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Enterprise Act 2002

Changes over time for: Enterprise Act 2002 (Schedules only)

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Enterprise Act 2002 is up to date with all changes known to be in force on or before 05 December 2021. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations. Help about Changes to Legislation

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Revised legislation carried on this site may not be fully up to date. Changes and effects are recorded by our editorial team in lists which can be found in the ‘Changes to Legislation’ area. Where those effects have yet to be applied to the text of the legislation by the editorial team they are also listed alongside the legislation in the affected provisions. Use the ‘more’ link to open the changes and effects relevant to the provision you are viewing.

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Changes and effects yet to be applied to :

  • s. 86 cross-heading word inserted by S.I. 2019/93, reg. 48B(5) (as inserted) by S.I. 2019/1245 reg. 9 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 90 heading word inserted by S.I. 2019/93, reg. 48D(2) (as inserted) by S.I. 2019/1245 reg. 9 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 91(3) heading word inserted by S.I. 2019/93, reg. 48E(3) (as inserted) by S.I. 2019/1245 reg. 9 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 92 heading words substituted by S.I. 2019/93, reg. 48F(3) (as inserted) by S.I. 2019/1245 reg. 9 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 23(1)(2) substituted by 2021 c. 25 Sch. 2 para. 2(2)
  • s. 23(2A) omitted by 2021 c. 25 Sch. 2 para. 2(3)
  • s. 23(4A) omitted by 2021 c. 25 Sch. 2 para. 2(3)
  • s. 23(4B) omitted by 2021 c. 25 Sch. 2 para. 2(3)
  • s. 23(5) words substituted by 2021 c. 25 Sch. 2 para. 2(4)
  • s. 23(6) words substituted by 2021 c. 25 Sch. 2 para. 2(5)
  • s. 23(10) omitted by 2021 c. 25 Sch. 2 para. 2(6)
  • s. 23A omitted by 2021 c. 25 Sch. 2 para. 3
  • s. 31 applied by S.I. 2014/549 Sch. 2 para. 4
  • s. 35(7) words substituted by 2021 c. 25 Sch. 2 para. 4
  • s. 36(6) words substituted by 2021 c. 25 Sch. 2 para. 5
  • s. 48(3) words substituted by 2021 c. 25 Sch. 2 para. 6
  • s. 58(1) omitted by 2021 c. 25 Sch. 2 para. 7
  • s. 58(2) omitted by 2021 c. 25 Sch. 2 para. 7
  • s. 59(3)(b)(i) omitted by 2021 c. 25 Sch. 2 para. 8
  • s. 59(3B) omitted by 2021 c. 25 Sch. 2 para. 8
  • s. 59(8) omitted by 2021 c. 25 Sch. 2 para. 8
  • s. 59(9) omitted by 2021 c. 25 Sch. 2 para. 8
  • s. 69 amendment to earlier affecting provision S.I. 2003/1592, art. 15, Sch. 3 para. 1 by S.I. 2014/891 art. 18(1)-(17)
  • s. 71 applied by S.I. 2014/549 Sch. 2 para. 5
  • s. 86(1) words substituted by S.I. 2019/93, reg. 48B(3) (as inserted) by S.I. 2019/1245 reg. 9 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 86(6) words inserted by S.I. 2019/93, reg. 48B(4)(a) (as inserted) by S.I. 2019/1245 reg. 9 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 88(1) words substituted by S.I. 2019/93, reg. 48C (as inserted) by S.I. 2019/1245 reg. 9 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 90 words inserted by S.I. 2019/93, reg. 48D(1) (as inserted) by S.I. 2019/1245 reg. 9 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 91(3)(c) word inserted by S.I. 2019/93, reg. 48E(2)(b) (as inserted) by S.I. 2019/1245 reg. 9 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 95A inserted by S.I. 2019/93, reg. 48H (as inserted) by S.I. 2019/1245 reg. 9 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 109(8A) words substituted by S.I. 2019/93, reg. 50A(3)(a) (as inserted) by S.I. 2019/1245 reg. 10 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 109(8A)(a) words substituted by S.I. 2019/93, reg. 50A(3)(b) (as inserted) by S.I. 2019/1245 reg. 10 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 109(8A)(b) words substituted by S.I. 2019/93, reg. 50A(3)(b) (as inserted) by S.I. 2019/1245 reg. 10 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 110(2) words inserted by S.I. 2019/93, reg. 50B(2) (as inserted) by S.I. 2019/1245 reg. 10 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 110(9) words inserted by S.I. 2019/93, reg. 50B(3)(a) (as inserted) by S.I. 2019/1245 reg. 10 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 110(9) words substituted by S.I. 2019/93, reg. 50B(3)(b) (as inserted) by S.I. 2019/1245 reg. 10 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 110A(3) words substituted by S.I. 2019/93, reg. 50C(2) (as inserted) by S.I. 2019/1245 reg. 10 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 110A(4) words inserted by S.I. 2019/93, reg. 50C(3) (as inserted) by S.I. 2019/1245 reg. 10 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 120(1) words substituted by S.I. 2019/93, reg. 51A(2) (as inserted) by S.I. 2019/1245 reg. 11 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 120(1A) inserted by S.I. 2019/93, reg. 51A(3) (as inserted) by S.I. 2019/1245 reg. 11 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 120(6)-(8) applied by S.I. 2007/913 (N.I.) Sch. 1 para. 15
  • s. 130 words inserted by S.I. 2019/93, reg. 55(d) (as inserted) by S.I. 2019/1245 reg. 12 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 153(2) omitted by 2021 c. 25 Sch. 2 para. 9
  • s. 168(3)s. 168(4)(c) words substituted by S.I. 2012/2400 art. 31
  • s. 213(5A) words substituted by S.I. 2019/203 reg. 3(4)(b) (This amendment not applied to legislation.gov.uk. S.I. 2019/203, reg. 3(4)(b) substituted immediately before IP completion day by S.I. 2020/1347, regs. 1(3), 3(3)(a))
  • s. 218A(1) words substituted by S.I. 2019/203 reg. 3(10)(a) (This amendment not applied to legislation.gov.uk. S.I. 2019/203, reg. 3(10)(a) substituted immediately before IP completion day by S.I. 2020/1347, regs. 1(3), 3(3)(c))
  • s. 218A(1) words substituted by S.I. 2019/203 reg. 3(10)(b) (This amendment not applied to legislation.gov.uk. S.I. 2019/203, reg. 3(10)(b) substituted immediately before IP completion day by S.I. 2020/1347, regs. 1(3), 3(3)(c))
  • s. 219A(5)(c) words substituted by S.I. 2019/203 reg. 3(12) (This amendment not applied to legislation.gov.uk. S.I. 2019/203, reg. 3(12) substituted immediately before IP completion day by S.I. 2020/1347, regs. 1(3), 3(3)(d))
  • s. 220(2) words substituted by S.I. 2019/203 reg. 3(13) (This amendment not applied to legislation.gov.uk. S.I. 2019/203, reg. 3(13) substituted immediately before IP completion day by S.I. 2020/1347, regs. 1(3), 3(3)(f))
  • s. 235 omitted by S.I. 2019/203 reg. 3(17) (This amendment not applied to legislation.gov.uk. S.I. 2019/203, reg. 3(17) substituted immediately before IP completion day by S.I. 2020/1347, regs. 1(3), 3(3)(g))
  • s. 235A omitted by S.I. 2019/203 reg. 3(17) (This amendment not applied to legislation.gov.uk. S.I. 2019/203, reg. 3(17) substituted immediately before IP completion day by S.I. 2020/1347, regs. 1(3), 3(3)(g))
  • Sch. 8 para. 20(1) words omitted by 2021 c. 25 Sch. 2 para. 10
  • Sch. 10 para. 5(1)(a) word inserted by S.I. 2019/93, reg. 59A(10) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 6 cross-heading word inserted by S.I. 2019/93, reg. 59A(11) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 heading word inserted by S.I. 2019/93, reg. 59A(2) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 2(1)(a) word inserted by S.I. 2019/93, reg. 59A(6)(b) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 2(2)(b) word inserted by S.I. 2019/93, reg. 59A(7)(b) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 2(2)(c) word inserted by S.I. 2019/93, reg. 59A(7)(b) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 2(2)(e) word inserted by S.I. 2019/93, reg. 59A(7)(d) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 2(2)(f) word inserted by S.I. 2019/93, reg. 59A(7)(e)(ii) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 4(b) word inserted by S.I. 2019/93, reg. 59A(9)(b) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 6(a) word omitted by virtue of S.I. 2019/93, reg. 59A(12)(a) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 1(a) word omitted by virtue of S.I. 2019/93, reg. 59A(4)(a) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 7 words inserted by S.I. 2019/93, reg. 59A(13) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 8 words inserted by S.I. 2019/93, reg. 59A(13) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 1 cross-heading words inserted by S.I. 2019/93, reg. 59A(3) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 2(1) words inserted by S.I. 2019/93, reg. 59A(6)(a) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 2(2)(a) words inserted by S.I. 2019/93, reg. 59A(7)(a) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 2(2)(d) words inserted by S.I. 2019/93, reg. 59A(7)(c) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 2(2)(f) words inserted by S.I. 2019/93, reg. 59A(7)(e)(i) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 2(4) words inserted by S.I. 2019/93, reg. 59A(8) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 3(1) words inserted by S.I. 2019/93, reg. 59A(8) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 4 words inserted by S.I. 2019/93, reg. 59A(9)(a) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 4(a) words inserted by S.I. 2019/93, reg. 59A(9)(a) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 6(b) words substituted by S.I. 2019/93, reg. 59A(12)(c) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 1(b) words substituted by S.I. 2019/93, reg. 59A(4)(c) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)

Changes and effects yet to be applied to the whole Act associated Parts and Chapters:

Whole provisions yet to be inserted into this Act (including any effects on those provisions):

  • s. 84A-84C and cross-heading inserted by S.I. 2019/93, reg. 48A (as inserted) by S.I. 2019/1245 reg. 9 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 86(A1) inserted by S.I. 2019/93, reg. 48B(2) (as inserted) by S.I. 2019/1245 reg. 9 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 91(3)(ba) inserted by S.I. 2019/93, reg. 48E(2)(a) (as inserted) by S.I. 2019/1245 reg. 9 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 92(A1) inserted by S.I. 2019/93, reg. 48F(2) (as inserted) by S.I. 2019/1245 reg. 9 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 92A inserted by S.I. 2019/93, reg. 48G (as inserted) by S.I. 2019/1245 reg. 9 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 109(A1)(c) inserted by S.I. 2019/93, reg. 50A(2) (as inserted) by S.I. 2019/1245 reg. 10 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 109(8B)(8C) inserted by S.I. 2019/93, reg. 50A(4) (as inserted) by S.I. 2019/1245 reg. 10 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 110A(3A) inserted by S.I. 2019/93, reg. 50C(3) (as inserted) by S.I. 2019/1245 reg. 10 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 120(2)(b)(i) words in s. 120(2)(b) renumbered as s. 120(2)(b)(i) by S.I. 2019/93, reg. 51A(4)(a) (as inserted) by S.I. 2019/1245 reg. 11 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • s. 120(2)(b)(ii) and word inserted by S.I. 2019/93, reg. 51A(4)(b) (as inserted) by S.I. 2019/1245 reg. 11 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 6(aa) inserted by S.I. 2019/93, reg. 59A(12)(b) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 1(aa) inserted by S.I. 2019/93, reg. 59A(4)(b) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Sch. 10 para. 1A inserted by S.I. 2019/93, reg. 59A(5) (as inserted) by S.I. 2019/1245 reg. 13 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)

SCHEDULES

Section 1

F1SCHEDULE 1U.K.The Office of Fair Trading

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Section 12

SCHEDULE 2U.K.The Competition Appeal Tribunal

Appointment, etc. of President and chairmenU.K.

1(1)A person is not eligible for appointment as President unless—

[F2(a)he satisfies the judicial-appointment eligibility condition on a 7-year basis;]

(b)he is an advocate or solicitor in Scotland of at least [F37] years’ standing; or

(c)he is a member of the Bar of Northern Ireland or [F4solicitor of the Court of Judicature of Northern Ireland] of at least [F57] years’ standing;

and he appears to the Lord Chancellor to have appropriate experience and knowledge of competition law and practice.

(2)A person is not eligible for appointment as a chairman unless—

[F6(a)he satisfies the judicial-appointment eligibility condition on a 5-year basis;]

(b)he is an advocate or solicitor in Scotland of at least [F75] years’ standing; or

(c)he is a member of the Bar of Northern Ireland or [F4solicitor of the Court of Judicature of Northern Ireland] of at least [F85] years’ standing;

and he appears to the Lord Chancellor to have appropriate experience and knowledge (either of competition law and practice or any other relevant law and practice).

(3)Before appointing an advocate or solicitor in Scotland under this paragraph, the Lord Chancellor must consult the Lord President of the Court of Session.

F9(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2(1)The members appointed as President or as chairmen shall hold and vacate office in accordance with their terms of appointment, subject to the following provisions.U.K.

(2)A person may not be a chairman for more than 8 years (but this does not prevent a temporary re-appointment for the purpose of continuing to act as a member of the Tribunal as constituted for the purposes of any proceedings instituted before the end of his term of office).

(3)The President and the chairmen may resign their offices by notice in writing to the Lord Chancellor.

(4)The Lord Chancellor may remove a person from office as President or chairman on the ground of incapacity or misbehaviour.

[F10(5)The Lord Chancellor may remove a person from office as President under sub-paragraph (4) only with the concurrence of all of the following—

(a)the Lord Chief Justice of England and Wales;

(b)the Lord President of the Court of Session;

(c)the Lord Chief Justice of Northern Ireland.

(6)The Lord Chancellor may remove a person from office as chairman under sub-paragraph (4) only with the concurrence of the appropriate senior judge.

(7)The appropriate senior judge is the Lord Chief Justice of England and Wales, unless—

(a)the person to be removed exercises functions wholly or mainly in Scotland, in which case it is the Lord President of the Court of Session, or

(b)the person to be removed exercises functions wholly or mainly in Northern Ireland, in which case it is the Lord Chief Justice of Northern Ireland.]

3U.K.If the President is absent or otherwise unable to act the Lord Chancellor may appoint as acting President any person qualified for appointment as a chairman.

Appointment, etc. of ordinary membersU.K.

4(1)Ordinary members shall hold and vacate office in accordance with their terms of appointment, subject to the following provisions.

(2)A person may not be an ordinary member for more than 8 years (but this does not prevent a temporary re-appointment for the purpose of continuing to act as a member of the Tribunal as constituted for the purposes of any proceedings instituted before the end of his term of office).

(3)An ordinary member may resign his office by notice in writing to the Secretary of State.

(4)The Secretary of State may remove a person from office as an ordinary member on the ground of incapacity or misbehaviour.

Remuneration etc. for membersU.K.

5(1)The Competition Service shall pay to the President, the chairmen and the ordinary members such remuneration (whether by way of salaries or fees), and such allowances, as the Secretary of State may determine.

(2)The Competition Service shall, if required to do so by the Secretary of State—

(a)pay such pension, allowances or gratuities as may be determined by the Secretary of State to or in respect of a person who holds or has held office as President, a chairman or an ordinary member; or

(b)make such payments as may be so determined towards provision for the payment of a pension, allowance or gratuities to or in respect of such a person.

Compensation for loss of officeU.K.

6If, where any person ceases to hold office as President, a chairman or ordinary member, the Secretary of State determines that there are special circumstances which make it right that he should receive compensation, the Competition Service shall pay to him such amount by way of compensation as the Secretary of State may determine.

Staff, accommodation and propertyU.K.

7Any staff, office accommodation or equipment required for the Tribunal shall be provided by the Competition Service.

MiscellaneousU.K.

8The President must arrange such training for members of the Tribunal as he considers appropriate.

9U.K.In this Schedule “chairman” and “ordinary member” mean respectively a member of the panel of chairmen, or a member of the panel of ordinary members, appointed under section 12.

10U.K.In Part 2 of Schedule 1 to the House of Commons Disqualification Act 1975 (bodies of which all members are disqualified), there is inserted at the appropriate place—

The Competition Appeal Tribunal.

11U.K.In Part 2 of Schedule 1 to the Northern Ireland Assembly Disqualification Act 1975 (bodies of which all members are disqualified), there is inserted at the appropriate place—

The Competition Appeal Tribunal.

Section 13

SCHEDULE 3U.K.The Competition Service

Part 1 U.K.Constitution etc.

Membership of the ServiceU.K.

1(1)The Service shall consist of—

(a)the President of the Competition Appeal Tribunal;

(b)the Registrar of the Competition Appeal Tribunal; and

(c)one or more appointed members.

(2)An appointed member shall be appointed by the Secretary of State after consulting the President.

Chairman of ServiceU.K.

2(1)Subject to sub-paragraph (2), the members shall choose one of their number to be chairman of the Service.

(2)The Secretary of State shall designate one of the members to be the first chairman of the Service for such period as the Secretary of State may determine.

Appointed membersU.K.

3An appointed member shall hold and vacate office in accordance with the terms of his appointment (and is eligible for re-appointment).

Allowances, etc. for membersU.K.

4(1)The Service shall pay—

(a)such travelling and other allowances to its members, and

(b)such remuneration to any appointed member,

as may be determined by the Secretary of State.

(2)The Service shall, if required to do so by the Secretary of State—

(a)pay such pension, allowances or gratuities as may be determined by the Secretary of State to or in respect of a person who holds or has held office as an appointed member; or

(b)make such payments as may be so determined towards provision for the payment of a pension, allowances or gratuities to or in respect of such a person.

5U.K.If, where any person ceases to hold office as an appointed member, the Secretary of State determines that there are special circumstances which make it right that he should receive compensation, the Service shall pay to him such amount by way of compensation as the Secretary of State may determine.

StaffU.K.

6(1)The Service may, with the approval of the Secretary of State as to numbers and terms and conditions of service, appoint such staff as it may determine.

(2)The persons to whom section 1 of the Superannuation Act 1972 (c. 11) (persons to or in respect of whom benefits may be provided by schemes under that section) applies shall include the staff of the Service.

(3)The Service shall pay to the Minister for the Civil Service, at such times as he may direct, such sums as he may determine in respect of any increase attributable to sub-paragraph (2) in the sums payable out of money provided by Parliament under the Superannuation Act 1972.

ProcedureU.K.

7(1)The Service may regulate its own procedure (including quorum).

(2)The validity of anything done by the Service is not affected by a vacancy among its members or by a defect in the appointment of a member.

8(1)The application of the seal of the Service shall be authenticated by the signature of—U.K.

(a)any member; or

(b)some other person who has been authorised for that purpose by the Service, whether generally or specially.

(2)Sub-paragraph (1) does not apply in relation to any document which is, or is to be, signed in accordance with the law of Scotland.

9U.K.A document purporting to be duly executed under the seal of the Service, or signed on its behalf, shall be received in evidence and, unless the contrary is proved, be taken to be so executed or signed.

The Service’s powersU.K.

10The Service has power to do anything which is calculated to facilitate, or is conducive or incidental to, the performance of its functions.

AccountsU.K.

11(1)The Service shall keep proper accounts and proper records in relation to its accounts.

(2)In performing that duty the Service shall, in addition to accounts and records relating to its own activities (including the services provided to the Tribunal), keep separate accounts and separate records in relation to the activities of the Tribunal.

12(1)The Service shall—U.K.

(a)prepare a statement of accounts in respect of each of its financial years; and

(b)prepare a statement of accounts for the Tribunal for each of its financial years.

(2)The Service must send copies of the accounts required by sub-paragraph (1) to the Secretary of State and to the Comptroller and Auditor General before the end of August following the financial year to which they relate.

(3)Those accounts must comply with any directions given by the Secretary of State with the approval of the Treasury as to—

(a)the information to be contained in them;

(b)the manner in which that information is to be presented; and

(c)the methods and principles according to which they are to be prepared.

(4)The Comptroller and Auditor General shall—

(a)examine, certify and report on each statement of accounts received by him; and

(b)lay copies of each statement before Parliament.

(5)In this paragraph “financial year” means the period of 12 months ending with 31st March.

F11Part 2 U.K.Transfers of property etc. between the Commission and the Service

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Part 3 U.K.Miscellaneous

17U.K.In Part 2 of Schedule 1 to the House of Commons Disqualification Act 1975 (bodies of which all members are disqualified), there is inserted at the appropriate place—

The Competition Service.

18U.K.In Part 2 of Schedule 1 to the Northern Ireland Assembly Disqualification Act 1975 (bodies of which all members are disqualified), there is inserted at the appropriate place—

The Competition Service.

Sections 14 and 15

SCHEDULE 4U.K.Tribunal: procedure

Part 1 U.K.General

Decisions of the TribunalU.K.

1(1)A decision of the Tribunal in any proceedings before it must—

[F12(a)state the reasons for the decision;

(aa)state whether the decision was unanimous or taken by a majority or, where proceedings are heard by a chairman only, state that fact;]

(b)be recorded in a document signed and dated by the chairman of the Tribunal dealing with the proceedings.

(2)In preparing that document the Tribunal shall have regard to the need for excluding, so far as practicable—

(a)information the disclosure of which would in its opinion be contrary to the public interest;

(b)commercial information the disclosure of which would or might, in its opinion, significantly harm the legitimate business interests of the undertaking to which it relates;

(c)information relating to the private affairs of an individual the disclosure of which would, or might, in its opinion, significantly harm his interests.

(3)But the Tribunal shall also have regard to the extent to which any disclosure mentioned in sub-paragraph (2) is necessary for the purpose of explaining the reasons for the decision.

(4)The President shall make such arrangements for the publication of the decisions of the Tribunal as he considers appropriate.

Textual Amendments

F12Sch. 4 para. 1(a)(aa) substituted for Sch. 4 para. 1(a) (1.10.2015) by Consumer Rights Act 2015 (c. 15), s. 100(5), Sch. 8 para. 23; S.I. 2015/1630, art. 3(j)

Modifications etc. (not altering text)

C1Sch. 4 para. 1(2)(b) modified (25.7.2003 for certain purposes, 29.12.2003 for certain further purposes) by Communications Act 2003 (c. 21), ss. 195(8), 411(2)(3) (with transitional provisions in Sch. 18); S.I. 2003/1900, arts. 1(2), 2(1), 3(1), Sch. 1 (with arts. 3-6 (as amended (8.12.2003) by S.I. 2003/3142, art. 1(3))); S.I. 2003/3142, art. 3(2) (with art. 11)

Sch. 4 para. 1(2)(b) modified (29.12.2003) by Communications Act 2003 (c. 21), ss. 294(1), 411(2)(3), Sch. 11 para. 10(7) (with transitional provisions in Sch. 18); S.I. 2003/3142, art. 3(1) (subject to arts. 3(3), 11)

C2Sch. 4 para. 1(2)(b) applied (with modifications) by 2003 c. 21, s. 194A(5) (as inserted (31.7.2017) by Digital Economy Act 2017 (c. 30), ss. 87(5), 118(6) (with s. 87(12)); S.I. 2017/765, reg. 2(w))

Enforcement of injunctions in England and Wales and Northern IrelandU.K.

