The Insolvency (England and Wales) Rules 2016

CHAPTER 3 E+W Form and content of documents

Requirement for writing and form of documents E+W

1.4.—(1) A notice or statement must be in writing unless the Act or these Rules provide otherwise.

(2) A document in electronic form must be capable of being—

(a) read by the recipient in electronic form; and

(b) reproduced by the recipient in hard-copy form.

Modifications etc. (not altering text)

C1 Rule 1.4 applied (temp.) (26.6.2020) by Corporate Insolvency and Governance Act 2020 (c. 12), s. 49(1), Sch. 4 para. 44 (with ss. 2(2), 5(2), Sch. 4 para. 12)

C2 Rule 1.4 applied (with modifications) (30.9.2021) by S.I. 2014/229, art. 2(2A), Sch. 1A paras. 1(4)(5), 32, 38 (as inserted by The Co-operative and Community Benefit Societies (Administration) (Amendment) Order 2021 (S.I. 2021/1048), arts. 1(1), 2)

C3 Rules 1.4-1.6 applied (with modifications) (19.3.2024) by The Water Industry (Special Administration) (England and Wales) Rules 2024 (S.I. 2024/229), rules 1, 5, 7, Sch. (with rule 2(2))

Authentication E+W

1.5.—(1) A document in electronic form is sufficiently authenticated—

(a) if the identity of the sender is confirmed in a manner specified by the recipient; or

(b) where the recipient has not so specified, if the communication contains or is accompanied by a statement of the identity of the sender and the recipient has no reason to doubt the truth of that statement.

(2) A document in hard-copy form is sufficiently authenticated if it is signed.

(3) If a document is authenticated by the signature of an individual on behalf of—

(a) a body of persons, the document must also state the position of that individual in relation to the body;

(b) a body corporate of which the individual is the sole member, the document must also state that fact.

Modifications etc. (not altering text)

C3 Rules 1.4-1.6 applied (with modifications) (19.3.2024) by The Water Industry (Special Administration) (England and Wales) Rules 2024 (S.I. 2024/229), rules 1, 5, 7, Sch. (with rule 2(2))

C4 Rule 1.5 applied (temp.) (26.6.2020) by Corporate Insolvency and Governance Act 2020 (c. 12), s. 49(1), Sch. 4 paras. 15(3), 29(3), 32(4), 36(4), 39(3) (with ss. 2(2), 5(2), Sch. 4 para. 12)

C5 Rule 1.5 applied (with modifications) (30.9.2021) by S.I. 2014/229, art. 2(2A), Sch. 1A paras. 1(4)(5), 3(3), 17(3), 20(4), 24(4), 27(3), 38 (as inserted by The Co-operative and Community Benefit Societies (Administration) (Amendment) Order 2021 (S.I. 2021/1048), arts. 1(1), 2)

Information required to identify persons and proceedings etc. E+W

1.6.—(1) Where the Act or these Rules require a document to identify, or to contain identification details in respect of, a person or proceedings, or to provide contact details for an office-holder, the information set out in the table must be given.

(2) Where a requirement relates to a proposed office-holder, the information set out in the table in respect of an office-holder must be given with any necessary adaptations.

Bankrupt	(a) full name; and (b) residential address (subject to any order for limited disclosure made under Part 20).
Company where it is the subject of the proceedings	In the case of a registered company— (c) the registered name; (d) for a company incorporated in England and Wales under the Companies Act or a previous Companies Act, its registered number; (e) for a company incorporated outside the United Kingdom— (i) the country or territory in which it is incorporated, (ii) the number, if any, under which it is registered, and (iii) the number, if any, under which it is registered as an overseas company under Part 34 of the Companies Act.
	In the case of an unregistered company— (f) its name; and (g) the postal address of any principal place of business.
Company other than one which is the subject of the proceedings	In the case of a registered company— (h) the registered name; (i) for a company incorporated in any part of the United Kingdom under the Companies Act or a previous Companies Act, its registered number; (j) for a company incorporated outside the United Kingdom— (i) the country or territory in which it is incorporated, (ii) the number, if any, under which it is registered; and (k) the number, if any, under which it is registered as an overseas company under Part 34 of the Companies Act; (l) In the case of an unregistered company— (i) its name, and (ii) the postal address of any principal place of business.
Debtor	(m) full name; and (n) residential address (subject to any order for limited disclosure made under Part 20).
Office-holder	(o) the name of the office-holder; and (p) the nature of the appointment held by the office-holder.
Contact details for an office-holder	(q) a postal address for the office-holder; and (r) either an email address, or a telephone number, through which the office-holder may be contacted.
Proceedings	(s) for proceedings relating to a company, the information identifying the company; (t) for proceedings relating to an individual, the full name of the bankrupt or debtor; (u) the full name of the court or hearing centre in which the proceedings are, or are to be, conducted or where documents relating to the proceedings have been or will be filed; and, if applicable, (v) any number assigned to those proceedings by the court, the hearing centre or the adjudicator.

