility for any failure by the directors of the company to comply with section 98 of the Insolvency Act [F91986] (duty to call creditors’ meeting in creditors’ voluntary winding up).

10E+W+SAny failure by the director to comply with any obligation imposed on him by or under any of the following provisions of the Insolvency Act [F101986]—

(a)[F11paragraph 47 of Schedule B1] (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.).