[F131A(1)Where a person (“A”) fails to comply with an injunction granted by the Tribunal in proceedings under section 47A or 47B of the 1998 Act, the Tribunal may certify the matter to the High Court.

(2)The High Court may enquire into the matter.

(3)If, after hearing any witnesses who may be produced against or on behalf of A, and any statement made by or on behalf of A, the High Court is satisfied that A would have been in contempt of court if the injunction had been granted by the High Court, the High Court may deal with A as if A were in contempt.]

Textual Amendments

Enforcement of decisions in Great BritainU.K.

2If a decision of the Tribunal is registered in England and Wales in accordance with rules of court or any practice direction—

(a)payment of damages which are awarded by the decision;

(b)costs or expenses awarded by the decision; and

(c)any direction given as a result of the decision,

may be enforced by the High Court as if the damages, costs or expenses were an amount due in pursuance of a judgment or order of the High Court, or as if the direction were an order of the High Court.

3U.K.If a decision of the Tribunal awards damages, costs or expenses, or results in any direction being given, the decision may be recorded for execution in the Books of Council and Session and shall be enforceable accordingly.

4U.K.Subject to rules of court or any practice direction, a decision of the Tribunal may be registered or recorded for execution—

(a)for the purpose of enforcing a direction given as a result of the decision, by the Registrar of the Tribunal or a person who was a party to the proceedings;

(b)for the purpose of enforcing a decision to award damages, costs or expenses (other than a decision to which paragraph (c) applies), by the person to whom the sum concerned was awarded; and

(c)for the purpose of enforcing a decision to award damages which is the subject of an order under section [F1447C(3) or (4)] of the 1998 Act, by the [F15representative in the proceedings under section 47B of that Act].

Enforcement of decisions in Northern IrelandU.K.

5(1)A decision of the Tribunal may be enforced in Northern Ireland with the leave of the High Court in Northern Ireland—

(a)in the case of a direction given as a result of the decision, by the Registrar of the Tribunal or a person who was a party to the proceedings;

(b)for the purpose of enforcing a decision to award damages, costs or expenses (other than a decision to which paragraph (c) applies), by the person to whom the sum concerned was awarded; and

(c)for the purpose of enforcing a decision to award damages which is the subject of an order under section [F1647C(3) or (4)] of the 1998 Act, by the [F17representative in the proceedings under section 47B of that Act].

(2)For the purpose of enforcing in Northern Ireland a decision to award damages, costs or expenses—

(a)payment may be enforced as if the damages, costs or expenses were an amount due in pursuance of a judgment or order of the High Court in Northern Ireland; and

(b)a sum equal to the amount of damages, costs or expenses shall be deemed to be payable under a money judgment within the meaning of Article 2(2) of the Judgments Enforcement (Northern Ireland) Order 1981 (S.I. 1981/226 (N.I. 6)) (and the provisions of that Order apply accordingly).

(3)For the purpose of enforcing in Northern Ireland a direction given as a result of a decision of the Tribunal, the direction may be enforced as if it were an order of the High Court in Northern Ireland.

MiscellaneousU.K.

6A decision of the Tribunal in proceedings under section 47B of the 1998 Act which—

[F18(a)awards damages to a person in respect of a claim made or continued on behalf of that person (but is not the subject of an order under section 47C(3) or (4) of that Act); or]

(b)awards costs or expenses to [F19a person] in respect of proceedings in respect of a claim made under section 47A of that Act prior to its being continued on [F20behalf of that person] in the proceedings under section 47B,

may only be enforced by the [F21person] concerned with the permission of the High Court or Court of Session.

7U.K.An award of costs or expenses against a [F22representative] in proceedings under section 47B of the 1998 Act may not be enforced against any [F23person] on whose behalf a claim was made or continued in those proceedings.

8U.K.In this Part of this Schedule any reference to damages includes a reference to any sum of money (other than costs or expenses) which may be awarded in respect of a claim made under section 47A of the 1998 Act or included in proceedings under section 47B of that Act.

Part 2U.K.Tribunal rules

GeneralU.K.

9[F24(1)]In this Schedule “the Tribunal”, in relation to any proceedings before it, means the Tribunal as constituted (in accordance with section 14) for the purposes of those proceedings.

[F25(2)In this Schedule, where a paragraph is capable of applying to proceedings relating to the approval of a collective settlement under section 49A or 49B of the 1998 Act, any reference in that paragraph to “proceedings” includes a reference to those proceedings.]

Textual Amendments

F24Sch. 4 para. 9 renumbered as Sch. 4 para. 9(1) (3.8.2015 for specified purposes, 1.10.2015 in so far as not already in force) by Consumer Rights Act 2015 (c. 15), s. 100(5), Sch. 8 para. 28(a); S.I. 2015/1584, art. 3(d); S.I. 2015/1630, art. 3(j)

F25Sch. 4 para. 9(2) inserted (3.8.2015 for specified purposes, 1.10.2015 in so far as not already in force) by Consumer Rights Act 2015 (c. 15), s. 100(5), Sch. 8 para. 28(b); S.I. 2015/1584, art. 3(d); S.I. 2015/1630, art. 3(j)

10Tribunal rules may make different provision for different kinds of proceedings.

Institution of proceedingsU.K.

[F2610A(1)Tribunal rules may make provision as to proceedings on an application for a warrant under section 194 of this Act or section 28, 28A, 62, 62A, 63, 65G or 65H of the 1998 Act, including provision—

(a)for the Tribunal dealing with the proceedings to consist only of the President or a member of the panel of chairmen;

(b)as to the manner in which the proceedings are to be conducted, including provision—

(i)for such applications to be determined without a hearing;

(ii)in cases where there is a hearing, for it to be held in private if the Tribunal considers it appropriate because it is considering information of a kind mentioned in paragraph 1(2);

(c)as to the persons entitled to be heard in such proceedings (where there is a hearing);

(d)for requiring persons to attend to give evidence and produce documents, and for authorising the administration of oaths to witnesses;

(e)as to the evidence which may be required or admitted and the extent to which it should be oral or written;

(f)allowing the Tribunal to fix time-limits with respect to any aspect of the proceedings and to extend any time-limit (before or after its expiry).

(2)Paragraphs 2 to 8, and 11 to 17, of this Schedule do not apply in relation to the institution or conduct of proceedings for a warrant mentioned in sub-paragraph (1).]

Textual Amendments

F26Sch. 4 para. 10A inserted (25.4.2013 for specified purposes, 1.4.2014 in so far as not already in force) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 48(5), 103(1)(i)(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)

11(1)Tribunal rules may make provision as to the period within which and the manner in which proceedings are to be brought.

(2)That provision may, in particular—

[F27(a)make further provision as to procedural aspects of the operation of the limitation or prescriptive periods in relation to claims which may be made in proceedings under section 47A of the 1998 Act, as set out in [F28paragraph 23 of Schedule 8A to that Act];]

(b)provide for the Tribunal to extend the period in which any particular proceedings may be brought; and

(c)provide for the form, contents, amendment and acknowledgement of the documents by which proceedings are to be instituted.

Textual Amendments

F27Sch. 4 para. 11(2)(a) substituted (3.8.2015 for specified purposes, 1.10.2015 in so far as not already in force) by Consumer Rights Act 2015 (c. 15), s. 100(5), Sch. 8 para. 29; S.I. 2015/1584, art. 3(d); S.I. 2015/1630, art. 3(j)

12Tribunal rules may provide for the Tribunal to reject any proceedings (other than proceedings under section 47A or 47B of the 1998 Act) if it considers that—

(a)the person instituting them does not have a sufficient interest in the decision with respect to which the proceedings are brought; or

(b)the document by which he institutes them discloses no valid grounds for bringing them.

[F2913(1)Tribunal rules may provide for the Tribunal—

(a)to reject a claim made under section 47A of the 1998 Act or a section 47B claim if it considers that there are no reasonable grounds for making it;

(b)to reject a section 47B claim if—

(i)the Tribunal declines to make a collective proceedings order in respect of the proceedings under section 47B of the 1998 Act,

(ii)the Tribunal makes a collective proceedings order in respect of the proceedings, but the order does not provide that the claim in question is eligible for inclusion in the proceedings,

(iii)the Tribunal revokes the collective proceedings order in respect of the proceedings, or

(iv)the Tribunal varies the collective proceedings order in such a way that the claim in question is no longer included in the proceedings;

(c)to reject a section 47B claim if the claim had been previously made in proceedings under section 47A of the 1998 Act by a person who has not consented to its being continued in proceedings under section 47B of that Act.

(2)In this paragraph, “a section 47B claim” means a claim made in proceedings under section 47B of the 1998 Act at the commencement of those proceedings.]

Textual Amendments

F29Sch. 4 para. 13 substituted (3.8.2015 for specified purposes, 1.10.2015 in so far as not already in force) by Consumer Rights Act 2015 (c. 15), s. 100(5), Sch. 8 para. 30; S.I. 2015/1584, art. 3(d); S.I. 2015/1630, art. 3(j)

14Tribunal rules may provide for the Tribunal to reject any proceedings if it is satisfied that the person instituting the proceedings has habitually and persistently and without any reasonable ground—

(a)instituted vexatious proceedings (whether against the same person or against different persons); or

(b)made vexatious applications in any proceedings.

15Tribunal rules must ensure that no proceedings are rejected without giving the parties the opportunity to be heard.

Fast-track procedureU.K.

[F3015A(1)Tribunal rules may make provision in relation to a fast-track procedure for claims made in proceedings under section 47A of the 1998 Act, including describing the factors relevant to determining whether a claim is suitable to be dealt with according to that procedure.

(2)Tribunal rules may make different provision for claims in proceedings under section 47A of the 1998 Act which are and which are not subject to the fast-track procedure.

(3)Tribunal rules may, in particular, provide for the Tribunal to—

(a)grant an interim injunction on a claim in proceedings under section 47A of the 1998 Act which is subject to the fast-track procedure to a person who has not given an undertaking as to damages, or

(b)impose a cap on the amount that a person may be required to pay under an undertaking as to damages given on the granting of such an interim injunction.

(4)In sub-paragraph (3) “an undertaking as to damages” means an undertaking to pay damages which a person sustains as a result of the interim injunction and which the Tribunal considers the person to whom the injunction is granted should pay.

Textual Amendments

F30Sch. 4 paras. 15A-15C inserted (3.8.2015 for specified purposes, 1.10.2015 in so far as not already in force) by Consumer Rights Act 2015 (c. 15), s. 100(5), Sch. 8 para. 31; S.I. 2015/1584, art. 3(d); S.I. 2015/1630, art. 3(j)

Collective proceedingsU.K.

15B(1)Tribunal rules may make provision in relation to collective proceedings under section 47B of the 1998 Act.

(2)Rules under sub-paragraph (1) must in particular make provision as to the following matters—

(a)the procedure governing an application for a collective proceedings order;

(b)the factors which the Tribunal must take into account in deciding whether a claim is suitable to be brought in collective proceedings (but rules need not make provision in connection with the determination as to whether claims raise the same, similar or related issues of fact or law);

(c)the factors which the Tribunal must take into account in deciding whether to authorise a person to act as a representative in collective proceedings;

(d)the procedure by which the Tribunal is to reach a decision as to whether to make a collective proceedings order;

(e)the procedure by which a person may opt in or opt out of collective proceedings;

(f)the factors which the Tribunal must take into account in deciding whether to vary or revoke a collective proceedings order;

(g)the assessment of damages in collective proceedings;

(h)the payment of damages in collective proceedings, including the procedure for publicising an award of damages;

(i)the effect of judgments and orders in collective proceedings.

Textual Amendments

F30Sch. 4 paras. 15A-15C inserted (3.8.2015 for specified purposes, 1.10.2015 in so far as not already in force) by Consumer Rights Act 2015 (c. 15), s. 100(5), Sch. 8 para. 31; S.I. 2015/1584, art. 3(d); S.I. 2015/1630, art. 3(j)

Collective settlementsU.K.

15C(1)Tribunal rules may make provision in relation to collective settlements under sections 49A and 49B of the 1998 Act.

(2)Rules under sub-paragraph (1) must in particular make provision as to the following matters—

(a)the procedure governing an application for approval of a proposed collective settlement;

(b)where section 49B applies, the factors which the Tribunal must take into account in deciding whether to make a collective settlement order (but rules need not make provision in connection with the determination as to whether claims raise the same, similar or related issues of fact or law);

(c)where section 49B applies, the factors which the Tribunal must take into account in deciding whether to authorise a person to act as a settlement representative in relation to a collective settlement;

(d)where section 49B applies, the procedure by which the Tribunal is to reach a decision as to whether to make a collective settlement order;

(e)the factors which the Tribunal must take into account in deciding whether to approve a proposed collective settlement;

(f)the procedure by which the Tribunal is to reach a decision as to whether to approve a collective settlement;

(g)the procedure by which a person may opt in or opt out of a collective settlement;

(h)the payment of compensation under a collective settlement, including the procedure for publicising a compensation award.]

Textual Amendments

F30Sch. 4 paras. 15A-15C inserted (3.8.2015 for specified purposes, 1.10.2015 in so far as not already in force) by Consumer Rights Act 2015 (c. 15), s. 100(5), Sch. 8 para. 31; S.I. 2015/1584, art. 3(d); S.I. 2015/1630, art. 3(j)

Pre-hearing reviews and preliminary mattersU.K.

16(1)Tribunal rules may make provision for the carrying out by the Tribunal of a preliminary consideration of proceedings (a “pre-hearing review”).

(2)That provision may include—

(a)provision enabling such powers to be exercised on a pre-hearing review as may be specified in the rules;

(b)provision for security and supplemental provision relating to security.

(3)For the purposes of sub-paragraph (2)(b)—

(a)provision for security” means provision authorising the Tribunal, in specified circumstances, to order a party to the proceedings, if he wishes to continue to participate in them, to pay a deposit not exceeding such sum as may be specified or calculated in a specified manner; and

(b)supplemental provision”, in relation to security, means provision as to—

(i)the manner in which the amount of a deposit is to be determined;

(ii)the consequences of non-payment of a deposit;

(iii)the circumstances in which the deposit, or any part of it, may be refunded to the person who paid it or paid to another party to the proceedings.

Conduct of the hearingU.K.

17(1)Tribunal rules may make provision—

(a)as to the manner in which proceedings are to be conducted, including provision for any hearing to be held in private if the Tribunal considers it appropriate because it is considering information of a kind mentioned in paragraph 1(2);

(b)as to the persons entitled to appear on behalf of the parties;

(c)for requiring persons to attend to give evidence and produce documents, and for authorising the administration of oaths to witnesses;

(d)as to the evidence which may be required or admitted and the extent to which it should be oral or written;

(e)allowing the Tribunal to fix time limits with respect to any aspect of proceedings and to extend any time limit (before or after its expiry);

(f)enabling the Tribunal, on the application of any party or on its own initiative, to order—

(i)the disclosure between, or the production by, the parties of documents or classes of documents; or

(ii)such recovery or inspection of documents as might be ordered by a sheriff;

(g)for the appointment of experts for the purposes of proceedings;

(h)for the award of costs or expenses, including allowances payable to persons in connection with attendance before the Tribunal;

[F31(ha)allowing the Tribunal to order payments in respect of the representation of a party to proceedings under section 47A or 47B of the 1998 Act, where the representation by a legal representative was provided free of charge;]

(i)for taxing or otherwise settling any costs or expenses awarded by the Tribunal or for the enforcement of any order awarding costs or expenses.

(2)Rules under sub-paragraph (1)(h) may provide, in relation to a claim made under section 47A of the 1998 Act which is continued on behalf of [F32a person] in proceedings under section 47B of that Act, for costs or expenses to be awarded to or against [F33that person] in respect of proceedings on that claim which took place before it was included in the proceedings under section 47B of that Act.

[F34(2A)Rules under sub-paragraph (1)(h) may provide for costs or expenses to be awarded to or against a person on whose behalf a claim is made or continued in proceedings under section 47B of the 1998 Act in respect of an application in the proceedings made by that person (where that application is not made by the representative in the proceedings on that person's behalf).]

(3)Otherwise Tribunal rules may not provide for costs or expenses to be awarded to or against [F35a person] on whose behalf a claim is made or continued in proceedings under section 47B of the 1998 Act.

(4)Tribunal rules may make provision enabling the Tribunal to refer any matter arising in any proceedings (other than proceedings under section 47A or 47B of the 1998 Act) back to the authority that made the decision to which the proceedings relate, if it appears that the matter has not been adequately investigated.

(5)A person who without reasonable excuse fails to comply with—

(a)any requirement imposed by virtue of sub-paragraph (1)(c); or

(b)any requirement with respect to the disclosure, production, recovery or inspection of documents which is imposed by virtue of sub-paragraph (1)(f),

is guilty of an offence and liable on summary conviction to a fine not exceeding level 3 on the standard scale.

Textual Amendments

F31Sch. 4 para. 17(1)(ha) inserted (3.8.2015 for specified purposes, 1.10.2015 in so far as not already in force) by Consumer Rights Act 2015 (c. 15), s. 100(5), Sch. 8 para. 32(a); S.I. 2015/1584, art. 3(d); S.I. 2015/1630, art. 3(j)

F32Words in Sch. 4 para. 17(2) substituted (3.8.2015 for specified purposes, 1.10.2015 in so far as not already in force) by Consumer Rights Act 2015 (c. 15), s. 100(5), Sch. 8 para. 32(b)(i); S.I. 2015/1584, art. 3(d); S.I. 2015/1630, art. 3(j)

F33Words in Sch. 4 para. 17(2) substituted (3.8.2015 for specified purposes, 1.10.2015 in so far as not already in force) by Consumer Rights Act 2015 (c. 15), s. 100(5), Sch. 8 para. 32(b)(ii); S.I. 2015/1584, art. 3(d); S.I. 2015/1630, art. 3(j)

F34Sch. 4 para. 17(2A) inserted (3.8.2015 for specified purposes, 1.10.2015 in so far as not already in force) by Consumer Rights Act 2015 (c. 15), s. 100(5), Sch. 8 para. 32(c); S.I. 2015/1584, art. 3(d); S.I. 2015/1630, art. 3(j)

F35Words in Sch. 4 para. 17(3) substituted (3.8.2015 for specified purposes, 1.10.2015 in so far as not already in force) by Consumer Rights Act 2015 (c. 15), s. 100(5), Sch. 8 para. 32(d); S.I. 2015/1584, art. 3(d); S.I. 2015/1630, art. 3(j)

QuorumU.K.

18(1)Tribunal rules may make provision as to the consequences of a member of the Tribunal being unable to continue after part of any proceedings have been heard.

(2)The rules may allow the Tribunal to consist of the remaining members for the rest of the proceedings.

(3)The rules may enable the President, if it is the chairman of the Tribunal who is unable to continue—

(a)to appoint either of the remaining members to chair the Tribunal; and

(b)if that person is not [F36a judge within any of paragraphs (aa) to (ac) of section 12(2) or] a member of the panel of chairmen, to appoint himself or some other suitably qualified person to attend the proceedings and advise the remaining members on any questions of law arising.

(4)For the purpose of sub-paragraph (3) a person is “suitably qualified” if he is, or is qualified for appointment as, a member of the panel of chairmen.

Textual Amendments

F36Words in Sch. 4 para. 18(3)(b) inserted (27.5.2015) by Consumer Rights Act 2015 (c. 15), ss. 82(3), 100(5); S.I. 2015/1333, art. 2(b)

InterestU.K.

19(1)Tribunal rules may make provision allowing the Tribunal to order that interest is payable on any sum awarded by the Tribunal or on any fees ordered to be paid under paragraph 20.

(2)That provision may include provision—

(a)as to the circumstances in which such an order may be made;

(b)as to the manner in which, and the periods in respect of which, interest is to be calculated and paid.

FeesU.K.

20(1)Tribunal rules may provide—

(a)for fees to be chargeable in respect of specified costs of proceedings; and

(b)for the amount of such costs to be determined by the Tribunal.

(2)Any sums received in respect of such fees shall be paid into the Consolidated Fund.

Stay or sist of proceedingsU.K.

[F3720A(1)In relation to proceedings in England and Wales or Northern Ireland under section 47A or 47B of the 1998 Act, Tribunal rules may make provision as to the stay of the proceedings, including as to—

(a)the circumstances in which a stay may be ordered or removed at the request of a party to the proceedings,

(b)the circumstances in which the proceedings may be stayed at the instance of the Tribunal, and

(c)the procedure to be followed.

(2)In relation to proceedings in Scotland under section 47A or 47B of the 1998 Act, Tribunal rules may make provision as to the sist of the proceedings, including as to—

(a)the circumstances in which a sist may be granted or recalled at the request of a party to the proceedings,

(b)the circumstances in which the proceedings may be sisted at the instance of the Tribunal, and

(c)the procedure to be followed.

(3)Rules under sub-paragraph (1) or (2) may in particular make provision in relation to the stay or sist of proceedings under section 47A or 47B which relate to a claim in respect of an infringement decision (as defined in section 47A(6)) which has not become final (see section 58A of the 1998 Act).]

Textual Amendments

F37Sch. 4 para. 20A and cross-heading inserted (3.8.2015 for specified purposes, 1.10.2015 in so far as not already in force) by Consumer Rights Act 2015 (c. 15), s. 100(5), Sch. 8 para. 33; S.I. 2015/1584, art. 3(d); S.I. 2015/1630, art. 3(j)

Withdrawal of proceedingsU.K.

21(1)Tribunal rules may make provision—

(a)preventing a party who has instituted proceedings from withdrawing them without the permission of the Tribunal or, in specified circumstances, the President or the Registrar;

(b)for the Tribunal to grant permission to withdraw proceedings on such conditions as it considers appropriate;

(c)enabling the Tribunal to publish any decision which it would have made in any proceedings, had the proceedings not been withdrawn;

(d)as to the effect of withdrawal of proceedings; and

(e)as to the procedure to be followed if parties to proceedings agree to settle.

(2)Tribunal rules may make, in relation to a claim included in proceedings under section 47B of the 1998 Act, any provision which may be made under sub-paragraph (1) in relation to the whole proceedings.

InjunctionsU.K.

[F3821ATribunal rules may make provision in relation to the grant of injunctions (including interim injunctions) in proceedings under section 47A or 47B of the 1998 Act.]

Textual Amendments

F38Sch. 4 para. 21A and cross-heading inserted (3.8.2015 for specified purposes, 1.10.2015 in so far as not already in force) by Consumer Rights Act 2015 (c. 15), s. 100(5), Sch. 8 para. 34; S.I. 2015/1584, art. 3(d); S.I. 2015/1630, art. 3(j)

Interim ordersU.K.

22(1)Tribunal rules may provide for the Tribunal to make an order, on an interim basis—

(a)suspending the effect of any decision which is the subject matter of proceedings before it;

(b)in the case of an appeal under section 46 or 47 of the 1998 Act, varying the conditions or obligations attached to an exemption;

(c)granting any remedy which the Tribunal would have had power to grant in its final decision.

