The Investment Bank Special Administration (England and Wales) Rules 2011

CHAPTER 4Notifications to the registrar of companies

Application of Chapter 4

312.  This Chapter applies where under the Regulations or the Rules information is to be sent or delivered to the registrar of companies.

Information to be contained in all notifications to the registrar

313.  Where under the Regulations or the Rules a return, notice, or any other document or information is to be sent to the registrar of companies, that notification must specify—

(a)the registered name of the investment bank;

(b)its registered number;

(c)the nature of the notification;

(d)the regulation or the rule under which the notification is made;

(e)the date of the notification;

(f)the name and postal address of person making the notification;

(g)the capacity in which that person is acting in respect of the investment bank; and

the notification must be authenticated by the person making the notification.

Notification relating to the administrator

314.  In addition to the information required by rule 313, a notification relating to the office of the administrator must also specify—

(a)the name and business address of the administrator;

(b)the date of the event notified;

(c)where the notification relates to an appointment, the person, body or court making the appointment; and

(d)where the notification relates to the termination of an appointment, the reason for that termination (for example, resignation).

Notifications relating to documents

315.  In addition to the information required by rule 313, a notification relating to a document (for example, a statement of affairs) must also specify—

(a)the nature of the document; and

(b)the date of the document; or

(c)where the document relates to a period of time (for example a report) the period of time to which the document relates.

Notifications relating to court orders

316.  In addition to the information required by rule 313, a notification relating to a court order must also specify—

(a)the nature of the court order; and

(b)the date of the order.

Notifications relating to other events

317.  In addition to the information required by rule 313, a notification relating to any other event (for example the coming into force of a moratorium) must specify—

(a)the nature of the event including the regulation or rule under which it took place; and

(b)the date the event occurred.

Notifications of more than one nature

318.  A notification which includes a notification of more than one nature must satisfy the requirements applying in respect of each of those notifications.

Notifications made to other persons at the same time

319.—(1) Where under the Regulations or the Rules a notice or other document is to be sent to another person at the same time that it is to be sent to the registrar of companies, that requirement may be satisfied by sending to that other person a copy of the notification sent to the registrar.

(2) Paragraph (1) does not apply—

(a)where additional information is prescribed for the notification to the other person; or

(b)where the notification to the registrar of companies is incomplete.