UK Offence Report

Content of a warning notice

regulation 18 of The Register of People with Significant Control Regulations 2016

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

18 A warning notice given under paragraph

1 of Schedule 1B to the Act must—

a specify the date on which the warning notice is given;

b be accompanied by

a copy of the notice given under section 790D or 790E of the Act to which the warning notice relates;

c identify the addressee’s relevant interest in the company by reference to the shares or right in question;

d state that the company will consider reasons provided to it as to why the addressee failed to comply with the notice given under section 790D or 790E of the Act;

e explain the effect of

a restrictions notice; and

f state that, by virtue of

a restrictions notice, certain acts or failures to act may constitute an offence.

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 This is the text as originally made; later amendments are not shown here.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 company
Conduct
breaching the provision
Fault element
Strict liability
Burden of proof
No statutory defence — prosecution proves everything

The prosecution must prove that the conduct happened. This is a strict liability offence as drafted: the provision uses no word of intention, knowledge, recklessness or negligence, so there is no need to show that a company meant to do it, knew about it, or was careless.

Intention, knowledge and carelessness are irrelevant to guilt. They may still matter a great deal to sentence.

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

Classifier’s reasoning: no word of intention, knowledge, recklessness or negligence in the offence or its provision.

What would breach regulation 18?

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 Register of People with Significant Control Regulations 2016.

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 March 2016
In force from
Not determined
Extent
Not stated

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 Regulations) — the explanatory note published with the instrument, © Crown copyright.

These Regulations make provisions which supplement Part 21A of the Companies Act 2006 in respect of information about people with significant control of companies. These Regulations also make related amendments to the Companies (Disclosure of Address) Regulations 2009. Part 2 of these Regulations makes provision about the scope and application of Part 21A of the Companies Act 2006 (regulations 3, 4 and 5), and prescribes the fee to be charged by companies when supplying copies of their registers of persons with significant control (regulation 6). Part 3 of these Regulations makes provision about the particulars to be noted in a company’s register of persons with significant control concerning the nature of a person’s control over the company (regulation 7). It also specifies characteristics of foreign limited partners in connection with determining whether a person has significant control over a company (regulation 8). Part 4 of these Regulations sets out additional information to be included in a company’s register of persons with significant control where there are no registrable persons, there is an unidentified registrable person, there are unconfirmed details of a registrable person, a company’s investigations are ongoing and where there have been failures to comply with requirements to provide information under sections 790D and 790E of the Companies Act 2006. Part 5 of these Regulations sets out requirements concerning notices to be issued by companies, and matters to be taken into account, when seeking to enforce the disclosure requirements of Part 21A of the Companies Act 2006. Part 6 of these Regulations makes provision about the protection of a registrable person’s usual residential address information. It sets out when usual address information may be disclosed by the registrar to specified public authorities and credit reference agencies (regulations 22 and 23), along with the process by which applications may be made to require the registrar to refrain from disclosing usual residential address information (regulations 24 to 32). Part 7 of these Regulations makes provision about the protection of a registrable person’s particulars. It sets out the process by which applications may be made to require the registrar to refrain from using or disclosing those particulars (regulations 33 to 44), and also prescribes when companies must not use or disclose those particulars (regulation 45). Part 8 of these Regulations contains transitional provisions about applications to require the registrar to refrain from using or disclosing a registrable person’s particulars (regulation 46) and the date on which a person is deemed to have become registrable where the person was registrable on commencement of these Regulations (regulation 47). Part 8 of these Regulations also makes amendments to the Companies (Disclosure of Address) Regulations 2009 (regulation 48 and Schedule 5) in order to more closely align the 2009 Regulation’s regime for the protection of directors’ residential addresses from disclosure with the related regime about the protection of a person with significant control’s usual residential address information set out in Part 6 of these Regulations. The amendments also expand the grounds on which applications may be made for protection under the 2009 Regulations to include situations where a successful application has been made under Part 6 of these Regulations. Part 8 of these Regulations (regulation 49), in addition, requires the Secretary of State to review the operation and effect of these Regulations and publish a report within the period that the Secretary of State is obliged to review and report on Part 21A of the Companies Act 2006 by section 82 of the Small Business, Enterprise and Employment Act 2015. These Regulations must then be reviewed within every five years after that. Following a review it will fall to the Secretary of State to consider whether the Regulations should remain as they are, or be revoked or be amended. A further instrument would be needed to revoke the Regulations or to amend them. A full impact assessment of the effect that this instrument will have on the costs of business and the voluntary sector is available from the Department for Business, Innovation and Skills, 1 Victoria Street, London, SW1H 0ET and is published with the Explanatory Memorandum alongside the instrument on www.legislation.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.

Other offences in the same instrument

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 0.75.

Basis
the provision says the conduct “constitutes an offence”
Confidence
0.75 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