(2)Tribunal rules may also make provision giving the Tribunal powers similar to those given to the [F39CMA] by section 35 of the 1998 Act.

Textual Amendments

F39Word in Sch. 4 para. 22(2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 66 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)

MiscellaneousU.K.

23(1)Tribunal rules may make provision enabling the Tribunal to decide where to sit for the purposes of, or of any part of, any proceedings before it.

(2)Tribunal rules may make provision enabling the Tribunal to decide that any proceedings before it are to be treated, for purposes connected with—

(a)any appeal from a decision of the Tribunal made in those proceedings; and

(b)any other matter connected with those proceedings,

as proceedings in England and Wales, Scotland or Northern Ireland (regardless of the decision made for the purposes of sub-paragraph (1)).

(3)For the purposes of sub-paragraph (2), Tribunal rules may provide for each claim made or continued on behalf of [F40a person] in proceedings under section 47B of the 1998 Act to be treated as separate proceedings.

Textual Amendments

F40Words in Sch. 4 para. 23(3) substituted (3.8.2015 for specified purposes, 1.10.2015 in so far as not already in force) by Consumer Rights Act 2015 (c. 15), s. 100(5), Sch. 8 para. 35; S.I. 2015/1584, art. 3(d); S.I. 2015/1630, art. 3(j)

24Tribunal rules may make provision—

(a)for a person who is not a party to be joined in any proceedings;

(b)for hearing a person who is not a party where, in any proceedings, it is proposed to make an order or give a direction in relation to that person;

(c)for proceedings to be consolidated on such terms as the Tribunal thinks appropriate in such circumstances as may be specified.

25Tribunal rules may make provision for the Tribunal to transfer [F41all or any part of] a claim made in proceedings under section 47A of the 1998 Act to—

(a)the High Court or [F42the county court in England and Wales or the High Court or a county court in] Northern Ireland; or

(b)the Court of Session or a sheriff court in Scotland.

Textual Amendments

F42Words in Sch. 4 para. 25(a) substituted (22.4.2014) by Crime and Courts Act 2013 (c. 22), s. 61(3), Sch. 9 para. 81(d); S.I. 2014/954, art. 2(c) (with art. 3) (with transitional provisions and savings in S.I. 2014/956, arts. 3-11)

26Tribunal rules may make provision in connection with the transfer of any proceedings from a court mentioned in paragraph 25 to the Tribunal under section 16.

Section 21

SCHEDULE 5U.K.Proceedings under Part 1 of the 1998 Act

1U.K.Part 1 of the 1998 Act is amended as follows.

2U.K.In section 46 (appealable decisions)—

(a)in subsections (1) and (2), for “the Competition Commission” there is substituted “ the Tribunal ”;

(b)in subsection (3) (in the full-out words), after “other decision” there is inserted “ under this Part ”;

(c)subsection (3)(h) shall cease to have effect.

Commencement Information

I1Sch. 5 para. 2 partly in force; Sch. 5 para. 2 not in force at Royal assent see s. 279; Sch. 5 para. 2(a)(b) in force at 1.4.2003 by S.I. 2003/766, art. 2, Sch.

3U.K.Section 48 (appeal tribunals) shall cease to have effect.

4U.K.For section 49 there is substituted—

49 Further appeals

(1)An appeal lies to the appropriate court—

(a)from a decision of the Tribunal as to the amount of a penalty under section 36;

(b)from a decision of the Tribunal as to the award of damages or other sum in respect of a claim made in proceedings under section 47A or included in proceedings under section 47B (other than a decision on costs or expenses) or as to the amount of any such damages or other sum; and

(c)on a point of law arising from any other decision of the Tribunal on an appeal under section 46 or 47.

(2)An appeal under this section—

(a)may be brought by a party to the proceedings before the Tribunal or by a person who has a sufficient interest in the matter; and

(b)requires the permission of the Tribunal or the appropriate court.

(3)In this section “the appropriate court” means the Court of Appeal or, in the case of an appeal from Tribunal proceedings in Scotland, the Court of Session.

Commencement Information

I2Sch. 5 para. 4 wholly in force at 18.7.2004; Sch. 5 para. 4 not in force at Royal Assent see s. 279; Sch. 5 para. 4 in force for certain purposes at 1.4.2003 by S.I. 2003/766, art. 2, Sch., Sch. 5 para. 4 in force for remaining purposes at 18.7.2004 by S.I. 2004/1866 {art. 2}

5U.K.In section 58(1) (findings of fact by director)—

(a)in paragraph (a), after “appeal” there is inserted “ under section 46 or 47 ”; and

(b)in paragraph (b), for “an appeal tribunal” there is substituted “ the Tribunal ”.

6U.K.In section 59(1) (interpretation of Part 1)—

(a)the definition of “appeal tribunal” shall cease to have effect;

(b)after the definition of “the Treaty” there is inserted—

the Tribunal” means the Competition Appeal Tribunal;

Tribunal rules” means rules under section 15 of the Enterprise Act 2002.

7(1)Schedule 7 (the Competition Commission) is amended as follows.U.K.

(2)In paragraph 1 (interpretation)—

(a)the definitions of “appeal panel member” and “the President” shall cease to have effect; and

(b)in the definition of “general functions”, paragraph (a) and the word “or” after it shall cease to have effect.

(3)In paragraph 2 (membership), sub-paragraphs (1)(a), (3)(a) and (4) shall cease to have effect.

(4)Paragraph 4 (the President) shall cease to have effect.

(5)In paragraph 5 (the Council)—

(a)sub-paragraph (2)(b), and

(b)in sub-paragraph (3), the words “and paragraph 5 of Schedule 8”,

shall cease to have effect.

(6)Part 3 (appeals) shall cease to have effect.

8(1)Schedule 8 (appeals) is amended as follows.U.K.

(2)Paragraph 1 shall cease to have effect.

(3)In paragraph 2 (general procedure for appeals under Part 1)—

(a)in sub-paragraph (1), for the words from “Competition” to “Commission” (in the second place it appears) there is substituted “ Tribunal under section 46 or 47 must be made by sending a notice of appeal to it ”;

(b)in sub-paragraph (3), for “tribunal” there is substituted “ Tribunal ”; and

(c)after sub-paragraph (3) there is inserted—

(4)In this paragraph references to the Tribunal are to the Tribunal as constituted (in accordance with section 14 of the Enterprise Act 2002) for the purposes of the proceedings in question.

(5)Nothing in this paragraph restricts the power under section 15 of the Enterprise Act 2002 (Tribunal rules) to make provision as to the manner of instituting proceedings before the Tribunal.

(4)In paragraph 3, for “tribunal” (in each place) there is substituted “ Tribunal ”.

(5)Paragraphs 4 to 14 shall cease to have effect.

Section 70

SCHEDULE 6U.K.Schedule to be inserted in the Water Industry Act 1991

Section 34

SCHEDULE 4ZAU.K.Application of provisions of Enterprise Act 2002 to mergers of water enterprises

1Part 3 of the 2002 Act (and any other provisions of that Act so far as relating to that Part) shall apply, with such prescribed modifications as the Secretary of State considers to be necessary or expedient, in relation to water mergers and merger references under section 32 of this Act as it applies in relation to relevant merger situations and references under Part 3 of that Act.

2The modifications made by virtue of paragraph 1 above shall include modifications to give effect to paragraphs 3 to 6 below.

3(1)The first questions to be decided by the Competition Commission on a merger reference under section 32(a) of this Act shall be—

(a)whether arrangements are in progress which, if carried into effect, will result in a water merger; and

(b)if so, whether that merger may be expected to prejudice the ability of the Director, in carrying out his functions by virtue of this Act, to make comparisons between different water enterprises.

(2)The first questions to be decided by the Competition Commission on a merger reference under section 32(b) of this Act shall be—

(a)whether a water merger has taken place; and

(b)if so, whether that merger has prejudiced, or may be expected to prejudice, the ability of the Director, in carrying out his functions by virtue of this Act, to make comparisons between different water enterprises.

(3)Any decision of the Competition Commission on a merger reference under section 32(a) of this Act that arrangements are in progress which, if carried into effect, will result in a water merger shall be treated as a decision that no arrangements are in progress which, if carried into effect, will result in a water merger if the decision is not that of at least two-thirds of the members of the group constituted in connection with the reference in pursuance of paragraph 15 of Schedule 7 to the Competition Act 1998 (c. 41).

(4)Any decision of the Competition Commission on a merger reference under section 32(a) of this Act that a water merger may be expected to prejudice the ability of the Director, in carrying out his functions by virtue of this Act, to make comparisons between different water enterprises shall be treated as a decision that the water merger may be expected not to prejudice that ability of the Director if the decision is not that of at least two-thirds of the members of the group constituted in connection with the reference in pursuance of paragraph 15 of Schedule 7 to the Competition Act 1998.

(5)Any decision of the Competition Commission on a merger reference under section 32(b) of this Act that a water merger has taken place shall be treated as a decision that no water merger has taken place if the decision is not that of at least two-thirds of the members of the group constituted in connection with the reference in pursuance of paragraph 15 of Schedule 7 to the Competition Act 1998.

(6)Any decision of the Competition Commission on a merger reference under section 32(b) of this Act that a water merger has prejudiced, or may be expected to prejudice, the ability of the Director, in carrying out his functions by virtue of this Act, to make comparisons between different water enterprises shall be treated as a decision that the water merger has not prejudiced, or may be expected not to prejudice, that ability of the Director if the decision is not that of at least two-thirds of the members of the group constituted in connection with the reference in pursuance of paragraph 15 of Schedule 7 to the Competition Act 1998.

4(1)In deciding, on a merger reference under section 32(a) of this Act whether to take action for the purpose of remedying, mitigating or preventing the prejudice to the Director or any adverse effect which may be expected to result from the prejudice to the Director and, if so, what action should be taken, the Competition Commission may, in particular, have regard to the effect of any such action on any relevant customer benefits in relation to the merger concerned provided that—

(a)a consideration of those benefits would not prevent a solution to the prejudice concerned; or

(b)the benefits which may be expected to accrue are substantially more important than the prejudice concerned.

(2)In deciding, on a merger reference under section 32(b) of this Act whether to take action for the purpose of remedying, mitigating or preventing the prejudice to the Director or any adverse effect which has resulted from, or may be expected to result from, the prejudice to the Director and, if so, what action should be taken, the Competition Commission may, in particular, have regard to the effect of any such action on any relevant customer benefits in relation to the merger concerned provided that—

(a)a consideration of those benefits would not prevent a solution to the prejudice concerned; or

(b)the benefits which have accrued, or may be expected to accrue, are substantially more important than the prejudice concerned.

(3)This paragraph is without prejudice to the power of the Secretary of State to provide in regulations made under paragraph 1 above for other matters to which the Competition Commission may or must have regard in deciding the questions as mentioned in sub-paragraph (1) or (2) above (including matters which are to take priority over the effect of action on relevant customer benefits).

5(1)No enforcement action shall be taken on a merger reference under section 32(b) of this Act in respect of an actual merger unless the reference was made within the period of four months beginning with whichever is the later of—

(a)the day on which the merger took place; and

(b)the day on which the material facts about the transactions which resulted in the merger first came to the attention of the OFT or were made public (within the meaning given by section 24(3) of the 2002 Act).

(2)This paragraph is without prejudice to the power of the Secretary of State to provide in regulations made under paragraph 1 above for extensions of the four month period; and, if any such provision is made in such regulations, the provision which is to be made in regulations under paragraph 1 above by virtue of sub-paragraph (1) above or paragraph 6 below may be adjusted accordingly.

6If, on a merger reference under section 32(b) of this Act, the Competition Commission are satisfied that the reference was not made within the period of four months mentioned in paragraph 5 above, its report on the reference shall state that fact.

7(1)For the purposes of this Schedule a benefit is a relevant customer benefit if—

(a)it is a benefit to relevant customers in the form of—

(i)lower prices, higher quality or greater choice of goods or services in any market in the United Kingdom; or

(ii)greater innovation in relation to such goods or services; and

(b)the Competition Commission believes—

(i)in the case of a merger reference under section 32(a) of this Act, as mentioned in sub-paragraph (2) below; and

(ii)in the case of a merger reference under section 32(b) of this Act, as mentioned in sub-paragraph (3) below.

(2)The belief, in the case of a merger reference under section 32(a) of this Act, is that—

(a)the benefit may be expected to accrue within a reasonable period as a result of the merger concerned; and

(b)the benefit is unlikely to accrue without the merger concerned or a similar prejudice to the Director.

(3)The belief, in the case of a merger reference under section 32(b) of this Act is that—

(a)the benefit has accrued as a result of the merger concerned or may be expected to accrue within a reasonable period as a result of the merger concerned; and

(b)the benefit was, or is, unlikely to accrue without the merger concerned or a similar prejudice to the Director.

(4)In sub-paragraph (1) above “relevant customers” means—

(a)customers of any person carrying on an enterprise which, in the merger concerned, has ceased to be, or (as the case may be) will cease to be, a distinct enterprise;

(b)customers of such customers; and

(c)any other customers in a chain of customers beginning with the customers mentioned in paragraph (a);

and in this sub-paragraph “customers” includes future customers.

8In this Schedule—

  • customers”, “goods”, “market in the United Kingdom”, “services” and “relevant merger situation” have the same meanings as in Part 3 of the 2002 Act; and

  • water merger” means a merger of any two or more water enterprises.

Section 85

SCHEDULE 7U.K.Enforcement regime for public interest and special public interest cases

Pre-emptive undertakings and ordersU.K.

F431. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2(1)Sub-paragraph (2) applies where an intervention notice or special intervention notice is in force.U.K.

(2)The Secretary of State or the [F44CMA] may by order, for the purpose of preventing pre-emptive action—

(a)prohibit or restrict the doing of things which the Secretary of State or (as the case may be) the [F44CMA] considers would constitute pre-emptive action;

(b)impose on any person concerned obligations as to the carrying on of any activities or the safeguarding of any assets;

(c)provide for the carrying on of any activities or the safeguarding of any assets either by the appointment of a person to conduct or supervise the conduct of any activities (on such terms and with such powers as may be specified or described in the order) or in any other manner;

(d)do anything which may be done by virtue of paragraph 19 of Schedule 8.

[F45(2A)Sub-paragraph (2B) applies where—

(a)an intervention notice or special intervention notice is in force, and

(b)the Secretary of State or the CMA has reasonable grounds for suspecting that pre-emptive action has or may have been taken.

(2B)The Secretary of State or (as the case may be) the CMA may by order, for the purpose of restoring the position to what it would have been had the pre-emptive action not been taken or otherwise for the purpose of mitigating its effects—

(a)do anything mentioned in sub-paragraph (2)(b) to (d);

(b)impose such other obligations, prohibitions or restrictions as it considers appropriate for that purpose.]

[F46(2C)A person may, with the consent of the Secretary of State or (as the case may be) the CMA, take action or action of a particular description where the action would otherwise constitute a contravention of an order under this paragraph by the Secretary of State or (as the case may be) the CMA.]

(3)Sub-paragraph (4) applies where an intervention notice is in force.

(4)The Secretary of State F47... may, for the purpose of preventing pre-emptive action, adopt an order made [F48by the CMA] under section 72 if the order is still in force when the Secretary of State F49... adopts it.

(5)An order adopted under sub-paragraph (4)—

(a)shall continue in force, in accordance with its terms, when adopted; and

(b)may be varied or revoked by an order under this paragraph.

(6)Any other order under this paragraph—

(a)shall come into force at such time as is determined by or under the order; and

(b)may be varied or revoked by another order.

(7)References in this Part to orders under this paragraph shall, unless the context otherwise requires, include references to orders adopted under this paragraph; and references to the making of orders under this paragraph shall be construed accordingly.

(8)An order which is in force under this paragraph in relation to a reference or possible reference under section 45 or (as the case may be) 62 shall cease to be in force if an undertaking under paragraph F50... 3 comes into force in relation to that reference.

(9)An order under this paragraph shall, if it has not previously ceased to be in force, cease to be in force when the intervention notice concerned or (as the case may be) special intervention notice concerned ceases to be in force.

(10)No order shall be made by the Secretary of State or the [F51CMA] under this paragraph before the making of a reference under section 45 or (as the case may be) 62 unless[F52

(a)the Secretary of State or (as the case may be) the CMA has reasonable grounds for suspecting that it is or may be the case that two or more enterprises have ceased to be distinct or that arrangements are in progress or in contemplation which, if carried into effect, will result in two or more enterprises ceasing to be distinct; or

(b)the order relates to a special merger situation which has been, or may have been, created.]

(11)The Secretary of State or (as the case may be) the [F51CMA] shall, as soon as reasonably practicable, consider any representations received by that person in relation to varying or revoking an order under this paragraph.

[F53(12)In this paragraph “pre-emptive action” means action which might prejudice the reference or possible reference concerned under section 45 or (as the case may be) 62 or impede the taking of any action under this Part which may be justified by the Secretary of State's decisions on the reference.]

Textual Amendments

F44Word in Sch. 7 para. 2(2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 160(2) (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)

F45Sch. 7 para. 2(2A)(2B) inserted (25.4.2013 for specified purposes, 1.4.2014 in so far as not already in force) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(1)(3), Sch. 7 para. 4(3); S.I. 2014/416, art. 2(1)(d) (with Sch.)

F47Words in Sch. 7 para. 2(4) omitted (1.4.2014) by virtue of Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 7 para. 4(5)(a); S.I. 2014/416, art. 2(1)(d) (with Sch.)

F49Words in Sch. 7 para. 2(4) omitted (1.4.2014) by virtue of Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 7 para. 4(5)(c); S.I. 2014/416, art. 2(1)(d) (with Sch.)

F50Words in Sch. 7 para. 2(8) omitted (1.4.2014) by virtue of Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 7 para. 4(6); S.I. 2014/416, art. 2(1)(d) (with Sch.)

F51Word in Sch. 7 para. 2(10)(11) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 160(2) (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)

Modifications etc. (not altering text)

Undertakings in lieu of reference under section 45 or 62U.K.

3(1)Sub-paragraph (2) applies if the Secretary of State has power to make a reference to the Commission under section 45 or 62 and otherwise intends to make such a reference.

(2)The Secretary of State may, instead of making such a reference and for the purpose of remedying, mitigating or preventing any of the effects adverse to the public interest which have or may have resulted, or which may be expected to result, from the creation of the relevant merger situation concerned or (as the case may be) the special merger situation concerned, accept from such of the parties concerned as he considers appropriate undertakings to take such action as he considers appropriate.

(3)In proceeding under sub-paragraph (2), the Secretary of State shall, in particular—

(a)accept the decisions of the [F54CMA] included in its report under section 44 so far as they relate to the matters mentioned in subsections (4) and (5) of that section; or

(b)(as the case may be) accept the decisions of the [F54CMA] included in its report under section 61 so far as they relate to the matters mentioned in subsections (3)(a) and (4) of that section.

(4)In proceeding under sub-paragraph (2) in relation to an anti-competitive outcome, the Secretary of State may, in particular, have regard to the effect of any action on any relevant customer benefits in relation to the creation of the relevant merger situation concerned.

(5)No undertaking shall be accepted by the Secretary of State under this paragraph in connection with a possible reference under section 45 if a public interest consideration mentioned in the intervention notice concerned has not been finalised and the period of 24 weeks beginning with the giving of that notice has not expired.

(6)The Secretary of State may delay making a decision as to whether to accept any such undertaking (and any related decision as to whether to make a reference under section 45) if he considers that there is a realistic prospect of the public interest consideration being finalised within the period of 24 weeks beginning with the giving of the intervention notice concerned.

(7)A delay under sub-paragraph (6) shall not extend beyond—

(a)the time when the public interest consideration is finalised; or

(b)if earlier, the expiry of the period of 24 weeks mentioned in that sub-paragraph.

(8)An undertaking under this paragraph—

(a)shall come into force when accepted;

(b)may be varied or superseded by another undertaking; or

(c)may be released by the Secretary of State.

(9)An undertaking under this paragraph which is in force in relation to a relevant merger situation or (as the case may be) a special merger situation shall cease to be in force if an order comes into force under paragraph 5 or 6 in relation to that undertaking.

(10)The Secretary of State shall, as soon as reasonably practicable, consider any representations received by him in relation to varying or releasing an undertaking under this section.

Textual Amendments

F54Word in Sch. 7 para. 3(3) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 160(3) (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)

4(1)The relevant authority shall not make a reference under section 22, 33 or 45 in relation to the creation of a relevant merger situation or (as the case may be) a reference under section 62 in relation to the creation of a special merger situation if—U.K.

(a)the Secretary of State has accepted an undertaking or group of undertakings under paragraph 3; and

(b)the relevant merger situation or (as the case may be) the special merger situation is the situation by reference to which the undertaking or group of undertakings was accepted.

(2)In sub-paragraph (1) “the relevant authority” means—

(a)in relation to a possible reference under section 22 or 33, the [F55CMA]; and

(b)in relation to a possible reference under section 45 or 62, the Secretary of State.

(3)Sub-paragraph (1) does not prevent the making of a reference if material facts about relevant arrangements or transactions, or relevant proposed arrangements or transactions, were not notified (whether in writing or otherwise) to the Secretary of State or the [F55CMA] or made public before any undertaking concerned was accepted.

(4)For the purposes of sub-paragraph (3) arrangements or transactions, or proposed arrangements or transactions, are relevant if they are the ones in consequence of which the enterprises concerned ceased or may have ceased, or may cease, to be distinct enterprises.

(5)In sub-paragraph (3) “made public” means so publicised as to be generally known or readily ascertainable.

Textual Amendments

F55Word in Sch. 7 para. 4(2)(3) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 160(4) (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)

5(1)Sub-paragraph (2) applies where the Secretary of State considers that—U.K.

(a)an undertaking accepted by him under paragraph 3 has not been, is not being or will not be fulfilled; or

(b)in relation to an undertaking accepted by him under that paragraph, information which was false or misleading in a material respect was given to him or the [F56CMA] by the person giving the undertaking before he decided to accept the undertaking.

(2)The Secretary of State may, for any of the purposes mentioned in paragraph 3(2), make an order under this paragraph.

(3)Sub-paragraphs (3) and (4) of paragraph 3 shall apply for the purposes of sub-paragraph (2) above as they apply for the purposes of sub-paragraph (2) of that paragraph.

(4)An order under this paragraph may contain—

(a)anything permitted by Schedule 8; and

(b)such supplementary, consequential or incidental provision as the Secretary of State considers appropriate.

(5)An order under this paragraph

(a)shall come into force at such time as is determined by or under the order; and

(b)may contain provision which is different from the provision contained in the undertaking concerned.

(6)No order shall be varied or revoked under this paragraph unless the [F57CMA] advises that such a variation or revocation is appropriate by reason of a change of circumstances.

