UK Offence Report

False claim of status as creditor, etc

rule 285(2) of The Investment Bank Special Administration (England and Wales) Rules 2011

This offence was read from the text as made, and no revised version was available, so a later revocation could not be ruled out. Check the current text at legislation.gov.uk.

What the provision says

2 It is an offence for

a person (‘P’), with the intention of obtaining

a sight of documents which P has not under the Rules any right to inspect, falsely to claim

a status which would entitle P to inspect them.

Text as made, from legislation.gov.uk. © Crown copyright, reused under the Open Government Licence v3.0. This is the text as originally made; later amendments are not shown here.

Who it binds, and what has to be proved

Binds
a person
Conduct
breaching the provision
Fault element
Requires proof of a state of mind
Burden of proof
No statutory defence — prosecution proves everything

The prosecution must prove both that the conduct happened and that it was done with the state of mind the provision names (with the intention of).

The provision states no defence, so the prosecution bears the burden on every element of the offence.

Classifier’s reasoning: mens rea word in the offence-creating words: with the intention of.

What would breach rule 285(2)?

These are illustrations, not law. They are generated from the provision’s own words to show the shape of the offence. Whether any particular conduct is caught depends on the full text, on any amendment since, and on the facts.

  1. Doing what the provision prohibits, or failing to do what it requires under the Investment Bank Special Administration (England and Wales) Rules 2011.

Penalty

Mode of trial
Not determined
Maximum fine
Not determined
Maximum prison (summary)
Not determined

no penalty is stated in this instrument; it may be in the enabling Act, or in a general penalties provision this pass did not connect to the offence.

No penalty was determined from this instrument. It may be in the enabling Act, or in a general penalties provision this pass did not connect to the offence. Absence of a figure here is not evidence that the offence carries no penalty.

Sentencing

Offences of this kind are usually sentenced under the guidelines below. This is a mapping by subject, not a finding about this provision, and the links go to a search of the Sentencing Council’s own site.

Prosecution figures

No published per-offence figure was found for this provision, and it could not be matched to a Ministry of Justice offence code. Offences created by statutory instrument very largely do not have one. Absence of a figure is not evidence that the offence is unused.

Status and lifecycle

Current status
Status not determined
Made
15 May 2011
In force from
30 June 2011
Extent
E+W

How this was established: read from the text as made; no revised version available, so later revocation could not be ruled out.

What the instrument is for

(This note is not part of the Rules) — the explanatory note published with the instrument, © Crown copyright.

These Rules set out the procedure for the Investment Bank Special Administration process under the Investment Bank Special Administration Regulations 2011 (“the Regulations”). The main features of Investment Bank Special Administration are that: a the investment bank enters the procedure by court order; b the order appoints an administrator; c the administrator is to pursue the special administration objectives in accordance with the statement of proposals approved by the meeting of creditors and clients and, in certain circumstances, the FSA; and d in other respects the procedure is similar to administration under Schedule B1 of the Insolvency Act 1986. Where the investment bank is also a deposit-taking bank, the Rules also apply in relation to the Special Administration (Bank Insolvency) and Special Administration (Bank Administration) processes under Schedules 1 and 2 of the Regulations. Part 2 of the Rules sets out the procedure for applying for a special administration order, a special administration (bank insolvency) order or a special administration (bank administration order). Part 3 of the Rules sets out the process of the special administration. Part 4 of the Rules provides for the expenses of the special administration. Part 5 of the Rules provides for the pursuit of Objective 1. Part 6 of the Rules provides for distributions to creditors. Part 7 of the Rules sets out rules concerning the administrator. Part 8 of the Rules provides for the end of the special administration. Part 9 of the Rules sets out court procedure and practice. Part 10 of the Rules provides for the application of section 216 of the Insolvency Act 1986 (prohibited names). Part 11 of the Rules contains provisions of general effect. Part 12 of the Rules provides for general interpretation and application. The Rules apply to investment banks incorporated as companies and also to investment banks that are: e limited liability partnerships by virtue of paragraph 6 of Schedule 3 of the Regulations which applies the Rules with such modifications as the context requires for giving effect to the Regulations; or f partnerships by virtue of paragraph 5 of Schedule 4 to the Regulations which applies Article 18 of and Schedule 10 to the Insolvent Partnerships Order 1994 (S.I. 1994/ 2421, amended by S.I. 2005/1516) with modifications. An Impact Assessment on the effect of these Rules has been prepared and may be obtained from the Financial Regulatory Strategy team, HM Treasury, 1 Horse Guards Road, London, SW1A 2HQ. It is also available on HM Treasury’s website (www.hm-treasury.gov.uk).

Read the full note and every offence in this instrument

What Parliament said

Mentions of this instrument in Hansard. Parliamentary material is reused under the Open Parliament Licence v3.0.

How this was identified as an offence

Everything above rests on the judgement that this provision creates a criminal offence, rather than mentioning one. That judgement is made by rule, from the words of the provision, and this is the rule that made it — with a confidence of 0.90.

Basis
the provision says “it is an offence”; the provision says an offence is committed “if” something happens
Confidence
0.90 of 1.00

A provision that states a penalty for an offence created elsewhere can read very like one that creates an offence, and the rules can mistake the one for the other. If the text quoted above sets a penalty for something made an offence by another provision, treat the classification on this page with that in mind, and read the instrument.

Check the source