- Y Diweddaraf sydd Ar Gael (Diwygiedig)
- Pwynt Penodol mewn Amser (06/04/2007)
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The Uncertificated Securities Regulations 2001
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Changes over time for: Section 20
Version Superseded: 01/10/2009
Alternative versions:
- 26/11/2001- Amendment
- 06/04/2007
Point in time - 01/10/2009- Amendment
Status:
Point in time view as at 06/04/2007. This version of this provision has been superseded.
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Entries on registers and records in respect of sharesU.K.
20.—(1) In respect of every company which is a participating issuer, there shall be—
(a)a register maintained by the participating issuer, and such a register is referred to in these Regulations as an “issuer register of members”; and
(b)a register maintained by the Operator, and such a register is referred to in these Regulations as an “Operator register of members”.
(2) A participating issuer which is a company shall keep and enter up the issuer register of members in accordance with paragraph 2 of Schedule 4.
(3) In respect of every company which is a participating issuer, the Operator shall keep and enter up the Operator register of members in accordance with paragraph 4 of Schedule 4.
(4) References in any enactment or instrument to a company’s register of members shall, unless the context otherwise requires, be construed in relation to a company which is a participating issuer as referring to the company’s issuer register of members and Operator register of members.
(5) Paragraph (4) does not apply in relation to a company’s issuer register of members to the extent that any of the particulars entered in that register in accordance with paragraph 2(1) of Schedule 4 are inconsistent with the company’s Operator register of members.
(6) A participating issuer which is a company shall—
(a)maintain a record of the entries made in its Operator register of members; and such a record is referred to in these Regulations as a “record of uncertificated shares”; and
(b)keep and enter up that record in accordance with paragraph 5 of Schedule 4.
(7) Such sanctions as apply to a company and its officers in the event of a default in complying with section 352 of the 1985 Act shall apply to—
(a)a company which is a participating issuer and its officers in the event of a default in complying with paragraph (1)(a) or (6)(a), or
(b)an Operator and his officers in the event of a default in complying with paragraph (1)(b).
Commencement Information
I1Reg. 20 in force at 26.11.2001, see reg. 1
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