Textual Amendments

Modifications etc. (not altering text)

C6Ss. 75(4)(a), 83(4)(a), 84(2)(a), 89(1), 160(4)(a), 161(3)(a), 164(1), Sch. 7 paras. 5, 10, 11 modified (20.6.2003) by 1988 c. 48, s. 144(2) (as substituted by 2002 (c. 40), ss. 278, 279, {Sch. 25 para. 18(2)}); S.I. 2003/1397, art. 2(1), Sch. (with art. 8)

C7Ss. 75(4)(a), 83(4)(a), 84(2)(a), 89(1), 160(4)(a), 161(3)(a), 164(1), Sch. 7 paras. 5, 10, 11 modified (20.6.2003) by 1988 c. 48, s. 238(2) (as substituted by 2002 (c. 40), ss. 278, 279, {Sch. 25 para. 18(4)}); S.I. 2003/1397, art. 2(1), Sch. (with art. 8)

C8Ss. 75(4)(a), 83(4)(a), 84(2)(a), 89(1), 160(4)(a), 161(3)(a), 164(1), Sch. 7 paras. 5, 10, 11 modified (20.6.2003) by 1988 c. 48, Sch. 2A para. 17(2) (as substituted by 2002 (c. 40), ss. 278, 279, {Sch. 25 para. 18(5)(a)}); S.I. 2003/1397, art. 2(1), Sch. (with art. 8)

6(1)Sub-paragraph (2) applies where—U.K.

(a)the Secretary of State has the power to make an order under paragraph 5 in relation to a particular undertaking and intends to make such an order; or

(b)the Secretary of State has the power to make an order under paragraph 10 in relation to a particular undertaking and intends to make such an order.

(2)The Secretary of State may, for the purpose of preventing any action which might prejudice the making of that order, make an order under this paragraph.

(3)No order shall be made under sub-paragraph (2) unless the Secretary of State has reasonable grounds for suspecting that it is or may be the case that action which might prejudice the making of the order under paragraph 5 or (as the case may be) 10 is in progress or in contemplation.

(4)An order under sub-paragraph (2) may—

(a)prohibit or restrict the doing of things which the Secretary of State considers would prejudice the making of the order under paragraph 5 or 10;

(b)impose on any person concerned obligations as to the carrying on of any activities or the safeguarding of any assets;

(c)provide for the carrying on of any activities or the safeguarding of any assets either by the appointment of a person to conduct or supervise the conduct of any activities (on such terms and with such powers as may be specified or described in the order) or in any other manner;

(d)do anything which may be done by virtue of paragraph 19 of Schedule 8.

(5)An order under this paragraph shall come into force at such time as is determined by or under the order.

(6)An order under this paragraph shall, if it has not previously ceased to be in force, cease to be in force on—

(a)the coming into force of an order under paragraph 5 or (as the case may be) 10 in relation to the undertaking concerned; or

(b)the making of the decision not to proceed with such an order.

(7)The Secretary of State shall, as soon as reasonably practicable, consider any representations received by him in relation to varying or revoking an order under this paragraph.

Statutory restrictions following reference under section 45 or 62U.K.

7(1)Sub-paragraphs (2) and (3) apply where—

(a)a reference has been made under section 45(2) or (3) or 62(2) but not finally determined; and

[F58(b)no orders under paragraph 2 are in force in relation to the relevant merger situation concerned or (as the case may be) the special merger situation concerned.]

(2)No relevant person shall, without the consent of the Secretary of State—

(a)complete any outstanding matters in connection with any arrangements which have resulted in the enterprises concerned ceasing to be distinct enterprises;

(b)make any further arrangements in consequence of that result (other than arrangements which reverse that result); or

(c)transfer the ownership or control of any enterprises to which the reference relates.

(3)No relevant person shall, without the consent of the Secretary of State, assist in any of the activities mentioned in paragraphs (a) to (c) of sub-paragraph (2).

(4)The prohibitions in sub-paragraphs (2) and (3) do not apply in relation to anything which the person concerned is required to do by virtue of any enactment.

(5)The consent of the Secretary of State under sub-paragraph (2) or (3)—

(a)may be general or specific;

(b)may be revoked by the Secretary of State; and

(c)shall be published in such manner as the Secretary of State considers appropriate for bringing it to the attention of any person entitled to the benefit of it.

(6)Paragraph (c) of sub-paragraph (5) shall not apply if the Secretary of State considers that publication is not necessary for the purpose mentioned in that paragraph.

(7)Sub-paragraphs (2) and (3) shall apply to a person’s conduct outside the United Kingdom if (and only if) he is—

(a)a United Kingdom national;

(b)a body incorporated under the law of the United Kingdom or of any part of the United Kingdom; or

(c)a person carrying on business in the United Kingdom.

(8)For the purpose of this paragraph a reference under section 45(2) or (3) is finally determined if—

(a)the time within which the [F59CMA] is to prepare a report under section 50 in relation to the reference and give it to the Secretary of State has expired and no such report has been so prepared and given;

(b)the [F59CMA] decides to cancel the reference under section 53(1);

(c)the time within which the Secretary of State is to make and publish a decision under section 54(2) has expired and no such decision has been made and published;

(d)the Secretary of State decides under section 54(2) to make no finding at all in the matter;

(e)the Secretary of State otherwise decides under section 54(2) not to make an adverse public interest finding;

(f)the Secretary of State decides under section 54(2) to make an adverse public interest finding but decides neither to accept an undertaking under paragraph 9 of this Schedule nor to make an order under paragraph 11 of this Schedule; or

(g)the Secretary of State decides under section 54(2) to make an adverse public interest finding and accepts an undertaking under paragraph 9 of this Schedule or makes an order under paragraph 11 of this Schedule.

(9)For the purpose of this paragraph a reference under section 62(2) is finally determined if—

(a)the time within which the [F59CMA] is to prepare a report under section 65 in relation to the reference and give it to the Secretary of State has expired and no such report has been so prepared and given;

(b)the time within which the Secretary of State is to make and publish a decision under section 66(2) has expired and no such decision has been made and published;

(c)the Secretary of State decides under subsection (2) of section 66 otherwise than as mentioned in subsection (5) of that section;

(d)the Secretary of State decides under subsection (2) of section 66 as mentioned in subsection (5) of that section but decides neither to accept an undertaking under paragraph 9 of this Schedule nor to make an order under paragraph 11 of this Schedule; or

(e)the Secretary of State decides under subsection (2) of section 66 as mentioned in subsection (5) of that section and accepts an undertaking under paragraph 9 of this Schedule or makes an order under paragraph 11 of this Schedule.

(10)For the purposes of this paragraph the time when a reference under section 45(2) or (3) or (as the case may be) 62(2) is finally determined is—

(a)in a case falling within sub-paragraph (8)(a) or (c) or (as the case may be) (9)(a) or (b), the expiry of the time concerned;

(b)in a case falling within sub-paragraph (8)(b), (d) or (e) or (as the case may be) (9)(c), the making of the decision concerned;

(c)in a case falling within sub-paragraph (8)(f) or (as the case may be) (9)(d), the making of the decision neither to accept an undertaking under paragraph 9 of this Schedule nor to make an order under paragraph 11 of this Schedule; and

(d)in a case falling within sub-paragraph (8)(g) or (as the case may be) (9)(e), the acceptance of the undertaking concerned or (as the case may be) the making of the order concerned.

(11)In this paragraph “relevant person” means—

(a)any person who carries on any enterprise to which the reference relates or who has control of any such enterprise;

(b)any subsidiary of any person falling within paragraph (a); or

(c)any person associated with any person falling within paragraph (a) or any subsidiary of any person so associated.

8(1)Sub-paragraph (2) applies where—U.K.

(a)a reference has been made under section 45(4) or (5) or 62(3); and

[F60(b)no orders under paragraph 2 are in force in relation to the relevant merger situation concerned or (as the case may be) the special merger situation concerned.]

(2)No relevant person shall, without the consent of the Secretary of State, directly or indirectly acquire during the relevant period an interest in shares in a company if any enterprise to which the reference relates is carried on by or under the control of that company.

(3)The consent of the Secretary of State under sub-paragraph (2)—

(a)may be general or specific;

(b)may be revoked by the Secretary of State; and

(c)shall be published in such manner as the Secretary of State considers appropriate for bringing it to the attention of any person entitled to the benefit of it.

(4)Paragraph (c) of sub-paragraph (3) shall not apply if the Secretary of State considers that publication is not necessary for the purpose mentioned in that paragraph.

(5)Sub-paragraph (2) shall apply to a person’s conduct outside the United Kingdom if (and only if) he is—

(a)a United Kingdom national;

(b)a body incorporated under the law of the United Kingdom or of any part of the United Kingdom; or

(c)a person carrying on business in the United Kingdom.

(6)In this paragraph—

  • company” includes any body corporate;

  • relevant period” means the period beginning with the publication of the decision of the Secretary of State to make the reference concerned and ending when the reference is finally determined;

  • relevant person” means—

    (a)

    any person who carries on any enterprise to which the reference relates or who has control of any such enterprise;

    (b)

    any subsidiary of any person falling within paragraph (a); or

    (c)

    any person associated with any person falling within paragraph (a) or any subsidiary of any person so associated; and

  • share” means share in the capital of a company, and includes stock.

(7)For the purposes of the definition of “relevant period” in sub-paragraph (6), a reference under section 45(4) or (5) is finally determined if—

(a)the [F61CMA] cancels the reference under section 48(1) or 53(1);

(b)the time within which the [F61CMA] is to prepare a report under section 50 in relation to the reference and give it to the Secretary of State has expired and no such report has been so prepared and given;

(c)the time within which the Secretary of State is to make and publish a decision under section 54(2) has expired and no such decision has been made and published;

(d)the Secretary of State decides under section 54(2) to make no finding at all in the matter;

(e)the Secretary of State otherwise decides under section 54(2) not to make an adverse public interest finding;

(f)the Secretary of State decides under section 54(2) to make an adverse public interest finding but decides neither to accept an undertaking under paragraph 9 of this Schedule nor to make an order under paragraph 11 of this Schedule; or

(g)the Secretary of State decides under section 54(2) to make an adverse public interest finding and accepts an undertaking under paragraph 9 of this Schedule or makes an order under paragraph 11 of this Schedule.

(8)For the purposes of the definition of “relevant period” in sub-paragraph (6), a reference under section 62(3) is finally determined if—

(a)the [F61CMA] cancels the reference under section 64(1);

(b)the time within which the [F61CMA] is to prepare a report under section 65 in relation to the reference and give it to the Secretary of State has expired and no such report has been so prepared and given;

(c)the time within which the Secretary of State is to make and publish a decision under section 66(2) has expired and no such decision has been made and published;

(d)the Secretary of State decides under subsection (2) of section 66 otherwise than as mentioned in subsection (5) of that section;

(e)the Secretary of State decides under subsection (2) of section 66 as mentioned in subsection (5) of that section but decides neither to accept an undertaking under paragraph 9 of this Schedule nor to make an order under paragraph 11 of this Schedule; or

(f)the Secretary of State decides under subsection (2) of section 66 as mentioned in subsection (5) of that section and accepts an undertaking under paragraph 9 of this Schedule or makes an order under paragraph 11 of this Schedule.

(9)For the purposes of the definition of “relevant period” in sub-paragraph (6) above, the time when a reference under section 45(4) or (5) or (as the case may be) 62(3) is finally determined is—

(a)in a case falling within sub-paragraph (7)(a), (d) or (e) or (as the case may be) (8)(a) or (d), the making of the decision concerned;

(b)in a case falling within sub-paragraph (7)(b) or (c) or (as the case may be) (8)(b) or (c), the expiry of the time concerned;

(c)in a case falling within sub-paragraph (7)(f) or (as the case may be) (8)(e), the making of the decision neither to accept an undertaking under paragraph 9 of this Schedule nor to make an order under paragraph 11 of this Schedule; and

(d)in a case falling within sub-paragraph (7)(g) or (as the case may be) (8)(f), the acceptance of the undertaking concerned or (as the case may be) the making of the order concerned.

(10)Section 79 shall apply for the purposes of paragraph 7 and this paragraph in relation to a reference under section 45 or 62 as it applies for the purposes of sections 77 and 78 in relation to a reference under section 22 or 33.

(11)In its application by virtue of sub-paragraph (10) section 79 shall have effect as if—

(a)subsections (1) and (2) were omitted; and

(b)for the reference in subsection (4) to the [F62CMA] there were substituted a reference to the Secretary of State.

Final undertakings and ordersU.K.

9(1)The Secretary of State may, in accordance with section 55 or (as the case may be) 66(5) to (7), accept, from such persons as he considers appropriate, undertakings to take action specified or described in the undertakings.

(2)An undertaking under this paragraph—

(a)shall come into force when accepted;

(b)may be varied or superseded by another undertaking; and

(c)may be released by the Secretary of State.

(3)An undertaking which is in force under this paragraph in relation to a reference under section 45 or 62 shall cease to be in force if an order under paragraph 6(1)(b) or 10 comes into force in relation to the subject-matter of the undertaking.

(4)No undertaking shall be accepted under this paragraph in relation to a reference under section 45 or 62 if an order has been made under—

(a)paragraph 6(1)(b) or 10 in relation to the subject-matter of the undertaking; or

(b)paragraph 11 in relation to that reference.

(5)The Secretary of State shall, as soon as reasonably practicable, consider any representations received by him in relation to varying or releasing an undertaking under this section.

10(1)Sub-paragraph (2) applies where the Secretary of State considers that—U.K.

(a)an undertaking accepted by him under paragraph 9 has not been, is not being or will not be fulfilled; or

(b)in relation to an undertaking accepted by him under that paragraph, information which was false or misleading in a material respect was given to him or the [F63CMA] by the person giving the undertaking before he decided to accept the undertaking.

(2)The Secretary of State may, for any purpose mentioned in section 55(2) or (as the case may be) 66(6), make an order under this paragraph.

(3)Subsections (3) and (4) of section 55 or (as the case may be) subsection (7) of section 66 shall apply for the purposes of sub-paragraph (2) above as they or it applies for the purposes of section 55(2) or (as the case may be) 66(6).

(4)An order under this paragraph may contain—

(a)anything permitted by Schedule 8; and

(b)such supplementary, consequential or incidental provision as the Secretary of State considers appropriate.

(5)An order under this paragraph—

(a)shall come into force at such time as is determined by or under the order; and

(b)may contain provision which is different from the provision contained in the undertaking concerned.

(6)No order shall be varied or revoked under this paragraph unless the [F64CMA] advises that such a variation or revocation is appropriate by reason of a change of circumstances.

Textual Amendments

Modifications etc. (not altering text)

C9Ss. 75(4)(a), 83(4)(a), 84(2)(a), 89(1), 160(4)(a), 161(3)(a), 164(1), Sch. 7 paras. 5, 10, 11 modified (20.6.2003) by 1988 c. 48, s. 144(2) (as substituted by 2002 (c. 40), ss. 278, 279, {Sch. 25 para. 18(2)}); S.I. 2003/1397, art. 2(1), Sch. (with art. 8)

C10Ss. 75(4)(a), 83(4)(a), 84(2)(a), 89(1), 160(4)(a), 161(3)(a), 164(1), Sch. 7 paras. 5, 10, 11 modified (20.6.2003) by 1988 c. 48, s. 238(2) (as substituted by 2002 (c. 40), ss. 278, 279, {Sch. 25 para. 18(4)}); S.I. 2003/1397, art. 2(1), Sch. (with art. 8)

C11Ss. 75(4)(a), 83(4)(a), 84(2)(a), 89(1), 160(4)(a), 161(3)(a), 164(1), Sch. 7 paras. 5, 10, 11 modified (20.6.2003) by 1988 c. 48, Sch. 2A para. 17(2) (as substituted by 2002 (c. 40), ss. 278, 279, {Sch. 25 para. 18(5)(a)}); S.I. 2003/1397, art. 2(1), Sch. (with art. 8)

11(1)The Secretary of State may, in accordance with section 55 or (as the case may be) 66(5) to (7), make an order under this paragraph.U.K.

(2)An order under this paragraph may contain—

(a)anything permitted by Schedule 8; and

(b)such supplementary, consequential or incidental provision as the Secretary of State considers appropriate.

(3)An order under this paragraph shall come into force at such time as is determined by or under the order.

(4)No order shall be made under this paragraph in relation to a reference under section 45 or (as the case may be) 62 if an undertaking has been accepted under paragraph 9 in relation to that reference.

(5)No order shall be varied or revoked under this paragraph unless the [F65CMA] advises that such a variation or revocation is appropriate by reason of a change of circumstances.

Textual Amendments

F65Word in Sch. 7 para. 11(5) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 160(9) (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)

Modifications etc. (not altering text)

C12Ss. 75(4)(a), 83(4)(a), 84(2)(a), 89(1), 160(4)(a), 161(3)(a), 164(1), Sch. 7 paras. 5, 10, 11 modified (20.6.2003) by 1988 c. 48, s. 144(2) (as substituted by 2002 c. 40, ss. 278, 279, Sch. 25 para. 18(2)); S.I. 2003/1397, art. 2(1), Sch. (with art. 8)

C13Ss. 75(4)(a), 83(4)(a), 84(2)(a), 89(1), 160(4)(a), 161(3)(a), 164(1), Sch. 7 paras. 5, 10, 11 modified (20.6.2003) by 1988 c. 48, s. 238(2) (as substituted by 2002 c. 40, ss. 278, 279, Sch. 25 para. 18(4)); S.I. 2003/1397, art. 2(1), Sch. (with art. 8)

C14Ss. 75(4)(a), 83(4)(a), 84(2)(a), 89(1), 160(4)(a), 161(3)(a), 164(1), Sch. 7 paras. 5, 10, 11 modified (20.6.2003) by 1988 c. 48, Sch. 2A para. 17(2) (as substituted by 2002 c. 40, ss. 278, 279, Sch. 25 para. 18(5)(a)); S.I. 2003/1397, art. 2(1), Sch. (with art. 8)

Section 86(4)

SCHEDULE 8U.K.Provision that may be contained in certain enforcement orders

Modifications etc. (not altering text)

C15Sch. 8: power to make orders conferred (20.6.2003) by 1988 c. 48, s. 144(1A) (as substituted by Enterprise Act 2002 (c. 40), ss. 278, 279, Sch. 25 para. 18(2)); S.I. 2003/1397, art. 2(1), Sch. (with art. 8)

C16Sch. 8: power to make orders conferred (20.6.2003) by 1988 c. 48, s. 238(1A) (as substituted by Enterprise Act 2002 (c. 40), ss. 278, 279, Sch. 25 para. 18(4)); S.I. 2003/1397, art. 2(1), Sch. (with art. 8)

C17Sch. 8: power to make orders conferred (20.6.2003) by 1988 c. 48, Sch. 2A para. 17(1A) (as substituted by Enterprise Act 2002 (c. 40), ss. 278, 279, Sch. 25 para. 18(5)(a)); S.I. 2003/1397, art. 2(1), Sch. (with art. 8)

C18Sch. 8 applied (with modifications) (20.6.2003) by The Enterprise Act 2002 (Protection of Legitimate Interests) Order 2003 (S.I. 2003/1592, art. 15, Sch. 3 para. 2(1)(a)(2) (as amended (29.12.2003) by S.I. 2003/3180, art. 2, Sch. para. 10(16))

C19Sch. 8 applied (with modifications) (20.6.2003) by The Enterprise Act 2002 (Protection of Legitimate Interests) Order 2003 (S.I. 2003/1592, art. 15, Sch. 3 para. 2(1)(a)(2) (as amended (29.12.2003) by S.I. 2003/3180, art. 2, Sch. para. 10(16) and as amended (23.6.2020) by The Enterprise Act 2002 (Specification of Additional Section 58 Consideration) Order 2020 (S.I. 2020/627), arts. 1(1), 4(3))

IntroductoryU.K.

1This Schedule applies in relation to such orders, and to such extent, as is provided by this Part and Part 4 and any other enactment; and references in this Schedule to an order shall be construed accordingly.

General restrictions on conductU.K.

2(1)An order may—

(a)prohibit the making or performance of an agreement;

(b)require any party to an agreement to terminate the agreement.

(2)An order made by virtue of sub-paragraph (1) shall not—

(a)prohibit the making or performance of; or

(b)require any person to terminate,

an agreement so far as, if made, the agreement would relate, or (as the case may be) so far as the agreement relates, to the terms and conditions of employment of any workers or to the physical conditions in which any workers are required to work.

3(1)An order may prohibit the withholding from any person of—U.K.

(a)any goods or services;

(b)any orders for any such goods or services.

(2)References in sub-paragraph (1) to withholding include references to—

(a)agreeing or threatening to withhold; and

(b)procuring others to withhold or to agree or threaten to withhold.

4U.K.An order may prohibit requiring as a condition of the supply of goods or services to any person—

(a)the buying of any goods;

(b)the making of any payment in respect of services other than the goods or services supplied;

(c)the doing of any other such matter or the refraining from doing anything mentioned in paragraph (a) or (b) or any other such matter.

5U.K.An order may prohibit—

(a)discrimination between persons in the prices charged for goods or services;

(b)anything which the relevant authority considers to be such discrimination;

(c)procuring others to do anything which is such discrimination or which the relevant authority considers to be such discrimination.

6U.K.An order may prohibit—

(a)giving, or agreeing to give in other ways, any preference in respect of the supply of goods or services or in respect of the giving of orders for goods or services;

(b)giving, or agreeing to give in other ways, anything which the relevant authority considers to be a preference in respect of the supply of goods or services or in respect of the giving of orders for goods or services;

(c)procuring others to do anything mentioned in paragraph (a) or (b).

7U.K.An order may prohibit—

(a)charging, for goods or services supplied, prices differing from those in any published list or notification;

(b)doing anything which the relevant authority considers to be charging such prices.

8(1)An order may regulate the prices to be charged for any goods or services.U.K.

(2)No order shall be made by virtue of sub-paragraph (1) unless the relevant report in relation to the matter concerned identifies the prices charged for the goods or services as requiring remedial action.

(3)In this paragraph “the relevant report” means the report of the [F66CMA] which is required by the enactment concerned before an order can be made under this Schedule.

Textual Amendments

F66Word in Sch. 8 para. 8(3) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 161(2) (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)

9U.K.An order may prohibit the exercise of any right to vote exercisable by virtue of the holding of any shares, stock or securities.

General obligations to be performedU.K.

10(1)An order may require a person to supply goods or services or to do anything which the relevant authority considers appropriate to facilitate the provision of goods or services.

(2)An order may require a person who is supplying, or is to supply, goods or services to supply such goods or services to a particular standard or in a particular manner or to do anything which the relevant authority considers appropriate to facilitate the provision of such goods or services to that standard or in that manner.

11U.K.An order may require any activities to be carried on separately from any other activities.

Acquisitions and divisionsU.K.

12(1)An order may prohibit or restrict—

(a)the acquisition by any person of the whole or part of the undertaking or assets of another person’s business;

(b)the doing of anything which will or may result in two or more bodies corporate becoming interconnected bodies corporate.

(2)An order may require that if—

(a)an acquisition of the kind mentioned in sub-paragraph (1)(a) is made; or

(b)anything is done which results in two or more bodies corporate becoming interconnected bodies corporate;

the persons concerned or any of them shall observe any prohibitions or restrictions imposed by or under the order.

(3)This paragraph shall also apply to any result consisting in two or more enterprises ceasing to be distinct enterprises (other than any result consisting in two or more bodies corporate becoming interconnected bodies corporate).

