The Insolvency (England and Wales) Rules 2016

CHAPTER 6 E+W Standard contents of documents to be delivered to the registrar of companies

[Note: the requirements in Chapter 6 must be read with rule 1.6 which sets out the information required to identify an office-holder, a company etc.]

Standard contents of documents delivered to the registrar of companies E+W

1.19.—(1) Where the Act or these Rules require a document to be delivered to the registrar of companies the document must contain the standard contents set out in this Chapter (in addition to any content specifically required by the Act or any other provision of these Rules).

(2) A document of more than one type must satisfy the requirements which apply to each.

(3) However requirements as to the contents of a document which is to be delivered to another person at the same time as the registrar of companies may be satisfied by delivering to that other person a copy of the document delivered to the registrar.

Registrar of companies: covering notices E+W

1.20.— [F1 (1) This rule applies where—

(a) the Act or these Rules require an office-holder to deliver any of the documents specified in paragraph (1A) to the registrar of companies, or

(b) the directors are required to deliver a copy of a court order to the registrar of companies in accordance with sections A31(7) or A32(5).]

[F2 (1A) The documents specified in this paragraph are—

(a) a notice under section A38 bringing a moratorium under Part A1 of the Act to an end;

(b) an account (including a final report) or a summary of receipts and payments;

(c) an administrative receiver’s report under section 48(1);

(d) a court order;

(e) a declaration of solvency;

(f) a direction of the Secretary of State under section 203 or 205;

(g) a notice of disclaimer;

(h) a statement of administrator’s proposals (including a statement of revised proposals);

(i) a statement of affairs;

(j) a statement of concurrence;

(k) a notice of an administrator’s resignation under paragraph 87(2) of Schedule B1;

(l) a notice of a liquidator’s death which the official receiver is required to deliver under rule 7.67(3)(b);

(m) a notice that a liquidator has vacated office on loss of qualification to act which the official receiver is required to deliver under rule 7.68(4)(b);

(n) any report including—

(i) a final report,

(ii) a progress report (including a final progress report),

(iii) a report of a creditor’s decision under paragraph 53(2) or 54(6) of Schedule B1, and

(iv) a report of a decision approving a CVA under section 4(6) and (6A) or paragraph 30(3) and (4) of Schedule A1 to the Act;

(o) a copy of the notice that a CVA has been fully implemented or terminated that the supervisor is required to deliver under rule 2.44(3).]

(2) The office-holder [F3 or the directors (as the case may be)] must deliver to the registrar of companies with a document mentioned in paragraph (1) a notice containing the standard contents required by this Part.

(3) Such a notice may relate to more than one document where those documents relate to the same proceedings and are delivered together to the registrar of companies.

Textual Amendments

F1 Rule 1.20(1) substituted (1.10.2021) by The Insolvency (England and Wales) (No.2) (Amendment) Rules 2021 (S.I. 2021/1028), rules 1, 7(2) (with rules 4, 5)

F2 Rule 1.20(1A) inserted (1.10.2021) by The Insolvency (England and Wales) (No.2) (Amendment) Rules 2021 (S.I. 2021/1028), rules 1, 7(3) (with rules 4, 5)

F3 Words in rule 1.20(2) inserted (1.10.2021) by The Insolvency (England and Wales) (No.2) (Amendment) Rules 2021 (S.I. 2021/1028), rules 1, 7(4) (with rules 4, 5)

Standard contents of all documents E+W

1.21.—(1) A document to be delivered to the registrar of companies must—

(a) identify the company;

(b) state—

(i) the nature of the document,

(ii) the section of the Act, the paragraph of Schedule F4 ... B1 or the rule under which the document is delivered,

(iii) the date of the document,

(iv) the name and address of the person delivering the document, and

(v) the capacity in which that person is acting in relation to the company; and

(c) be authenticated by the person delivering the document.

(2) Where the person delivering the document is the office-holder, the address may be omitted if it has previously been notified to the registrar of companies in the proceedings and is unchanged.

Textual Amendments

F4 Words in rule 1.21(1)(b)(ii) omitted (1.10.2021) by virtue of The Insolvency (England and Wales) (No.2) (Amendment) Rules 2021 (S.I. 2021/1028), rule 1, Sch. 2 para. 3 Table (with rules 4, 5)

Standard contents of documents relating to the office of office-holders E+W

1.22.—(1) A document relating to the office of the office-holder must also identify the office-holder and state—

(a) the date of the event of which notice is delivered or of the notice (as applicable);

[F5 (b) where the document relates to—

(i) an appointment, (other than an appointment to which sub-paragraph (b)(ii) refers), the person, body or court making the appointment; or

(ii) in the case of an appointment of a person as a monitor in respect of a moratorium for a company to which section A3 applies, the court with which the relevant documents, within the meaning given by section A6, were filed;]

(c) where the document relates to the termination of an appointment, the reason for that termination; and

(d) the contact details for the office-holder.

(2) Where the person delivering the document is the office-holder, the address may be omitted if it has previously been notified to the registrar of companies in the proceedings and is unchanged.

Textual Amendments

F5 Rule 1.22(1)(b) substituted (1.10.2021) by The Insolvency (England and Wales) (No.2) (Amendment) Rules 2021 (S.I. 2021/1028), rules 1, 8 (with rules 4, 5)

Standard contents of documents relating to other documents E+W

1.23.  A document relating to another document must also state—

(a) the nature of the other document;

(b) the date of the other document; and

(c) where the other document relates to a period of time, the period of time to which it relates.

Standard contents of documents relating to court orders E+W

1.24.  A document relating to a court order must also specify—

(a) the nature of the order; and

(b) the date of the order.

Standard contents of returns or reports of decisions E+W

1.25.  A return or report of a decision procedure, deemed consent procedure or meeting must also state—

(a) the purpose of the procedure or meeting;

(b) a description of the procedure or meeting used;

(c) in the case of a decision procedure or meeting, the venue;

(d) whether, in the case of a meeting, the required quorum was in place;

(e) the outcome (including any decisions made or resolutions passed); and

(f) the date of any decision made or resolution passed.

Standard contents of returns or reports of matters considered by company members by correspondence E+W

1.26.  A return or report of a matter, consideration of which has been sought from the members of a company by correspondence, must also state—

(a) the purpose of the consideration; and

(b) the outcome of the consideration (including any resolutions passed or deemed to be passed).

Standard contents of documents relating to other events E+W

1.27.  A document relating to any other event must also state—

(a) the nature of the event, including the section of the Act, the paragraph of Schedule F6 ... B1 or the rule under which it took place; and

(b) the date on which the event occurred.

Textual Amendments

F6 Words in rule 1.27(a) omitted (1.10.2021) by virtue of The Insolvency (England and Wales) (No.2) (Amendment) Rules 2021 (S.I. 2021/1028), rule 1, Sch. 2 para. 3 Table (with rules 4, 5)