Modifications etc. (not altering text)

C3 Rules 1.4-1.6 applied (with modifications) (19.3.2024) by The Water Industry (Special Administration) (England and Wales) Rules 2024 (S.I. 2024/229), rules 1, 5, 7, Sch. (with rule 2(2))

[F1 Reasons for stating whether proceedings are or will be COMI proceedings, establishment proceedings etc.] E+W

1.7.  Where these Rules require reasons to be given for a statement that proceedings are or will be [F2 COMI proceedings, establishment proceedings or proceedings to which the EU Regulation as it has effect in the law of the United Kingdom does not apply], the reasons must include [F3 as applicable]—

(a) for a company—

(i) the centre of main interests,

(ii) the place of the registered office within the meaning of Article 3(1) of the [F4 EU Regulation] and where appropriate an explanation why this is not the same as the centre of main interests, F5 ...

[F6 (iia) the place where there is an establishment within the jurisdiction, or]

(iii) that there is no registered office if that be the case in [F7 proceedings to which the EU Regulation as it has effect in the law of the United Kingdom does not apply];

[F8 (b) for a debtor—

(i) the centre of main interests, or

(ii) the place where there is an establishment within the jurisdiction.]

Textual Amendments

F1 Rule 1.7 heading substituted (31.12.2020) by The Insolvency (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/146), reg. 1(3), Sch. para. 48(2) (with regs. 4, 5); 2020 c. 1, Sch. 5 para. 1(1)

F2 Words in rule 1.7 substituted (31.12.2020) by The Insolvency (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/146), reg. 1(3), Sch. para. 48(3) (with regs. 4, 5); 2020 c. 1, Sch. 5 para. 1(1)

F3 Words in rule 1.7 inserted (31.12.2020) by The Insolvency (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/146), reg. 1(3), Sch. para. 48(3) (with regs. 4, 5); 2020 c. 1, Sch. 5 para. 1(1)

F4 Words in rule 1.7(a)(ii) substituted (8.12.2017) by The Insolvency (England and Wales) and Insolvency (Scotland) (Miscellaneous and Consequential Amendments) Rules 2017 (S.I. 2017/1115), rules 1(1), 23(4)

F5 Word in rule 1.7(a)(ii) omitted (31.12.2020) by virtue of The Insolvency (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/146), reg. 1(3), Sch. para. 48(4)(a) (with regs. 4, 5); 2020 c. 1, Sch. 5 para. 1(1)

F6 Rule 1.7(a)(iia) inserted (31.12.2020) by The Insolvency (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/146), reg. 1(3), Sch. para. 48(4)(b) (with regs. 4, 5); 2020 c. 1, Sch. 5 para. 1(1)

F7 Words in rule 1.7(a)(iii) substituted (31.12.2020) by The Insolvency (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/146), reg. 1(3), Sch. para. 48(4)(c) (with regs. 4, 5); 2020 c. 1, Sch. 5 para. 1(1)

F8 Rule 1.7(b) substituted (31.12.2020) by The Insolvency (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/146), reg. 1(3), Sch. para. 48(5) (with regs. 4, 5); 2020 c. 1, Sch. 5 para. 1(1)

Prescribed format of documents E+W

1.8.—(1) Where a rule sets out requirements as to the contents of a document any title required by the rule must appear at the beginning of the document.

(2) Any other contents required by the rule (or rules where more than one apply to a particular document) must be provided in the order listed in the rule (or rules) or in another order which the maker of the document considers would be convenient for the intended recipient.

Modifications etc. (not altering text)

C6 Rule 1.8 applied (with modifications) (temp.) (26.6.2020) by Corporate Insolvency and Governance Act 2020 (c. 12), s. 49(1), Sch. 4 para. 45 (with ss. 2(2), 5(2), Sch. 4 para. 12)

C7 Rule 1.8 applied (with modifications) (30.9.2021) by S.I. 2014/229, art. 2(2A), Sch. 1A paras. 1(4)(5), 33, 38 (as inserted by The Co-operative and Community Benefit Societies (Administration) (Amendment) Order 2021 (S.I. 2021/1048), arts. 1(1), 2)

C8 Rules 1.8-1.12 applied (with modifications) (19.3.2024) by The Water Industry (Special Administration) (England and Wales) Rules 2024 (S.I. 2024/229), rules 1, 5, 8-10, Sch. (with rule 2(2))

Variations from prescribed contents E+W

1.9.—(1) Where a rule sets out the required contents of a document, the document may depart from the required contents if—

(a) the circumstances require such a departure (including where the requirement is not applicable in the particular case); or

(b) the departure (whether or not intentional) is immaterial.

(2) However this rule does not apply to the required content of a statutory demand on a company set out in rule 7.3 and on an individual set out in rule 10.1.

Modifications etc. (not altering text)

C8 Rules 1.8-1.12 applied (with modifications) (19.3.2024) by The Water Industry (Special Administration) (England and Wales) Rules 2024 (S.I. 2024/229), rules 1, 5, 8-10, Sch. (with rule 2(2))

C9 Rule 1.9(1) applied (with modifications) (temp.) (26.6.2020) by Corporate Insolvency and Governance Act 2020 (c. 12), s. 49(1), Sch. 4 para. 45 (with ss. 2(2), 5(2), Sch. 4 para. 12)

C10 Rule 1.9(1) applied (with modifications) (30.9.2021) by S.I. 2014/229, art. 2(2A), Sch. 1A paras. 1(4)(5), 33, 38 (as inserted by The Co-operative and Community Benefit Societies (Administration) (Amendment) Order 2021 (S.I. 2021/1048), arts. 1(1), 2)