13(1)An order may provide for—U.K.

(a)the division of any business (whether by the sale of any part of the undertaking or assets or otherwise);

(b)the division of any group of interconnected bodies corporate.

(2)For the purposes of sub-paragraph (1)(a) all the activities carried on by way of business by any one person or by any two or more interconnected bodies corporate may be treated as a single business.

(3)An order made by virtue of this paragraph may contain such provision as the relevant authority considers appropriate to effect or take account of the division, including, in particular, provision as to—

(a)the transfer or creation of property, rights, liabilities or obligations;

(b)the number of persons to whom the property, rights, liabilities or obligations are to be transferred or in whom they are to be vested;

(c)the time within which the property, rights, liabilities or obligations are to be transferred or vested;

(d)the adjustment of contracts (whether by discharge or reduction of any liability or obligation or otherwise);

(e)the creation, allotment, surrender or cancellation of any shares, stock or securities;

(f)the formation or winding up of any company or other body of persons corporate or unincorporate;

(g)the amendment of the [F67articles] or other instruments regulating any such company or other body of persons;

(h)the extent to which, and the circumstances in which, provisions of the order affecting a company or other body of persons corporate or unincorporate in its share capital, constitution or other matters may be altered by the company or other body of persons concerned;

(i)the registration of the order under any enactment by a company or other body of persons corporate or unincorporate which is affected by it as mentioned in paragraph (h);

(j)the continuation, with any necessary change of parties, of any legal proceedings;

(k)the approval by the relevant authority or another person of anything required by virtue of the order to be done or of any person to whom anything is to be transferred, or in whom anything is to be vested, by virtue of the order; or

(l)the appointment of trustees or other persons to do anything on behalf of another person which is required of that person by virtue of the order or to monitor the doing by that person of any such thing.

14U.K.The references in paragraph 13 to the division of a business as mentioned in sub-paragraph (1)(a) of that paragraph shall, in the case of an order under section 75, 83, 84, 160 or 161, or an order under paragraph 5, 10 or 11 of Schedule 7, be construed as including references to the separation, by the sale of any part of any undertaking or assets concerned or other means, of enterprises which are under common control (within the meaning of section 26) otherwise than by reason of their being enterprises of interconnected bodies corporate.

Supply and publication of informationU.K.

F6815. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F68Sch. 8 para. 15 omitted (1.4.2014) by virtue of Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 50(2), 103(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)

16U.K.An order may prohibit any person from notifying (whether by publication or otherwise) to persons supplying goods or services prices recommended or suggested as appropriate to be charged by those persons for those goods or services.

17(1)An order may require a person supplying goods or services to publish [F69 or otherwise notify]U.K.

(a)accounting information in relation to the supply of the goods or services;

(b)information in relation to the quantities of goods or services supplied;

(c)information in relation to the geographical areas in which they are supplied.

[F70(d)information in relation to prices of the goods or services supplied;

(e)such other information in relation to the goods or services supplied as the relevant authority considers appropriate.]

[F71(1A)An order may prohibit the publication or other notification of information falling within sub-paragraph (1)(a) to (e) by a person supplying goods or services.]

(2)In sub-paragraph (1) “accounting information”, in relation to a supply of goods or services, means information as to—

(a)the costs of the supply, including fixed costs and overheads;

(b)the manner in which fixed costs and overheads are calculated and apportioned for accounting purposes of the supplier; and

(c)the income attributable to the supply.

Textual Amendments

F69Words in Sch. 8 para. 17(1) inserted (25.4.2013 for specified purposes, 1.4.2014 in so far as not already in force) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 50(4)(a), 103(1)(i)(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)

F70Sch. 8 para. 17(1)(d)(e) inserted (25.4.2013 for specified purposes, 1.4.2014 in so far as not already in force) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 50(4)(b), 103(1)(i)(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)

F71Sch. 8 para. 17(1A) inserted (25.4.2013 for specified purposes, 1.4.2014 in so far as not already in force) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 50(5), 103(1)(i)(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)

18U.K.An order made by virtue of paragraph F72... 17 may provide for the manner in which information is to be published or otherwise notified.

Textual Amendments

F72Words in Sch. 8 para. 18 omitted (1.4.2014) by virtue of Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 50(6), 103(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)

19U.K.An order may—

(a)require any person to supply information to the relevant authority;

(b)where the [F73CMA] is not the relevant authority, require any person to supply information to the [F73CMA];

(c)provide for the publication, by the person who has received information by virtue of paragraph (a) or (b), of that information.

Textual Amendments

National securityU.K.

20(1)An order may make such provision as the person making the order considers to be appropriate in the interests of national security (within the meaning of section 58(1)).

(2)Such provision may, in particular, include provision requiring a person to do, or not to do, particular things.

Newspaper mergersU.K.

[F7420A(1)This paragraph applies in relation to any order—

(a)which is to be made following the giving of—

(i)an intervention notice which mentions a newspaper public interest consideration;

(ii)an intervention notice which mentions any other media public interest consideration in relation to a relevant merger situation in which one of the enterprises ceasing to be distinct is a newspaper enterprise;

(iii)a special intervention notice which mentions a consideration specified in section 58(2A) or (2B); or

(iv)a special intervention notice which, in relation to a special merger situation in which one of the enterprises ceasing to be distinct is a newspaper enterprise, mentions a consideration specified in section 58(2C); and

(b)to which the consideration concerned is still relevant.

(2)The order may make such provision as the person making the order considers to be appropriate in all circumstances of the case.

(3)Such provision may, in particular, include provision requiring a person to do, or not to do, particular things.

(4)Provision made by virtue of this paragraph may, in particular, include provision—

(a)altering the constitution of a body corporate (whether in connection with the appointment of directors, the establishment of an editorial board or otherwise);

(b)requiring the agreement of the relevant authority or another person before the taking of particular action (including the appointment or dismissal of an editor, journalists or directors or acting as a shadow director);

(c)attaching conditions to the operation of a newspaper;

(d)prohibiting consultation or co-operation between subsidiaries.

(5)In this paragraph “newspaper public interest consideration” means a media public interest consideration other than one which is such a consideration—

(a)by virtue of section 58(2C); or

(b)by virtue of having been, in the opinion of the Secretary of State, concerned with broadcasting and a consideration that ought to have been specified in section 58.

(6)This paragraph is without prejudice to the operation of the other paragraphs of this Schedule in relation to the order concerned.]

Textual Amendments

F74Sch. 8 para. 20A inserted (29.12.2003) by Communications Act 2003 (c. 21), ss. 387, 411(2)(3) (with transitional provisions in Sch. 18); S.I. 2003/3142, art. 3(1), Sch. (subject to arts. 3(3), 11)

Maintaining the stability of the UK financial systemU.K.

[F7520B.(1)This paragraph applies for the purposes of a relevant order under paragraph 5, 10 or 11 of Schedule 7 (enforcement orders in cases relating to the stability of the UK financial system) but not for any other purposes of Part 3 or 4 or any other enactment.

(2)The order may make such provision as the person making the order considers to be appropriate in the interest of maintaining the stability of the UK financial system.

(3)Such provision may, in particular, include provision requiring a person to do, or not to do, particular things.

(4)This paragraph is without prejudice to the operation of the other paragraphs of this Schedule in relation to the order.

(5)In this paragraph “relevant order” means an order—

(a)which is to be made following the giving of an intervention notice or special intervention notice which mentions the consideration specified in section 58(2D) (including, in the case of a notice given before the consideration was so specified, an intervention notice which mentions the consideration as a consideration which ought to be specified in section 58); and

(b)to which the consideration is still relevant.]

Textual Amendments

F75Sch. 8 para. 20B and heading inserted (24.10.2008) (with application in accordance with art. 1(2) of the amending S.I.) by The Enterprise Act 2002 (Specification of Additional Section 58 Consideration) Order 2008 (S.I. 2008/2645), arts. 1(1), 4

Maintaining the capability to combat etc public health emergenciesU.K.

[F7620BA.(1)This paragraph applies for the purposes of a relevant order under paragraph 5, 10 or 11 of Schedule 7 (enforcement orders in cases relating to maintaining the capability to combat etc public health emergencies) but not for any other purposes of this Part or Part 4 or any other enactment.

(2)The order may make such provision as the person making the order considers to be appropriate for the purpose of maintaining in the United Kingdom the capability to combat, or to mitigate the effects of, public health emergencies.

(3)Such provision may, in particular, include provision requiring a person to do, or not to do, particular things.

(4)This paragraph is without prejudice to the operation of the other paragraphs of this Schedule in relation to the order.

(5)In this paragraph “relevant order” means an order—

(a)which is to be made following the giving of an intervention notice or special intervention notice which mentions the consideration specified in section 58(2E); and

(b)to which the consideration is still relevant.]

Monitoring of compliance and determination of disputesU.K.

[F7720C(1)An order may provide for the appointment of one or more than one person (referred to in this paragraph as an “appointee”) by the relevant authority or by such other persons as may be specified or described in the order to—

(a)monitor compliance with such terms of the order as are so specified or described or terms of any directions given under the order;

(b)determine any dispute between persons who are subject to the order about what is required by any such terms.

(2)An order made by virtue of this paragraph must make provision as to the terms of an appointee's appointment.

(3)A determination made by virtue of an order under this paragraph is binding on—

(a)any person who is subject to the order;

(b)the relevant authority; and

(c)in the case where the relevant authority is the Secretary of State, the CMA.]

Textual Amendments

F77Sch. 8 para. 20C and cross-heading inserted (25.4.2013 for specified purposes, 1.4.2014 in so far as not already in force) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 49, 103(1)(i)(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)

SupplementaryU.K.

21(1)An order, as well as making provision in relation to all cases to which it may extend, may make provision in relation to—

(a)those cases subject to specified exceptions; or

(b)any particular case or class of case.

(2)An order may, in relation to the cases in relation to which it applies, make the full provision which may be made by it or any less provision (whether by way of exception or otherwise).

(3)An order may make provision for matters to be determined under the order.

(4)An order may—

(a)make different provision for different cases or classes of case or different purposes;

(b)make such transitional, transitory or saving provision as the person making it considers appropriate.

22(1)An order which may prohibit the doing of anything (or the refraining from doing anything) may in particular by virtue of paragraph 21(2) prohibit the doing of that thing (or the refraining from doing of it) except to such extent and in such circumstances as may be provided by or under the order.U.K.

(2)Any such order may, in particular, prohibit the doing of that thing (or the refraining from doing of it)—

(a)without the agreement of the relevant authority or another person; or

(b)by or in relation to a person who has not been approved by the relevant authority or another person.

InterpretationU.K.

23References in this Schedule to the notification of prices or other information are not limited to the notification in writing of prices or other information.

24U.K.In this Schedule “the relevant authority” means—

F78(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)in the case of an order to be made by the [F79CMA], the [F79CMA]; and

(c)in the case of an order to be made by the Secretary of State, the Secretary of State.

Textual Amendments

Sections 86(5), 164(2) and 168(9)

SCHEDULE 9U.K.Certain amendments of sectoral enactments

Part 1 U.K.Power of enforcement orders to amend licence conditions etc.

Telecommunications Act 1984 (c. 12)U.K.

1

1[F80(1)Section 95 of the Telecommunications Act 1984 (modification of licence conditions by order) shall be amended as follows.

(2)For subsections (1) and (2) there shall be substituted—

(1)Where the Office of Fair Trading, the Commission or (as the case may be) the Secretary of State (in this section “the relevant authority”) makes a relevant order, the order may also provide for the revocation or modification of licences granted under section 7 above to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.

(2)In subsection (1) above, “relevant order” means—

(a)an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the Enterprise Act 2002 where—

(i)one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was engaged in the carrying on of a commercial activity connected with telecommunications; or

(ii)one or more than one of the enterprises which will or may cease to be distinct enterprises is engaged in the carrying on of a commercial activity connected with telecommunications; or

(b)an order under section 160 or 161 of that Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition relates to commercial activities connected with telecommunications.

(3)For subsection (3) there shall be substituted—

(3)Expressions used in subsection (2) above and in Part 3 or (as the case may be) Part 4 of the Enterprise Act 2002 have the same meanings in that subsection as in that Part.]

Textual Amendments

F80Sch. 9 para. 1 repealed (25.7.2003 for certain purposes and 29.12.2003 for certain purposes) by Communications Act 2003 (c. 21), ss. 406(7), 411(2)(3), Sch. 19(1) (with transitional provisions in Sch. 18 and with Sch. 19 Note 1); S.I. 2003/1900, arts. 1(2), 2(1), 3(1), Sch. 1 (with arts. 3-6 (as amended (8.12.2003) by S.I. 2003/3142, art. 1(3))); S.I. 2003/3142, art. 3(1), Sch. 1 (with arts. 3(3), 11)

Airports Act 1986 (c. 31)U.K.

2(1)Section 54 of the Airports Act 1986 (modification of certain conditions in force under Part 4 of that Act) shall be amended as follows.

F81(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)Subsection (3) shall cease to have effect.

F82(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F833U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Gas Act 1986 (c. 44)U.K.

4(1)Section 27 of the Gas Act 1986 (modification of licence conditions by order) shall be amended as follows.

(2)For subsection (1) there shall be substituted—

(1)Where the Office of Fair Trading, the Competition Commission or (as the case may be) the Secretary of State (in this section “the relevant authority”) makes a relevant order, the order may also provide for the modification of—

(a)the conditions of a particular licence; or

(b)the standard conditions of licences under section 7 above, licences under subsection (1) of section 7A above or licences under subsection (2) of that section,

to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.

(1ZA)In subsection (1) above “relevant order” means—

(a)an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the Enterprise Act 2002 where—

(i)one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was engaged in the carrying on of activities authorised or regulated by a licence; or

(ii)one or more than one of the enterprises which will or may cease to be distinct enterprises is engaged in the carrying on of activities authorised or regulated by a licence; or

(b)an order under section 160 or 161 of that Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition relates to—

(i)activities authorised or regulated by a licence; or

(ii)the storage of gas on terms which have been determined by the holder of a licence under section 7 above, or could have been determined by the holder if he had thought fit or had been required to determine them by or under a condition of the licence.

(3)In subsection (2)—

(a)for the words “Secretary of State” there shall be substituted “ relevant authority ”;

(b)for the words “section, he” there shall be substituted “ section, the relevant authority ”; and

(c)for the words “as he considers” there shall be substituted “ as the relevant authority considers ”.

(4)Subsections (3) and (4) shall cease to have effect.

(5)In subsection (5)—

(a)for the words “Secretary of State” there shall be substituted “ relevant authority ”; and

(b)for the words “he”, in both places where they appear, there shall be substituted “ the relevant authority ”.

(6)For subsection (6) there shall be substituted—

(6)Expressions used in subsection (1ZA) above and in Part 3 or (as the case may be) Part 4 of the Enterprise Act 2002 have the same meanings in that subsection as in that Part.

Electricity Act 1989 (c. 29)U.K.

5(1)Section 15 of the Electricity Act 1989 (modification of licence conditions by order) shall be amended as follows.

(2)For subsections (1) and (2) there shall be substituted—

(1)Where the Office of Fair Trading, the Competition Commission or (as the case may be) the Secretary of State (in this section “the relevant authority”) makes a relevant order, the order may also provide for the modification of the conditions of a particular licence, or the standard conditions of licences of any type mentioned in section 6(1), to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.

(2)In subsection (1) above “relevant order” means—

(a)an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the Enterprise Act 2002 where—

(i)one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was engaged in the carrying on of activities authorised or regulated by a licence; or

(ii)one or more than one of the enterprises which will or may cease to be distinct enterprises is engaged in the carrying on of activities authorised or regulated by a licence; or

(b)an order under section 160 or 161 of that Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition relates to the generation, transmission, distribution or supply of electricity.

(3)For subsection (2B) there shall be substituted—

(2B)Where the relevant authority modifies under subsection (1) the standard conditions of licences of any type, the relevant authority—

(a)shall also make (as nearly as may be) the same modifications of those conditions for the purposes of their incorporation in licences of that type granted after that time; and

(b)may, after consultation with the Authority, make such incidental or consequential modifications as the relevant authority considers necessary or expedient of any conditions of any licence of that type granted before that time.

(4)In subsection (2C)—

(a)for the words “Secretary of State” there shall be substituted “ relevant authority ”; and

(b)for the words “he”, in both places where they appear, there shall be substituted “the relevant authority”.

(5)For subsection (3) there shall be substituted—

(3)Expressions used in subsection (2) above and in Part 3 or (as the case may be) Part 4 of the Enterprise Act 2002 have the same meanings in that subsection as in that Part.

Broadcasting Act 1990 (c. 42)U.K.

6For section 193 of the Broadcasting Act 1990 (modification of networking arrangements in consequence of reports under competition legislation) there shall be substituted—

193 Modification of networking arrangements in consequence of competition legislation

(1)Where the Office of Fair Trading, the Competition Commission or (as the case may be) the Secretary of State (in this section “the relevant authority”) makes a relevant order, the order may also provide for the modification of any networking arrangements to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.

(2)In subsection (1) “relevant order” means—

(a)an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the Enterprise Act 2002 where—

(i)one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was engaged in the provision of programmes for broadcasting in regional Channel 3 services; or

(ii)one or more than one of the enterprises which will or may cease to be distinct enterprises is engaged in the provision of such programmes; or

(b)an order under section 160 or 161 of that Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition relates to the provision of programmes for broadcasting in regional Channel 3 services.

(3)Expressions used in subsection (2) and in Part 3 or (as the case may be) Part 4 of the Enterprise Act 2002 have the same meanings in that subsection as in that Part.

(4)In this section —

  • networking arrangements” means any such arrangements as are mentioned in section 39(1) above; and

  • regional Channel 3 service” has the meaning given by section 14(6) above.

Water Industry Act 1991 (c. 56)U.K.

7(1)Section 17 of the Water Industry Act 1991 (modification of conditions of appointment by order) shall be amended as follows.

(2)For subsections (1) and (2) there shall be substituted—

(1)Where the OFT, the Competition Commission or (as the case may be) the Secretary of State (in this section “the relevant authority”) makes a relevant order, the order may, subject to subsection (3), also provide for the modification of the conditions of a company’s appointment under this Chapter to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.

(2)In subsection (1) above “relevant order” means—

(a)an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the 2002 Act where—

(i)one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was carried on by a relevant undertaker; or

(ii)one or more than one of the enterprises which will or may cease to be distinct enterprises is carried on by a relevant undertaker; or

(b)an order under section 160 or 161 of the 2002 Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition is—

(i)the structure or an aspect of the structure of a market for the supply of goods or services by a relevant undertaker; or

(ii)the conduct of a relevant undertaker or of customers of a relevant undertaker.

(3)For subsection (4) there shall be substituted—

(4)Expressions used in subsection (2) above and in Part 3 or (as the case may be) Part 4 of the 2002 Act have the same meanings in that subsection as in that Part.

Commencement Information

I3Sch. 9 para. 7 not in force at Royal Assent see s. 279; Sch. 9 para. 7 in force at 20.6.2003 subject to art. 3(1) of the commencing S.I. by S.I. 2003/1397, art. 2(1), Sch.; Sch. 9 para. 7 in force for water purposes at 29.12.2004 by S.I. 2004/3233, art. 2, Sch.

8U.K.In section 36(1) of that Act (interpretation of Part 2 of that Act)—

(a)the definition of “the 1973 Act”, and the word “and” at the end of the definition, shall cease to have effect; and

(b)at the end of the subsection there shall be inserted—

the 2002 Act” means the Enterprise Act 2002;.

Commencement Information

I4Sch. 9 para. 8 wholly in force at 29.12.2004; Sch. 9 para. 8 not in force at Royal Assent see s. 279; Sch. 9 para. 8(b) in force at 20.6.2003 by S.I. 2003/1397, art. 2(1), Sch., Sch. 9 para. 8(a) in force at 29.12.2004 by S.I. 2004/3233, art. 2, Sch.

Electricity (Northern Ireland) Order 1992 (S.I. 1992/231 (N.I. 1))U.K.

9For article 18 of the Electricity (Northern Ireland) Order 1992 (modification of licence conditions by order) there shall be substituted—

18 Modification by order under other statutory provisions

(1)Where the Office of Fair Trading, the Competition Commission or (as the case may be) the Secretary of State (in this Article “the relevant authority”) makes a relevant order, the order may also provide for the modification of the conditions of a licence to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.

(2)In paragraph (1) “relevant order” means—

(a)an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the Enterprise Act 2002 where—

(i)one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was engaged in the carrying on of activities authorised or regulated by a licence; or

(ii)one or more than one of the enterprises which will or may cease to be distinct enterprises is engaged in the carrying on of activities authorised or regulated by a licence; or

(b)an order under section 160 or 161 of that Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition relates to the generation, transmission or supply of electricity.

(3)In paragraph (2) expressions which are also used in Part 3 or, as the case may be, Part 4 of the Enterprise Act 2002 have the same meanings as in that Part of that Act.

Railways Act 1993 (c. 43)U.K.

10(1)Section 16 of the Railways Act 1993 (modification of licence conditions by order) shall be amended as follows.

(2)For subsections (1) and (2) there shall be substituted—

(1)Where the OFT, the Competition Commission or (as the case may be) the Secretary of State (in this section “the relevant authority”) makes a relevant order, the order may also provide for the modification of the conditions of a licence to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.

(2)In subsection (1) above “relevant order” means—

(a)an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the Enterprise Act 2002 where—

(i)one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was engaged in the supply of services relating to railways; or

(ii)one or more than one of the enterprises which will or may cease to be distinct enterprises is engaged in the supply of services relating to railways; or

(b)an order under section 160 or 161 of that Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition relates to the supply of services relating to railways.

(3)In subsection (3) for the words “Secretary of State” there shall be substituted “ relevant authority ”.

(4)For subsection (5) there shall be substituted—

(5)Expressions used in subsection (2) above and in Part 3 or (as the case may be) Part 4 of the Enterprise Act 2002 have the same meanings in that subsection as in that Part; and in subsection (2) above “services relating to railways” has the same meaning as in section 67(2A) of this Act.

Airports (Northern Ireland) Order 1994 (S.I. 1994/426 (N.I. 1))U.K.

11(1)Article 45 of the Airports (Northern Ireland) Order 1994 (modification of certain conditions in force under Part 4 of that Order) shall be amended as follows.

F84(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)Paragraph (3) shall cease to have effect.

F85(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F8612U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Gas (Northern Ireland) Order 1996 (S.I. 1996/275 (N.I. 2))U.K.

13(1)Article 18 of the Gas (Northern Ireland) Order 1996 (modification of licence conditions by order) shall be amended as follows.

(2)For paragraph (1) there shall be substituted—

(1)Where the Office of Fair Trading, the Competition Commission or (as the case may be) the Secretary of State (in this Article “the relevant authority”) makes a relevant order, the order may also provide for the modification of—

(a)the conditions of a particular licence; or

(b)the standard conditions of licences under sub-paragraph (a), (b) or (c) of Article 8(1),

to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.

