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The Uncertificated Securities Regulations 2001
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10. Where under [F1paragraph 6(1)], a company’s issuer register of members and record of uncertificated shares is [F2kept available for inspection] at the office of some person other than the company, and by reason of any default of his the company fails to comply with—U.K.
paragraph 6(2) (record of uncertificated shares to be [F2kept available for inspection] with issuer register of members);
paragraph 6(3) (notice to registrar);
paragraph 7(3) (index to be [F2kept available for inspection] with issuer register of members and record of uncertificated shares); or
[F3section 116 of the 2006 Act (rights to inspect and require copies)],
or with any requirement of [F4the 2006 Act] as to the production of the register of members or any part thereof, that other person is liable to the same penalties as if he were an officer of the company who was in default, and the power of the court under [F5section 118(3) of the 2006 Act] extends to the making of orders against that other and his officers and servants.
Textual Amendments
F1Words in Sch. 4 para. 10 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(s)(i)
F2Words in Sch. 4 para. 10 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(s)(v)
F3Words in Sch. 4 para. 10 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(s)(ii)
F4Words in Sch. 4 para. 10 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(s)(iii)
F5Words in Sch. 4 para. 10 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(s)(iv)
Commencement Information
I1Sch. 4 para. 10 in force at 26.11.2001, see reg. 1
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