(1A)In paragraph (1) “relevant order” means—

(a)an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the Enterprise Act 2002 where—

(i)one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was engaged in the carrying on of activities authorised or regulated by a licence; or

(ii)one or more than one of the enterprises which will or may cease to be distinct enterprises is engaged in the carrying on of activities authorised or regulated by a licence; or

(b)an order under section 160 or 161 of that Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition relates to activities authorised or regulated by a licence.

(3)In paragraph (2)—

(a)for the words “Secretary of State modifies under paragraph (1)(ii)” there shall be substituted “ relevant authority modifies under paragraph (1)(b) ”; and

(b)for the word “he”, in both places where it appears, there shall be substituted “ the relevant authority ”.

(4)Paragraph (3) shall cease to have effect.

(5)In paragraph (4)—

(a)for the words “Secretary of State” there shall be substituted “ relevant authority ”; and

(b)for the word “he”, in both places where it appears, there shall be substituted “ the relevant authority ”.

(6)For paragraph (5) there shall be substituted—

(5)Expressions used in paragraph (1A) above and in Part 3 or (as the case may be) Part 4 of the Enterprise Act 2002 have the same meanings in that paragraph as in that Part.

Postal Services Act 2000 (c. 26)U.K.

F8714. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Transport Act 2000 (c. 38)U.K.

15(1)Section 19 of the Transport Act 2000 (modification of licence conditions by order) shall be amended as follows.

(2)For subsections (1) to (4) there shall be substituted—

(1)Where the Office of Fair Trading, the Competition Commission or (as the case may be) the Secretary of State (in this section “the relevant authority”) makes a relevant order, the order may also provide for the modification of the conditions of a licence to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.

(2)In subsection (1) above “relevant order” means—

(a)an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the 2002 Act where—

(i)one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was engaged in the provision of air traffic services; or

(ii)one or more than one of the enterprises which will or may cease to be distinct enterprises is engaged in the provision of air traffic services; or

(b)an order under section 160 or 161 of that Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition relates to the provision of air traffic services.

(3)In subsection (5) for the words “Secretary of State” there shall be substituted “ relevant authority ”.

(4)For subsection (6) there shall be substituted—

(6)Expressions used in subsection (2) above and in Part 3 or (as the case may be) Part 4 of the 2002 Act have the same meanings in that subsection as in that Part.

(5)In subsection (7) for the words “1973 Act is the Fair Trading Act 1973” there shall be substituted “ 2002 Act is the Enterprise Act 2002 ”.

Part 2 U.K.Application of Part 4 of this Act to sectoral regulators

Telecommunications Act 1984 (c. 12)U.K.

16

16[F88(1)Section 50 of the Telecommunications Act 1984 (application of monopoly provisions etc. to the Director General of Telecommunications) shall be amended as follows.

(2)For subsection (2) (monopoly functions to be exercisable concurrently by the Director General of Telecommunications) there shall be substituted—

(2)The functions to which subsection (2A) below applies shall be concurrent functions of the Director and the Office of Fair Trading.

(2A)This subsection applies to the functions of the Office of Fair Trading under Part 4 of the Enterprise Act 2002 (other than sections 166 and 171) so far as relating to commercial activities connected with telecommunications.

(2B)So far as necessary for the purposes of, or in connection with, subsections (2) and (2A) above, references in Part 4 of the Act of 2002 to the Office of Fair Trading (including references in provisions of that Act applied by that Part) shall be construed as including references to the Director (except in sections 166 and 171 of that Act and in any other provision of that Act where the context otherwise requires).

(3)For subsection (4) there shall be substituted—

(4)Before the Office of Fair Trading or the Director first exercises in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above, that person shall consult the other.

(4A)Neither the Office of Fair Trading nor the Director shall exercise in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above if functions which are so exercisable have been exercised in relation to that matter by the other.

(4)In subsection (6)—

(a)for the words “subsection (2)” there shall be substituted “ subsection (2A) ”;

(b)the words from “or paragraph” to “Act 1994” shall cease to have effect; and

(c)for the words “Part IV or section 86 or 88 of the 1973 Act” there shall be substituted “ Part 4 of the Enterprise Act 2002 ”.

(5)For subsection (6A) there shall be substituted—

(6A)Section 117 of the Enterprise Act 2002 (offences of supplying false or misleading information) as applied by section 180 of that Act shall have effect so far as relating to functions exercisable by the Director by virtue of subsection (2) above as if the references in section 117(1)(a) and (2) to the Office of Fair Trading included references to the Director.

(6)Subsection (7) shall cease to have effect.]

Textual Amendments

F88Sch. 9 para. 16 repealed (25.7.2003 for certain purposes and 29.12.2003 for certain purposes) by Communications Act 2003 (c. 21), ss. 406(7), 411(2)(3), Sch. 19(1) (with transitional provisions in Sch. 18 and with Sch. 19 Note 1); S.I. 2003/1900, arts. 1(2), 2(1), 3(1), Sch. 1 (with arts. 3-6 (as amended (8.12.2003) by S.I. 2003/3142, art. 1(3))); S.I. 2003/3142, art. 3(1), Sch. 1 (with arts. 3(3), 11)

Gas Act 1986 (c. 44)U.K.

17(1)Section 36A of the Gas Act 1986 (application of monopoly provisions etc. to the Gas and Electricity Markets Authority) shall be amended as follows.

(2)For subsection (2) (monopoly functions to be exercisable concurrently by the Gas and Electricity Markets Authority) there shall be substituted—

(2)The functions to which subsection (2A) below applies shall be concurrent functions of the Authority and the Office of Fair Trading.

(2A)This subsection applies to the functions of the Office of Fair Trading under Part 4 of the Enterprise Act 2002 (other than sections 166 and 171) so far as relating to commercial activities connected with the carrying on of activities to which this subsection applies.

(2B)So far as necessary for the purposes of, or in connection with, subsections (2) and (2A) above, references in Part 4 of the Act of 2002 to the Office of Fair Trading (including references in provisions of that Act applied by that Part) shall be construed as including references to the Authority (except in sections 166 and 171 of that Act and in any other provision of that Act where the context otherwise requires).

(3)In subsection (4) for the word “(2)” there shall be substituted “ (2A) ”.

(4)For subsection (5) there shall be substituted—

(5)Before the Office of Fair Trading or the Authority first exercises in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above, it shall consult the other.

(5A)Neither the Office of Fair Trading nor the Authority shall exercise in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above if functions which are so exercisable have been exercised in relation to that matter by the other.

(5)In subsection (7) for the words “Part IV or section 86 or 88 of the 1973 Act” there shall be substituted “ Part 4 of the Enterprise Act 2002 ”.

(6)For subsection (8) there shall be substituted—

(8)Section 117 of the Enterprise Act 2002 (offences of supplying false or misleading information) as applied by section 180 of that Act shall have effect so far as relating to functions exercisable by the Authority by virtue of subsection (2) above as if the references in section 117(1)(a) and (2) to the Office of Fair Trading included references to the Authority.

(7)Subsection (9) shall cease to have effect.

(8)In subsection (10) for the words “mentioned in subsection (2) or (3) above” there shall be substituted “ exercisable by the Authority by virtue of subsection (2) or (3) above ”.

Electricity Act 1989 (c. 29)U.K.

18(1)Section 43 of the Electricity Act 1989 (application of monopoly provisions etc. to the Gas and Electricity Markets Authority) shall be amended as follows.

(2)For subsection (2) (monopoly functions to be exercisable concurrently by the Gas and Electricity Markets Authority) there shall be substituted—

(2)The functions to which subsection (2A) below applies shall be concurrent functions of the Authority and the Office of Fair Trading.

(2A)This subsection applies to the functions of the Office of Fair Trading under Part 4 of the Enterprise Act 2002 (other than sections 166 and 171) so far as relating to commercial activities connected with the generation, transmission or supply of electricity.

(2B)So far as necessary for the purposes of, or in connection with, subsections (2) and (2A) above, references in Part 4 of the Act of 2002 to the Office of Fair Trading (including references in provisions of that Act applied by that Part) shall be construed as including references to the Authority (except in sections 166 and 171 of that Act and in any other provision of that Act where the context otherwise requires).

(3)For subsection (4) there shall be substituted—

(4)Before the Office of Fair Trading or the Authority first exercises in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above, it shall consult the other.

(4A)Neither the Office of Fair Trading nor the Authority shall exercise in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above if functions which are so exercisable have been exercised in relation to that matter by the other.

(4)In subsection (6)—

(a)for the word “(2)” there shall be substituted “ (2A) ”;

(b)the words from“or paragraph” to “Act 1994” shall cease to have effect; and

(c)for the words “Part IV or section 86 or 88 of the 1973 Act” there shall be substituted “ Part 4 of the Enterprise Act 2002 ”.

(5)For subsection (6A) there shall be substituted—

(6A)Section 117 of the Enterprise Act 2002 (offences of supplying false or misleading information) as applied by section 180 of that Act shall have effect so far as relating to functions exercisable by the Authority by virtue of subsection (2) above as if the references in section 117(1)(a) and (2) to the Office of Fair Trading included references to the Authority.

(6)Subsection (7) shall cease to have effect.

Water Industry Act 1991 (c. 56)U.K.

19(1)Section 31 of the Water Industry Act 1991 (application of monopoly provisions etc. to the Director General of Water Services) shall be amended as follows.

(2)For subsection (2) (monopoly functions to be exercisable concurrently by the Director General of Water Services) there shall be substituted—

(2)The functions to which subsection (2A) below applies shall be concurrent functions of the Director and the OFT.

(2A)This subsection applies to the functions of the OFT under Part 4 of the 2002 Act (other than sections 166 and 171) so far as relating to commercial activities connected with the supply of water or the provision of sewerage services.

(3)For subsection (4) there shall be substituted—

(4)So far as necessary for the purposes of, or in connection with, subsections (2) and (2A) above, references in Part 4 of the 2002 Act to the OFT (including references in provisions of that Act applied by that Part) shall be construed as including references to the Director (except in sections 166 and 171 of that Act and in any other provision of that Act where the context otherwise requires).

(4)For subsections (5) and (6) there shall be substituted—

(5)Before the OFT or the Director first exercises in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above, that person shall consult the other.

(6)Neither the OFT nor the Director shall exercise in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above if functions which are so exercisable have been exercised in relation to that matter by the other.

(5)In subsection (8)—

(a)the words from “or paragraph” to “Act 1994” shall cease to have effect; and

(b)for the words “Part IV or section 86 or 88 of the 1973 Act” there shall be substituted “ Part 4 of the 2002 Act ”.

(6)For subsection (8A) there shall be substituted—

(8A)Section 117 of the 2002 Act (offences of supplying false or misleading information) as applied by section 180 of that Act shall have effect so far as relating to functions exercisable by the Director by virtue of subsection (2) above as if the references in section 117(1)(a) and (2) to the OFT included references to the Director.

(7)Subsection (9) shall cease to have effect.

Electricity (Northern Ireland) Order 1992 (S.I. 1992/231 (N.I. 1))U.K.

20(1)Article 46 of the Electricity (Northern Ireland) Order 1992 (application of monopoly provisions etc. to the Director General of Electricity Supply for Northern Ireland) shall be amended as follows.

(2)For paragraph (2) (monopoly functions to be exercisable concurrently by the Director) there shall be substituted—

(2)The functions to which paragraph (2A) applies shall be concurrent functions of the Director and the Office of Fair Trading.

(2A)This paragraph applies to the functions of the Office of Fair Trading under Part 4 of the Enterprise Act 2002 (other than sections 166 and 171) so far as relating to commercial activities connected with the generation, transmission or supply of electricity.

(2B)So far as necessary for the purposes of, or in connection with, paragraphs (2) and (2A), references in Part 4 of the Act of 2002 to the Office of Fair Trading (including references in provisions of that Act applied by that Part) shall be construed as including references to the Director (except in sections 166 and 171 of that Act and in any other provision of that Act where the context otherwise requires).

(3)For paragraph (4) there shall be substituted—

(4)Before the Office of Fair Trading or the Director first exercises in relation to any matter functions which are exercisable concurrently by virtue of paragraph (2), it or he shall consult the other.

(4A)Neither the Office of Fair Trading nor the Director shall exercise in relation to any matter functions which are exercisable concurrently by virtue of paragraph (2) if functions which are so exercisable have been exercised in relation to that matter by the other.

(4)In paragraph (6)—

(a)for the words “paragraph (2)” there shall be substituted “ paragraph (2A) ”;

(b)the words from “or paragraph” to “Act 1994” shall cease to have effect; and

(c)for the words “Part IV or section 86 or 88 of the 1973 Act” there shall be substituted “ Part 4 of the Enterprise Act 2002 ”.

(5)For paragraph (6A) there shall be substituted—

(6A)Section 117 of the Enterprise Act 2002 (offences of supplying false or misleading information) as applied by section 180 of that Act shall have effect so far as relating to functions exercisable by the Director by virtue of paragraph (2) as if the references in section 117(1)(a) and (2) to the Office of Fair Trading included references to the Director.

(6)Paragraph (7) shall cease to have effect.

Railways Act 1993 (c. 43)U.K.

21(1)Section 67 of the Railways Act 1993 (application of monopoly provisions etc. to the Rail Regulator) shall be amended as follows.

(2)For subsection (2) (monopoly functions to be exercisable concurrently by the Rail Regulator) there shall be substituted—

(2)The functions to which subsection (2A) below applies shall be concurrent functions of the Regulator and the OFT.

(2A)This subsection applies to the functions of the OFT under Part 4 of the Enterprise Act 2002 (other than sections 166 and 171) so far as relating to the supply of services relating to railways.

(2B)So far as necessary for the purposes of, or in connection with, subsections (2) and (2A) above, references in Part 4 of the Act of 2002 to the OFT (including references in provisions of that Act applied by that Part) shall be construed as including references to the Regulator (except in sections 166 and 171 of that Act and in any other provision of that Act where the context otherwise requires).

(3)In subsection (3ZA) for the words “subsection (3)” there shall be substituted “ subsections (2A) and (3) ”.

(4)For subsection (4) there shall be substituted—

(4)Before the OFT or the Regulator first exercises in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above, that person shall consult the other.

(4A)Neither the OFT nor the Regulator shall exercise in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above if functions which are so exercisable have been exercised in relation to that matter by the other.

(5)In subsection (7)—

(a)for the words “on a monopoly reference” there shall be substituted “ under section 136 or 142 of the Enterprise Act 2002 ”;

(b)the words from “was made” to “that it” shall cease to have effect; and

(c)for the word “him” there shall be substituted “ the Regulator ”.

(6)In subsection (8)—

(a)for the word “(2)” there shall be substituted “ (2A) ”;

(b)the words from “or paragraph” to “Act 1994” shall cease to have effect; and

(c)for the words “Part IV or section 86 or 88 of the 1973 Act” there shall be substituted “ Part 4 of the Enterprise Act 2002 ”.

(7)For subsection (9) there shall be substituted—

(9)Section 117 of the Enterprise Act 2002 (offences of supplying false or misleading information) as applied by section 180 of that Act shall have effect so far as relating to functions exercisable by the Regulator by virtue of subsection (2) above as if the references in section 117(1)(a) and (2) to the OFT included references to the Regulator.

(8)Subsection (10) shall cease to have effect.

Gas (Northern Ireland) Order 1996 (S.I. 1996/275 (N.I. 2))U.K.

22(1)Article 23 of the Gas (Northern Ireland) Order 1996 (application of monopoly provisions etc. to the Director General of Gas for Northern Ireland) shall be amended as follows.

(2)For paragraph (2) (monopoly functions to be exercisable concurrently by the Director) there shall be substituted—

(2)The functions to which paragraph (2A) applies shall be concurrent functions of the Director and the Office of Fair Trading.

(2A)This paragraph applies to the functions of the Office of Fair Trading under Part 4 of the Enterprise Act 2002 (other than sections 166 and 171) so far as relating to commercial activities connected with the conveyance, storage or supply of gas.

(2B)So far as necessary for the purposes of, or in connection with, paragraphs (2) and (2A), references in Part 4 of the Act of 2002 to the Office of Fair Trading (including references in provisions of that Act applied by that Part) shall be construed as including references to the Director (except in sections 166 and 171 of that Act and in any other provision of that Act where the context otherwise requires).

(3)For paragraph (4) there shall be substituted—

(4)Before the Office of Fair Trading or the Director first exercises in relation to any matter functions which are exercisable concurrently by virtue of paragraph (2), it or he shall consult the other.

(4A)Neither the Office of Fair Trading nor the Director shall exercise in relation to any matter functions which are exercisable concurrently by virtue of paragraph (2) if functions which are so exercisable have been exercised in relation to that matter by the other.

(4)In paragraph (6) for the words “Part IV or section 86 or 88 of the 1973 Act” there shall be substituted “ Part 4 of the Enterprise Act 2002 ”.

(5)For paragraph (7) there shall be substituted—

(7)Section 117 of the Enterprise Act 2002 (offences of supplying false or misleading information) as applied by section 180 of that Act shall have effect so far as relating to functions exercisable by the Director by virtue of paragraph (2) as if the references in section 117(1)(a) and (2) to the Office of Fair Trading included references to the Director.

(6)Paragraph (8) shall cease to have effect.

(7)In paragraph (9) for the words “mentioned in paragraph (2) or (3)” there shall be substituted “ exercisable by the Director by virtue of paragraph (2) or (3) ”.

Transport Act 2000 (c. 38)U.K.

23(1)Section 85 of the Transport Act 2000 (interpretation of Chapter V) shall be amended as follows.

(2)In subsection (1) for paragraph (a) there shall be substituted—

(a)the 2002 Act is the Enterprise Act 2002;.

(3)In subsection (3)—

(a)the words “the 1973 Act or” shall cease to have effect; and

(b)for the words “Act concerned” there shall be substituted “ 1998 Act ”.

24(1)Section 86 of that Act (functions exercisable by the CAA and the Director) shall be amended as follows.U.K.

(2)For subsection (2) there shall be substituted—

(2)This subsection applies to the OFT’s functions under Part 4 of the 2002 Act (other than sections 166 and 171) so far as they relate to the supply of air traffic services.

(3)In subsection (4)(a) for the words from the beginning to “Act” there shall be substituted “ Part 4 of the 2002 Act (except for sections 166 and 171 but including provisions of that Act applied by that Part) ”.

(4)In subsection (7)(a) for the words from the beginning to “Act” there shall be substituted “ Part 4 of the 2002 Act ”.

25U.K.In section 87 of that Act (CAA’s 1973 Act functions) for the word “1973”, wherever it appears, there shall be substituted “ 2002 ”.

26U.K.In section 89 of that Act (carrying out functions) for the word “1973”, wherever it appears, there shall be substituted “ 2002 ”.

Section 90

F89 SCHEDULE 10U.K.Procedural requirements for certain enforcement undertakings and orders

Textual Amendments

F89Sch. 10 amendment to earlier affecting provision S.I. 2003/1592, art. 15, Sch. 3 para. 2 (1.4.2014) by The Enterprise Act 2002 (Protection of Legitimate Interests) (Amendment) Order 2014 (S.I. 2014/891), arts. 1, 18(18) (with arts. 20-23)

Modifications etc. (not altering text)

C20Sch. 10 applied (20.6.2003) by 1980 c. 21, s. 12(6) (as substituted by Enterprise Act 2002 (c. 40), ss. 278, 279, Sch. 25 para. 10(4)); S.I. 2003/1397, art. 2(1), Sch. (with art. 8)

Sch. 10 applied (29.12.2003) by Communications Act 2003 (c. 21), ss. 406(6), 411(2)(3), Sch. 18 para. 62(7)(a) (with transitional provisions in Sch. 18); S.I. 2003/3142, art. 3(1), Sch. 1 (subject to arts. 3(3), 11)

C22Sch. 10 modified by S.I. 2004/3202, reg. 36 (as inserted (18.12.2015) by The Water Mergers (Miscellaneous Amendments) Regulations 2015 (S.I. 2015/1936), regs. 1, 21)

Requirements for accepting undertakings and making ordersU.K.

1Paragraph 2 applies in relation to—

(a)any undertaking under section 73 or 82 or paragraph 3 or 9 of Schedule 7 (other than an undertaking under the enactment concerned which varies an undertaking under that enactment but not in any material respect); and

(b)any order under section 75, 83 or 84 or paragraph 5, 10 or 11 of Schedule 7 (other than an order under the enactment concerned which is a revoking order of the kind dealt with by paragraphs 6 to 8 below).

2(1)Before accepting an undertaking to which this paragraph applies or making an order to which this paragraph applies, [F90the CMA] or (as the case may be) the Secretary of State (in this Schedule “the relevant authority”) shall—U.K.

(a)give notice of the proposed undertaking or (as the case may be) order; and

(b)consider any representations made in accordance with the notice and not withdrawn.

(2)A notice under sub-paragraph (1) shall state—

(a)that the relevant authority proposes to accept the undertaking or (as the case may be) make the order;

(b)the purpose and effect of the undertaking or (as the case may be) order;

(c)the situation that the undertaking or (as the case may be) order is seeking to deal with;

(d)any other facts which the relevant authority considers justify the acceptance of the undertaking or (as the case may be) the making of the order;

(e)a means of gaining access to an accurate version of the proposed undertaking or (as the case may be) order at all reasonable times; and

(f)the period (not less than 15 days starting with the date of publication of the notice in the case of an undertaking and not less than 30 days starting with that date in the case of an order) within which representations may be made in relation to the proposed undertaking or (as the case may be) order.

(3)A notice under sub-paragraph (1) shall be given by—

(a)in the case of a proposed order, serving on any person identified in the order as a person on whom a copy of the order should be served a copy of the notice and a copy of the proposed order; and

(b)in every case, publishing the notice.

(4)The relevant authority shall not accept the undertaking with modifications or (as the case may be) make the order with modifications unless the relevant authority—

(a)gives notice of the proposed modifications; and

(b)considers any representations made in accordance with the notice and not withdrawn.

(5)A notice under sub-paragraph (4) shall state—

(a)the proposed modifications;

(b)the reasons for them; and

(c)the period (not less than 7 days starting with the date of the publication of the notice under sub-paragraph (4)) within which representations may be made in relation to the proposed modifications.

(6)A notice under sub-paragraph (4) shall be given by—

(a)in the case of a proposed order, serving a copy of the notice on any person identified in the order as a person on whom a copy of the order should be served; and

(b)in every case, publishing the notice.

Textual Amendments

F90Words in Sch. 10 para. 2(1) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 162 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)

3(1)If, after giving notice under paragraph 2(1) or (4), the relevant authority decides—U.K.

(a)not to accept the undertaking concerned or (as the case may be) make the order concerned; and

(b)not to proceed by virtue of paragraph 5;

the relevant authority shall give notice of that decision.

(2)A notice under sub-paragraph (1) shall be given by—

(a)in the case of a proposed order, serving a copy of the notice on any person identified in the order as a person on whom a copy of the order should be served; and

(b)in every case, publishing the notice.

4U.K.As soon as practicable after accepting an undertaking to which paragraph 2 applies or (as the case may be) making an order to which that paragraph applies, the relevant authority shall (except in the case of an order which is a statutory instrument)—

(a)serve a copy of the undertaking on any person by whom it is given or (as the case may be) serve a copy of the order on any person identified in the order as a person on whom a copy of the order should be served; and

(b)publish the undertaking or (as the case may be) the order.

5(1)The requirements of paragraph 2(4) (and those of paragraph 2(1)) shall not apply if the relevant authority—U.K.

(a)has already given notice under paragraph 2(1) but not paragraph 2(4) in relation to the proposed undertaking or order; and

(b)considers that the modifications which are now being proposed are not material in any respect.

(2)The requirements of paragraph 2(4) (and those of paragraph 2(1)) shall not apply if the relevant authority—

(a)has already given notice under paragraphs 2(1) and (4) in relation to the matter concerned; and

(b)considers that the further modifications which are now being proposed do not differ in any material respect from the modifications in relation to which notice was last given under paragraph 2(4).

Termination of undertakings and ordersU.K.

6Paragraph 7 applies where the relevant authority is proposing to—

(a)release any undertaking under section 73 or 82 or paragraph 3 or 9 of Schedule 7 (other than in connection with accepting an undertaking under the enactment concerned which varies or supersedes an undertaking under that enactment); or

(b)revoke any order under section 75, 83 or 84 or paragraph 5, 10 or 11 of Schedule 7 (other than in connection with making an order under the enactment concerned which varies or supersedes an order under that enactment).

7(1)Before releasing an undertaking to which this paragraph applies or (as the case may be) revoking an order to which this paragraph applies, the relevant authority shall—U.K.

(a)give notice of the proposed release or (as the case may be) revocation; and

(b)consider any representations made in accordance with the notice and not withdrawn.

(2)A notice under sub-paragraph (1) shall state—

(a)the fact that a release or (as the case may be) revocation is proposed;

(b)the reasons for it; and

(c)the period (not less than 15 days starting with the date of publication of the notice in the case of an undertaking and not less than 30 days starting with that date in the case of an order) within which representations may be made in relation to the proposed release or (as the case may be) revocation.

(3)If after giving notice under sub-paragraph (1) the relevant authority decides not to proceed with the release or (as the case may be) the revocation, the relevant authority shall give notice of that decision.

(4)A notice under sub-paragraph (1) or (3) shall be given by—

(a)serving a copy of the notice on the person who gave the undertaking which is being released or (as the case may be) on any person identified in the order being revoked as a person on whom a copy of the order should be served; and

(b)publishing the notice.

8U.K.As soon as practicable after releasing the undertaking or making the revoking order, the relevant authority shall (except in the case of an order which is a statutory instrument)—

(a)serve a copy of the release of the undertaking on the person who gave the undertaking or (as the case may be) serve a copy of the revoking order on any person identified in the order being revoked as a person on whom a copy of that order should be served; and

(b)publish the release or (as the case may be) the revoking order.

Power to dispense with the requirements of the ScheduleU.K.

9The relevant authority may dispense with any or all of the requirements of this Schedule if the relevant authority considers that the relevant authority has special reasons for doing so.

Section 185

F91SCHEDULE 11U.K.The Competition Commission

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Section 187

F92SCHEDULE 12U.K.Competition Commission: certain procedural rules

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Sections 210 and 243(12)(c)

[F93SCHEDULE 13U.K.Listed enactments

1U.K.Sections 9 to 11 of the Supply of Goods (Implied Terms) Act 1973, to the extent that those sections continue to apply to a contract for a trader to supply goods to a consumer by virtue of the saving made, in connection with their amendment by the Consumer Rights Act 2015, by article 6 of the Consumer Rights Act 2015 (Commencement No. 3, Transitional Provisions, Savings and Consequential Amendments) Order 2015.

2U.K.The Consumer Credit Act 1974 and secondary legislation made under that Act excluding requirements relating to consumer hire agreements.

3U.K.Sections 6(2), 7(1), 7(2), 20(2), 21 and 27(2) of the Unfair Contract Terms Act 1977 , to the extent that those sections remain in force, or continue to apply to a consumer contract, by virtue of the saving made, in connection with their repeal or disapplication by the Consumer Rights Act 2015 , by article 6 of the Consumer Rights Act 2015 (Commencement No. 3, Transitional Provisions, Savings and Consequential Amendments) Order 2015 .

4U.K.Sections 13 to 15, 15B, 20 and 32 of the Sale of Goods Act 1979 , to the extent that those sections continue to apply to a contract for a trader to supply goods to a consumer by virtue of the saving made, in connection with their amendment by the Consumer Rights Act 2015 , by article 6 of the Consumer Rights Act 2015 (Commencement No. 3, Transitional Provisions, Savings and Consequential Amendments) Order 2015.

5U.K.Sections 48A to 48F of the Sale of Goods Act 1979, to the extent that those sections remain in force by virtue of the saving made, in connection with their repeal by the Consumer Rights Act 2015 , by article 6 of the Consumer Rights Act 2015 (Commencement No. 3, Transitional Provisions, Savings and Consequential Amendments) Order 2015.

6U.K.Sections 3 to 5, 11C to 11E and 13 of the Supply of Goods and Services Act 1982 , and any rule of law in Scotland which provides comparable protection to section 13, to the extent that those sections continue to apply to a contract for a trader to supply goods or, in the case of section 13, a contract for a trader to supply a service, to a consumer by virtue of the saving made, in connection with their amendment by the Consumer Rights Act 2015 , by article 6 of the Consumer Rights Act 2015 (Commencement No. 3, Transitional Provisions, Savings and Consequential Amendments) Order 2015.

7U.K.Sections 11M to 11S of the Supply of Goods and Services Act 1982 to the extent that those sections remain in force by virtue of the saving made, in connection with their repeal by the Consumer Rights Act 2015 , by article 6 of the Consumer Rights Act 2015 (Commencement No. 3, Transitional Provisions, Savings and Consequential Amendments) Order 2015.

8U.K.The Package Travel, Package Holidays and Package Tours Regulations 1992 , to the extent that those Regulations remain in force by virtue of the saving made, in connection with their revocation, by regulation 37(2) of the Package Travel and Linked Travel Arrangements Regulations 2018 .

9U.K.The Unfair Terms in Consumer Contracts Regulations 1999 , to the extent that those Regulations remain in force by virtue of the saving made, in connection with their revocation by the Consumer Rights Act 2015 , by article 6 of the Consumer Rights Act 2015 (Commencement No. 3, Transitional Provisions, Savings and Consequential Amendments) Order 2015.

9A.U.K.Rules made under sections 137A, 137R and 137T of the Financial Services and Markets Act 2000 which give effect to Articles 10, 11, 13 to 18 and 21 to 23, Chapter 10 and Annexes I and II of Directive 2014/17/EU of the European Parliament and of the Council of 4 February 2014 on credit agreements for consumers relating to residential immovable property and amending Directives 2008/48/EC and 2013/36/EU and Regulation (EU) No 1093/2010.

10U.K.The Consumer Protection (Distance Selling) Regulations 2000 , to the extent that those Regulations remain in force for contracts entered into prior to their disapplication by virtue of regulation 2(a) of the Consumer Contracts (Information, Cancellation and Additional Charges) Regulations 2013 .

10A.U.K.Sections 319, 321, 322, 325, 368F, 368G and 368H of the Communications Act 2003.

11U.K.Regulations 6, 7, 8, 9 and 11 of the Electronic Commerce (EC Directive) Regulations 2002 .

12U.K.Regulation 15 of the Sale and Supply of Goods to Consumers Regulations 2002 , to the extent that regulation 15 remains in force by virtue of the saving made, in connection with its revocation by the Consumer Rights Act 2015 , by article 6 of the Consumer Rights Act 2015 (Commencement No. 3, Transitional Provisions, Savings and Consequential Amendments) Order 2015.

13U.K.Regulations 19 to 26, 30 and 32 of the Privacy and Electronic Communications (EC Directive) Regulations 2003 .

14U.K.The Price Marking Order 2004 .

15U.K.Regulation (EC) No 261/2004 of the European Parliament and of the Council of 11 February 2004 establishing common rules on compensation and assistance to air passengers in the event of denied boarding and of cancellation or long delay of flights.

16U.K.The Financial Services (Distance Marketing) Regulations 2004 and rules corresponding to any provisions of those Regulations made by the Financial Conduct Authority or a designated professional body within the meaning of section 326(2) of the Financial Services and Markets Act 2000 .

17U.K.The Price Marking Order (Northern Ireland) 2004 .

18U.K. The Civil Aviation (Denied Boarding, Compensation and Assistance) Regulations 2005 .

18A.U.K.Regulation (EC) No 1107/2006 of the European Parliament and of the Council of 5 July 2006 concerning the rights of disabled persons and persons with reduced mobility when travelling by air.

18B.U.K.Regulation (EC) No 1371/2007 of the European Parliament and of the Council of 23 October 2007 on rail passengers’ rights and obligations.

18C.U.K.Regulations 2, 4, 13, 15 and 18 of the Business Protection from Misleading Marketing Regulations 2008.

19U.K.The Consumer Protection from Unfair Trading Regulations 2008 .

20U.K.The Cancellation of Contracts made in a Consumer's Home or Place of Work etc. Regulations 2008 , to the extent that those Regulations remain in force for contracts entered into prior to their disapplication by regulation 2(b) of the Consumer Contracts (Information, Cancellation and Additional Charges) Regulations 2013 .

20A.U.K.Article 23 of Regulation (EC) No 1008/2008 of the European Parliament and of the Council of 24 September 2008 on common rules for the operation of air services in the Community.

21U.K.The Provision of Services Regulations 2009 .

21A.U.K.The Rail Passengers’ Rights and Obligations Regulations 2010.

21B.U.K.Regulation (EU) No 1177/2010 of the European Parliament and of the Council of 24 November 2010 concerning the rights of passengers when travelling by sea and inland waterway and amending Regulation (EC) No 2006/2004.

22U.K.The Timeshare, Holiday Products, Resale and Exchange Contracts Regulations 2010 .

22A.U.K.Regulation (EU) No 181/2011 of the European Parliament and of the Council of 16 February 2011 concerning the rights of passengers in bus and coach transport and amending Regulation (EC) No 2006/2004.

23U.K.Chapters 1 and 2 of Part 14 of the Human Medicines Regulations 2012 .

24U.K.Regulations 4 and 6A to 10 of the Consumer Rights (Payment Surcharges) Regulations 2012 .

24A.U.K.The Merchant Shipping (Passengers’ Rights) Regulations 2013.

24B.U.K.The Operation of Air Services in the Community (Pricing etc.) Regulations 2013.

24C.U.K.The Rights of Passengers in Bus and Coach Transport (Exemptions and Enforcement) Regulations 2013.

25U.K.The Consumer Contracts (Information, Cancellation and Additional Charges) Regulations 2013 .

25A.U.K.The Bus and Coach Passengers Rights and Obligations (Designation and Enforcement) Regulations (Northern Ireland) 2014.

25B.U.K.The Bus and Coach Passengers Rights and Obligations (Designation of Terminals, Tour Operators and Enforcement) Regulations (Northern Ireland) 2014.

25C.U.K.The Civil Aviation (Access to Air Travel for Disabled Persons and Persons with Reduced Mobility) Regulations 2014.

26U.K.Regulation 19(1) and (2) of the Alternative Dispute Resolution for Consumer Disputes (Competent Authorities and Information) Regulations 2015 .

27U.K.Sections 2, 3, 5, 9 to 15, 19, 23, 24, 28 to 32, 36(3) and (4), 37, 38, 42, 50, 54, 58, 59, 61 to 64, 67 to 70, 72 to 74 of, and Schedules 2 and 3 and Part 3 of Schedule 5 to, the Consumer Rights Act 2015 .

28U.K.Article 10(4) of Regulation (EU) 2015/751 of the European Parliament and of the Council of 29 April 2015 on interchange fees for card-based payment transactions.

28A.U.K.Parts 2 and 3 and regulations 18, 19, 20(1), 20(3) to 20(5), 21 to 25, 27(2) and 27(3) of, and Schedules 1 to 6 to, the Payment Accounts Regulations 2015.

28B.U.K.The Rail Passengers Rights and Obligations (Designation and Enforcement) Regulations (Northern Ireland) 2017.

29U.K.The Package Travel and Linked Travel Arrangements Regulations 2018.]

Sections 238 and 243

SCHEDULE 14U.K.Specified functions

  • [F94Parts 1, F95..., 3, 4, 5, 6, 7, 8 and 11 of the Fair Trading Act 1973 (c. 41).]

  • Trade Descriptions Act 1968 (c. 29).

  • [F96Hallmarking Act 1973 (c. 43).]

  • Prices Act 1974 (c. 24).

  • Consumer Credit Act 1974 (c. 39).

  • [F97Customs and Excise Management Act 1979 (c. 12).]

  • Estate Agents Act 1979 (c. 38).

  • Competition Act 1980 (c. 21).

  • [F98Video Recordings Act 1984 (c. 39).]

  • Consumer Protection Act 1987 (c. 43).

  • [F99Consumer Protection (Northern Ireland) Order 1987 (S.I. 1987/2049 (N.I. 20)).

  • Copyright, Designs and Patents Act 1988 (c. 48).]

  • F100...

  • F101...

  • [F102Clean Air Act 1993 (c. 11)

  • [F103Value Added Tax Act 1994 (c. 23).]

  • Trade Marks Act 1994 (c. 26).]

  • Competition Act 1998 (c. 41).

  • [F104Chapter 4 of Part 9A] of the Financial Services and Markets Act 2000 (c. 8).

  • An order made under section 95 of that Act.

  • [F105Fireworks Act 2003.]

  • F106...

  • [F107Consumers, Estate Agents and Redress Act 2007.]

  • [F108Groceries Code Adjudicator Act 2013.]

  • [F109Parts 3 and 4 of the Enterprise and Regulatory Reform Act 2013.]

  • [F110Chapter 5 of Part 3 of the Consumer Rights Act 2015.

  • Schedule 3 to the Consumer Rights Act 2015.]

  • [F111Paragraph 13(2), (3) or (7) of Schedule 5 to the Consumer Rights Act 2015.]

  • [F112Part 4 of the Small Business, Enterprise and Employment Act 2015.]

  • [F113Part 4 of the United Kingdom Internal Market Act 2020.]

Textual Amendments

F97Sch. 14: entry inserted (31.10.2003) by The Enterprise Act 2002 (Part 9 Restrictions on Disclosure of Information) (Amendment and Specification) (No. 2) Order 2003 (S.I. 2003/2580, art. 3, Sch. para. 2

F105Sch. 14: entry inserted (E.W.S.) (28.11.2003 and 15.7.2004 for certain purposes and otherwise prosp.) by Fireworks Act 2003 (c. 22), ss. 12(3), 18 (with s. 2(8)); S.I. 2003/3084, art. 2, Sch.; S.I. 2004/1831, art. 2, Sch.

F106Words in Sch. 14 omitted (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force) by virtue of The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.I. 2018/1253), art. 1(2)(3), 92(a)

Section 241

SCHEDULE 15U.K.Enactments conferring functions

Modifications etc. (not altering text)

C23Sch. 15 modified by The Wireless Telegraphy (Pre-Consolidation Amendments) Order 2006 (S.I. 2006/1391), arts. 1, 2, Sch. para. 7(3)(i) (the said S.I. coming into force immediately before the commencement of the Act resulting from the Wireless Telegraphy Bill introduced in the House of Lords on 20.4.2006 - the Wireless Telegraphy Act 2006 (c. 36) came into force on 8.2.2007, see s. 126 of the said Act)

  • Gun Barrel Proof Act 1868 (cap 113).

  • Gun Barrel Proof Act 1950 (cap 3).

  • Trade Descriptions Act 1968.

  • Unsolicited Goods and Services Act 1971 (c. 30).

  • Fair Trading Act 1973.

  • Hallmarking Act 1973 (c. 43).

  • Prices Act 1974.

  • [F114the relevant statutory provisions within the meaning of Part I of the Health and Safety at Work etc. Act 1974 (c. 37).]

  • Consumer Credit Act 1974.

  • [F115Unsolicited Goods and Services (Northern Ireland) Order 1976 (S.I. 1976/57 (N.I. 1).]

  • Gun Barrel Proof Act 1978 (c. 9).

  • [F116the relevant statutory provisions within the meaning of the Health and Safety at Work (Northern Ireland) Order 1978 (S.I. 1978/1039 (N.I. 9)).]

  • Estate Agents Act 1979.

  • Competition Act 1980.

  • [F117Weights and Measures (Northern Ireland) Order 1981 (S.I. 1981/231 (N.I. 10)).]

  • National Audit Act 1983 (c. 44).

  • Telecommunications Act 1984 (c. 12).

  • [F118Video Recordings Act 1984 (c. 39).]

  • F119. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

  • Weights and Measures Act 1985 (c. 72).

  • Airports Act 1986 (c. 31).

  • Gas Act 1986 (c. 44).

  • [F120Insolvency Act 1986 (c. 45).]

  • [F121Company Directors Disqualification Act 1986 (c. 46).]

  • Financial Services Act 1986 (c. 60).

  • F119. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

  • Consumer Protection Act 1987 (c. 43).

  • [F122Consumer Protection (Northern Ireland) Order 1987 (S.I. 1987/2049 (N.I. 20)).]

  • [F123Banking Act 1987 (c. 22).]

  • [F124Education Reform Act 1988 (c. 40).]

  • Copyright, Designs and Patents Act 1988 (c. 48).

  • [F125The Education (Unrecognised Degrees) (Northern Ireland) Order 1988 (S.I. 1988/1989 (N.I. 22)).]

  • Water Act 1989 (c. 15).

  • Electricity Act 1989 (c. 29).

  • [F126Companies Act 1989 (c. 40).]

  • F127[F128...]

  • [F129Insolvency (Northern Ireland) Order 1989 (S.I. 1989/2405 (N.I. 19)).]

  • F127[F130...]

  • [F131Companies No. 2 (Northern Ireland) Order 1990 (S.I. 1990/1504 (N.I. 10)).]

  • Courts and Legal Services Act 1990 (c. 41).

  • Broadcasting Act 1990 (c. 42).

  • F132...

  • Water Industry Act 1991 (c. 56).

  • Water Resources Act 1991 (c. 57).

  • F133...

  • Land Drainage Act 1991 (c. 59).

  • [F134Water Consolidation (Consequential Provisions) Act 1991 (c. 60).]

  • F135...

  • [F136Electricity (Northern Ireland) Order 1992 (S.I. 1992/231 (N.I. 1)).]

  • [F137Clean Air Act 1993 (c. 11).]

  • Railways Act 1993 (c. 43).

  • Coal Industry Act 1994 (c. 21).

  • Trade Marks Act 1994 (c. 26).

  • [F138Part IV of the Airports (Northern Ireland) Order 1994 (S.I. 1994/426 (N.I. 1)).]

  • Gas Act 1995 (c. 45).

  • Broadcasting Act 1996 (c. 55).

  • [F139Gas (Northern Ireland) Order 1996 (S.I. 1996/275 (N.I. 2)).]

  • Competition Act 1998 (c. 41).

  • Financial Services and Markets Act 2000 (c. 8).

  • Government Resources and Accounts Act 2000 (c. 20).

  • Postal Services Act 2000 (c. 26).

  • Utilities Act 2000 (c. 27).

  • [F140Transport Act 2000 (c. 38).]

  • [F141Company Directors Disqualification (Northern Ireland) Order 2002 (S.I. 2002/3150 (N.I. 4)).]

  • [F142Communications Act 2003.]

  • [F143Fireworks Act 2003.]

  • [F144Water Act 2003 (c. 37).]

  • [F145Railways Act 2005 (c. 14)]

  • [F146Gambling Act 2005 (c.19)]

  • F147...

  • [F148Wireless Telegraphy Act 2006 (c.36).]

  • [F149Water and Sewerage Services (Northern Ireland) Order 2006]

  • [F150the Companies Acts (as defined in section 2 of the Companies Act 2006)]

  • [F151Consumers, Estate Agents and Redress Act 2007.]

  • [F152Postal Services Act 2011.]

  • [F153Electronic Money Regulations 2011.]

  • [F154Airport Charges Regulations 2011.]

  • [F155Civil Aviation Act 2012.]

  • [F156Consumer Rights (Payment Surcharges) Regulations 2012.]

  • [F157Groceries Code Adjudicator Act 2013.]

  • [F158Parts 3 and 4 of the Enterprise and Regulatory Reform Act 2013.]

  • [F159the relevant statutory provisions within the meaning of Part 3 of the Energy Act 2013 (c.32).]

  • [F160Water Act 2014.]

  • [F161The Health and Social Care Act 2012.]

  • [F162Financial Services (Banking Reform) Act 2013]

  • [F163Chapter 5 of Part 3 of the Consumer Rights Act 2015.]

  • [F164Schedule 3 to the Consumer Rights Act 2015.]

  • [F165The Payment Card Interchange Fee Regulations 2015.]

  • [F166Part 4 of the Small Business, Enterprise and Employment Act 2015.]

  • [F167Payment Services Regulations 2017.]

Textual Amendments

F133Words in Sch. 15 omitted (26.5.2015) by virtue of Deregulation Act 2015 (c. 20), s. 115(3)(r), Sch. 23 para. 28(6)

F142Sch. 15: entry inserted (25.7.2003 for certain purposes and 29.12.2003 for certain purposes) by Communications Act 2003 (c. 21), ss. 406(1), 411(2)(3), Sch. 17 para. 174(7) (with transitional provisions in Sch. 18); S.I. 2003/1900, arts. 1(2), 2(1), 3(1), Sch. 1 (with art. 3(2) (as amended (8.12.2003) by S.I. 2003/3142, art. 1(3))); S.I. 2003/3142, art. 3(1), Sch. 1 (subject to arts. 3(3), 11)

F143Sch. 15: entry inserted (E.W.S.) (28.11.2003 for certain purposes, 15.7.2004 for certain further purposes and otherwise prosp.) by Fireworks Act 2003 (c. 22), ss. 12(3), 18 (with s. 2(8)); S.I. 2003/3084, art. 2, Sch.; S.I. 2004/1831, art. 2, Sch.

F145Sch. 15: entry inserted (E.W.S.) (8.6.2005) by Railways Act 2005 (c. 14), ss. 59, 60, Sch. 12 para. 18(4); S.I. 2005/1444, art. 2(1), Sch. 1

F147Words in Sch. 15 omitted (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force) by virtue of The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.I. 2018/1253), art. 1(2)(3), 92(b)

F150Sch. 15: entry inserted (1.10.2007) by The Companies Act 2006 (Commencement No. 3, Consequential Amendments, Transitional Provisions and Savings) Order 2007 (2007/2194), art. 10(1), {Sch. 4 para. 98(b)} (with art. 12)

Modifications etc. (not altering text)

Section 248

SCHEDULE 16E+W+SSchedule B1 to Insolvency Act 1986

SCHEDULE B1E+W+S ADMINISTRATION

ARRANGEMENT OF SCHEDULEE+W+S

Nature of administrationParagraphs 1 to 9
Appointment of administrator by courtParagraphs 10 to 13
Appointment of administrator by holder of floating chargeParagraphs 14 to 21
Appointment of administrator by company or directorsParagraphs 22 to 34
Administration application: special casesParagraphs 35 to 39
Effect of administrationParagraphs 40 to 45
Process of administrationParagraphs 46 to 58
Functions of administratorParagraphs 59 to 75
Ending administrationParagraphs 76 to 86
Replacing administratorParagraphs 87 to 99
GeneralParagraphs 100 to 116

NATURE OF ADMINISTRATIONE+W+S

Administration

1(1)For the purposes of this Act “administrator” of a company means a person appointed under this Schedule to manage the company’s affairs, business and property.

(2)For the purposes of this Act—

(a)a company is “in administration” while the appointment of an administrator of the company has effect,

(b)a company “enters administration” when the appointment of an administrator takes effect,

(c)a company ceases to be in administration when the appointment of an administrator of the company ceases to have effect in accordance with this Schedule, and

(d)a company does not cease to be in administration merely because an administrator vacates office (by reason of resignation, death or otherwise) or is removed from office.

2A person may be appointed as administrator of a company—

(a)by administration order of the court under paragraph 10,

(b)by the holder of a floating charge under paragraph 14, or

(c)by the company or its directors under paragraph 22.

Purpose of administration

3(1)The administrator of a company must perform his functions with the objective of—

(a)rescuing the company as a going concern, or

(b)achieving a better result for the company’s creditors as a whole than would be likely if the company were wound up (without first being in administration), or

(c)realising property in order to make a distribution to one or more secured or preferential creditors.

(2)Subject to sub-paragraph (4), the administrator of a company must perform his functions in the interests of the company’s creditors as a whole.

(3)The administrator must perform his functions with the objective specified in sub-paragraph (1)(a) unless he thinks either—

(a)that it is not reasonably practicable to achieve that objective, or

(b)that the objective specified in sub-paragraph (1)(b) would achieve a better result for the company’s creditors as a whole.

(4)The administrator may perform his functions with the objective specified in sub-paragraph (1)(c) only if—

(a)he thinks that it is not reasonably practicable to achieve either of the objectives specified in sub-paragraph (1)(a) and (b), and

(b)he does not unnecessarily harm the interests of the creditors of the company as a whole.

4The administrator of a company must perform his functions as quickly and efficiently as is reasonably practicable.

Status of administrator

5An administrator is an officer of the court (whether or not he is appointed by the court).

General restrictions

6A person may be appointed as administrator of a company only if he is qualified to act as an insolvency practitioner in relation to the company.

7A person may not be appointed as administrator of a company which is in administration (subject to the provisions of paragraphs 90 to 97 and 100 to 103 about replacement and additional administrators).

8(1)A person may not be appointed as administrator of a company which is in liquidation by virtue of—

(a)a resolution for voluntary winding up, or

(b)a winding-up order.

(2)Sub-paragraph (1)(a) is subject to paragraph 38.

(3)Sub-paragraph (1)(b) is subject to paragraphs 37 and 38.

9(1)A person may not be appointed as administrator of a company which—

(a)has a liability in respect of a deposit which it accepted in accordance with the Banking Act 1979 (c. 37) or 1987 (c. 22), but

(b)is not an authorised deposit taker.

(2)A person may not be appointed as administrator of a company which effects or carries out contracts of insurance.

(3)But sub-paragraph (2) does not apply to a company which—

(a)is exempt from the general prohibition in relation to effecting or carrying out contracts of insurance, or

(b)is an authorised deposit taker effecting or carrying out contracts of insurance in the course of a banking business.

(4)In this paragraph—

  • authorised deposit taker” means a person with permission under Part IV of the Financial Services and Markets Act 2000 (c. 8) to accept deposits, and

  • the general prohibition” has the meaning given by section 19 of that Act.

(5)This paragraph shall be construed in accordance with—

(a)section 22 of the Financial Services and Markets Act 2000 (classes of regulated activity and categories of investment),

(b)any relevant order under that section, and

(c)Schedule 2 to that Act (regulated activities).

APPOINTMENT OF ADMINISTRATOR BY COURTE+W+S

Administration order

10An administration order is an order appointing a person as the administrator of a company.

Conditions for making order

11The court may make an administration order in relation to a company only if satisfied—

(a)that the company is or is likely to become unable to pay its debts, and

(b)that the administration order is reasonably likely to achieve the purpose of administration.

Administration application

12(1)An application to the court for an administration order in respect of a company (an “administration application”) may be made only by—

(a)the company,

(b)the directors of the company,

(c)one or more creditors of the company,

(d)the justices’ chief executive for a magistrates’ court in the exercise of the power conferred by section 87A of the Magistrates’ Courts Act 1980 (c. 43) (fine imposed on company), or

(e)a combination of persons listed in paragraphs (a) to (d).

(2)As soon as is reasonably practicable after the making of an administration application the applicant shall notify—

(a)any person who has appointed an administrative receiver of the company,

(b)any person who is or may be entitled to appoint an administrative receiver of the company,

(c)any person who is or may be entitled to appoint an administrator of the company under paragraph 14, and

(d)such other persons as may be prescribed.

(3)An administration application may not be withdrawn without the permission of the court.

(4)In sub-paragraph (1) “creditor” includes a contingent creditor and a prospective creditor.

[F168(5)Sub-paragraph (1) is without prejudice to section 7(4)(b).]

Powers of court

13(1)On hearing an administration application the court may—

(a)make the administration order sought;

(b)dismiss the application;

(c)adjourn the hearing conditionally or unconditionally;

(d)make an interim order;

(e)treat the application as a winding-up petition and make any order which the court could make under section 125;

(f)make any other order which the court thinks appropriate.

(2)An appointment of an administrator by administration order takes effect—

(a)at a time appointed by the order, or

(b)where no time is appointed by the order, when the order is made.

(3)An interim order under sub-paragraph (1)(d) may, in particular—

(a)restrict the exercise of a power of the directors or the company;

(b)make provision conferring a discretion on the court or on a person qualified to act as an insolvency practitioner in relation to the company.

(4)This paragraph is subject to paragraph 39.

APPOINTMENT OF ADMINISTRATOR BY HOLDER OF FLOATING CHARGEE+W+S

Power to appoint

14(1)The holder of a qualifying floating charge in respect of a company’s property may appoint an administrator of the company.

(2)For the purposes of sub-paragraph (1) a floating charge qualifies if created by an instrument which—

(a)states that this paragraph applies to the floating charge,

(b)purports to empower the holder of the floating charge to appoint an administrator of the company,

(c)purports to empower the holder of the floating charge to make an appointment which would be the appointment of an administrative receiver within the meaning given by section 29(2), or

(d)purports to empower the holder of a floating charge in Scotland to appoint a receiver who on appointment would be an administrative receiver.

(3)For the purposes of sub-paragraph (1) a person is the holder of a qualifying floating charge in respect of a company’s property if he holds one or more debentures of the company secured—

(a)by a qualifying floating charge which relates to the whole or substantially the whole of the company’s property,

(b)by a number of qualifying floating charges which together relate to the whole or substantially the whole of the company’s property, or

(c)by charges and other forms of security which together relate to the whole or substantially the whole of the company’s property and at least one of which is a qualifying floating charge.

Restrictions on power to appoint

15(1)A person may not appoint an administrator under paragraph 14 unless—

(a)he has given at least two business days’ written notice to the holder of any prior floating charge which satisfies paragraph 14(2), or

(b)the holder of any prior floating charge which satisfies paragraph 14(2) has consented in writing to the making of the appointment.

(2)One floating charge is prior to another for the purposes of this paragraph if—

(a)it was created first, or

(b)it is to be treated as having priority in accordance with an agreement to which the holder of each floating charge was party.

(3)Sub-paragraph (2) shall have effect in relation to Scotland as if the following were substituted for paragraph (a)—

“(a)it has priority of ranking in accordance with section 464(4)(b) of the Companies Act 1985 (c. 6), ”.

16An administrator may not be appointed under paragraph 14 while a floating charge on which the appointment relies is not enforceable.

17An administrator of a company may not be appointed under paragraph 14 if—

(a)a provisional liquidator of the company has been appointed under section 135, or

(b)an administrative receiver of the company is in office.

Notice of appointment

18(1)A person who appoints an administrator of a company under paragraph 14 shall file with the court—

(a)a notice of appointment, and

(b)such other documents as may be prescribed.

(2)The notice of appointment must include a statutory declaration by or on behalf of the person who makes the appointment—

(a)that the person is the holder of a qualifying floating charge in respect of the company’s property,

(b)that each floating charge relied on in making the appointment is (or was) enforceable on the date of the appointment, and

(c)that the appointment is in accordance with this Schedule.

(3)The notice of appointment must identify the administrator and must be accompanied by a statement by the administrator—

(a)that he consents to the appointment,

(b)that in his opinion the purpose of administration is reasonably likely to be achieved, and

(c)giving such other information and opinions as may be prescribed.

(4)For the purpose of a statement under sub-paragraph (3) an administrator may rely on information supplied by directors of the company (unless he has reason to doubt its accuracy).

(5)The notice of appointment and any document accompanying it must be in the prescribed form.

(6)A statutory declaration under sub-paragraph (2) must be made during the prescribed period.

(7)A person commits an offence if in a statutory declaration under sub-paragraph (2) he makes a statement—

(a)which is false, and

(b)which he does not reasonably believe to be true.

Commencement of appointment

19The appointment of an administrator under paragraph 14 takes effect when the requirements of paragraph 18 are satisfied.

20A person who appoints an administrator under paragraph 14—

(a)shall notify the administrator and such other persons as may be prescribed as soon as is reasonably practicable after the requirements of paragraph 18 are satisfied, and

(b)commits an offence if he fails without reasonable excuse to comply with paragraph (a).

Invalid appointment: indemnity

21(1)This paragraph applies where—

(a)a person purports to appoint an administrator under paragraph 14, and

(b)the appointment is discovered to be invalid.

(2)The court may order the person who purported to make the appointment to indemnify the person appointed against liability which arises solely by reason of the appointment’s invalidity.

APPOINTMENT OF ADMINISTRATOR BY COMPANY OR DIRECTORSE+W+S

Power to appoint

22(1)A company may appoint an administrator.

(2)The directors of a company may appoint an administrator.

Restrictions on power to appoint

23(1)This paragraph applies where an administrator of a company is appointed—

(a)under paragraph 22, or

(b)on an administration application made by the company or its directors.

(2)An administrator of the company may not be appointed under paragraph 22 during the period of 12 months beginning with the date on which the appointment referred to in sub-paragraph (1) ceases to have effect.

24(1)If a moratorium for a company under Schedule A1 ends on a date when no voluntary arrangement is in force in respect of the company, this paragraph applies for the period of 12 months beginning with that date.

(2)This paragraph also applies for the period of 12 months beginning with the date on which a voluntary arrangement in respect of a company ends if—

(a)the arrangement was made during a moratorium for the company under Schedule A1, and

(b)the arrangement ends prematurely (within the meaning of section 7B).

(3)While this paragraph applies, an administrator of the company may not be appointed under paragraph 22.

25An administrator of a company may not be appointed under paragraph 22 if—

(a)a petition for the winding up of the company has been presented and is not yet disposed of,

(b)an administration application has been made and is not yet disposed of, or

(c)an administrative receiver of the company is in office.

Notice of intention to appoint

26(1)A person who proposes to make an appointment under paragraph 22 shall give at least five business days’ written notice to—

(a)any person who is or may be entitled to appoint an administrative receiver of the company, and

(b)any person who is or may be entitled to appoint an administrator of the company under paragraph 14.

(2)A person who proposes to make an appointment under paragraph 22 shall also give such notice as may be prescribed to such other persons as may be prescribed.

(3)A notice under this paragraph must—

(a)identify the proposed administrator, and

(b)be in the prescribed form.

27(1)A person who gives notice of intention to appoint under paragraph 26 shall file with the court as soon as is reasonably practicable a copy of—

(a)the notice, and

(b)any document accompanying it.

(2)The copy filed under sub-paragraph (1) must be accompanied by a statutory declaration made by or on behalf of the person who proposes to make the appointment—

(a)that the company is or is likely to become unable to pay its debts,

(b)that the company is not in liquidation, and

(c)that, so far as the person making the statement is able to ascertain, the appointment is not prevented by paragraphs 23 to 25, and

(d)to such additional effect, and giving such information, as may be prescribed.

(3)A statutory declaration under sub-paragraph (2) must—

(a)be in the prescribed form, and

(b)be made during the prescribed period.

(4)A person commits an offence if in a statutory declaration under sub-paragraph (2) he makes a statement—

(a)which is false, and

(b)which he does not reasonably believe to be true.

28(1)An appointment may not be made under paragraph 22 unless the person who makes the appointment has complied with any requirement of paragraphs 26 and 27 and—

(a)the period of notice specified in paragraph 26(1) has expired, or

(b)each person to whom notice has been given under paragraph 26(1) has consented in writing to the making of the appointment.

(2)An appointment may not be made under paragraph 22 after the period of ten business days beginning with the date on which the notice of intention to appoint is filed under paragraph 27(1).

Notice of appointment

29(1)A person who appoints an administrator of a company under paragraph 22 shall file with the court—

(a)a notice of appointment, and

(b)such other documents as may be prescribed.

(2)The notice of appointment must include a statutory declaration by or on behalf of the person who makes the appointment—

(a)that the person is entitled to make an appointment under paragraph 22,

(b)that the appointment is in accordance with this Schedule, and

(c)that, so far as the person making the statement is able to ascertain, the statements made and information given in the statutory declaration filed with the notice of intention to appoint remain accurate.

(3)The notice of appointment must identify the administrator and must be accompanied by a statement by the administrator—

(a)that he consents to the appointment,

(b)that in his opinion the purpose of administration is reasonably likely to be achieved, and

(c)giving such other information and opinions as may be prescribed.

(4)For the purpose of a statement under sub-paragraph (3) an administrator may rely on information supplied by directors of the company (unless he has reason to doubt its accuracy).

(5)The notice of appointment and any document accompanying it must be in the prescribed form.

(6)A statutory declaration under sub-paragraph (2) must be made during the prescribed period.

(7)A person commits an offence if in a statutory declaration under sub-paragraph (2) he makes a statement—

(a)which is false, and

(b)which he does not reasonably believe to be true.

30In a case in which no person is entitled to notice of intention to appoint under paragraph 26(1) (and paragraph 28 therefore does not apply)—

(a)the statutory declaration accompanying the notice of appointment must include the statements and information required under paragraph 27(2), and

(b)paragraph 29(2)(c) shall not apply.

Commencement of appointment

31The appointment of an administrator under paragraph 22 takes effect when the requirements of paragraph 29 are satisfied.

32A person who appoints an administrator under paragraph 22—

(a)shall notify the administrator and such other persons as may be prescribed as soon as is reasonably practicable after the requirements of paragraph 29 are satisfied, and

(b)commits an offence if he fails without reasonable excuse to comply with paragraph (a).

33If before the requirements of paragraph 29 are satisfied the company enters administration by virtue of an administration order or an appointment under paragraph 14—

(a)the appointment under paragraph 22 shall not take effect, and

(b)paragraph 32 shall not apply.

Invalid appointment: indemnity

34(1)This paragraph applies where—

(a)a person purports to appoint an administrator under paragraph 22, and

(b)the appointment is discovered to be invalid.

(2)The court may order the person who purported to make the appointment to indemnify the person appointed against liability which arises solely by reason of the appointment’s invalidity.

ADMINISTRATION APPLICATION – SPECIAL CASESE+W+S

Application by holder of floating charge

35(1)This paragraph applies where an administration application in respect of a company—

(a)is made by the holder of a qualifying floating charge in respect of the company’s property, and

(b)includes a statement that the application is made in reliance on this paragraph.

(2)The court may make an administration order—

(a)whether or not satisfied that the company is or is likely to become unable to pay its debts, but

(b)only if satisfied that the applicant could appoint an administrator under paragraph 14.

Intervention by holder of floating charge

36(1)This paragraph applies where—

(a)an administration application in respect of a company is made by a person who is not the holder of a qualifying floating charge in respect of the company’s property, and

(b)the holder of a qualifying floating charge in respect of the company’s property applies to the court to have a specified person appointed as administrator (and not the person specified by the administration applicant).

(2)The court shall grant an application under sub-paragraph (1)(b) unless the court thinks it right to refuse the application because of the particular circumstances of the case.

Application where company in liquidation

37(1)This paragraph applies where the holder of a qualifying floating charge in respect of a company’s property could appoint an administrator under paragraph 14 but for paragraph 8(1)(b).

(2)The holder of the qualifying floating charge may make an administration application.

(3)If the court makes an administration order on hearing an application made by virtue of sub-paragraph (2)—

(a)the court shall discharge the winding-up order,

(b)the court shall make provision for such matters as may be prescribed,

(c)the court may make other consequential provision,

(d)the court shall specify which of the powers under this Schedule are to be exercisable by the administrator, and

(e)this Schedule shall have effect with such modifications as the court may specify.

38(1)The liquidator of a company may make an administration application.

(2)If the court makes an administration order on hearing an application made by virtue of sub-paragraph (1)—

(a)the court shall discharge any winding-up order in respect of the company,

(b)the court shall make provision for such matters as may be prescribed,

(c)the court may make other consequential provision,

(d)the court shall specify which of the powers under this Schedule are to be exercisable by the administrator, and

(e)this Schedule shall have effect with such modifications as the court may specify.

Effect of administrative receivership

39(1)Where there is an administrative receiver of a company the court must dismiss an administration application in respect of the company unless—

(a)the person by or on behalf of whom the receiver was appointed consents to the making of the administration order,

(b)the court thinks that the security by virtue of which the receiver was appointed would be liable to be released or discharged under sections 238 to 240 (transaction at undervalue and preference) if an administration order were made,

(c)the court thinks that the security by virtue of which the receiver was appointed would be avoided under section 245 (avoidance of floating charge) if an administration order were made, or

(d)the court thinks that the security by virtue of which the receiver was appointed would be challengeable under section 242 (gratuitous alienations) or 243 (unfair preferences) or under any rule of law in Scotland.

(2)Sub-paragraph (1) applies whether the administrative receiver is appointed before or after the making of the administration application.

EFFECT OF ADMINISTRATIONE+W+S

Dismissal of pending winding-up petition

40(1)A petition for the winding up of a company—

(a)shall be dismissed on the making of an administration order in respect of the company, and

(b)shall be suspended while the company is in administration following an appointment under paragraph 14.

(2)Sub-paragraph (1)(b) does not apply to a petition presented under—

(a)section 124A (public interest), or

(b)section 367 of the Financial Services and Markets Act 2000 (c. 8) (petition by Financial Services Authority).

(3)Where an administrator becomes aware that a petition was presented under a provision referred to in sub-paragraph (2) before his appointment, he shall apply to the court for directions under paragraph 63.

Dismissal of administrative or other receiver

41(1)When an administration order takes effect in respect of a company any administrative receiver of the company shall vacate office.

(2)Where a company is in administration, any receiver of part of the company’s property shall vacate office if the administrator requires him to.

(3)Where an administrative receiver or receiver vacates office under sub-paragraph (1) or (2)—

(a)his remuneration shall be charged on and paid out of any property of the company which was in his custody or under his control immediately before he vacated office, and

(b)he need not take any further steps under section 40 or 59.

(4)In the application of sub-paragraph (3)(a)—

(a)remuneration” includes expenses properly incurred and any indemnity to which the administrative receiver or receiver is entitled out of the assets of the company,

(b)the charge imposed takes priority over security held by the person by whom or on whose behalf the administrative receiver or receiver was appointed, and

(c)the provision for payment is subject to paragraph 43.

Moratorium on insolvency proceedings

42(1)This paragraph applies to a company in administration.

(2)No resolution may be passed for the winding up of the company.

(3)No order may be made for the winding up of the company.

(4)Sub-paragraph (3) does not apply to an order made on a petition presented under—

(a)section 124A (public interest), or

(b)section 367 of the Financial Services and Markets Act 2000 (c. 8) (petition by Financial Services Authority).

(5)If a petition presented under a provision referred to in sub-paragraph (4) comes to the attention of the administrator, he shall apply to the court for directions under paragraph 63.

Moratorium on other legal process

43(1)This paragraph applies to a company in administration.

(2)No step may be taken to enforce security over the company’s property except—

(a)with the consent of the administrator, or

(b)with the permission of the court.

(3)No step may be taken to repossess goods in the company’s possession under a hire-purchase agreement except—

(a)with the consent of the administrator, or

(b)with the permission of the court.

(4)A landlord may not exercise a right of forfeiture by peaceable re-entry in relation to premises let to the company except—

(a)with the consent of the administrator, or

(b)with the permission of the court.

(5)In Scotland, a landlord may not exercise a right of irritancy in relation to premises let to the company except—

(a)with the consent of the administrator, or

(b)with the permission of the court.

(6)No legal process (including legal proceedings, execution, distress and diligence) may be instituted or continued against the company or property of the company except—

(a)with the consent of the administrator, or

(b)with the permission of the court.

[F169(6A)An administrative receiver of the company may not be appointed.]

(7)Where the court gives permission for a transaction under this paragraph it may impose a condition on or a requirement in connection with the transaction.

(8)In this paragraph “landlord” includes a person to whom rent is payable.

Interim moratorium

44(1)This paragraph applies where an administration application in respect of a company has been made and—

(a)the application has not yet been granted or dismissed, or

(b)the application has been granted but the administration order has not yet taken effect.

(2)This paragraph also applies from the time when a copy of notice of intention to appoint an administrator under paragraph 14 is filed with the court until—

(a)the appointment of the administrator takes effect, or

(b)the period of five business days beginning with the date of filing expires without an administrator having been appointed.

(3)Sub-paragraph (2) has effect in relation to a notice of intention to appoint only if it is in the prescribed form.

(4)This paragraph also applies from the time when a copy of notice of intention to appoint an administrator is filed with the court under paragraph 27(1) until—

(a)the appointment of the administrator takes effect, or

(b)the period specified in paragraph 28(2) expires without an administrator having been appointed.

(5)The provisions of paragraphs 42 and 43 shall apply (ignoring any reference to the consent of the administrator).

(6)If there is an administrative receiver of the company when the administration application is made, the provisions of paragraphs 42 and 43 shall not begin to apply by virtue of this paragraph until the person by or on behalf of whom the receiver was appointed consents to the making of the administration order.

(7)This paragraph does not prevent or require the permission of the court for—

(a)the presentation of a petition for the winding up of the company under a provision mentioned in paragraph 42(4),

(b)the appointment of an administrator under paragraph 14,

(c)the appointment of an administrative receiver of the company, or

(d)the carrying out by an administrative receiver (whenever appointed) of his functions.

Publicity

45(1)While a company is in administration every business document issued by or on behalf of the company or the administrator must state—

(a)the name of the administrator, and

(b)that the affairs, business and property of the company are being managed by him.

(2)Any of the following commits an offence if without reasonable excuse he authorises or permits a contravention of sub-paragraph (1)—

(a)the administrator,

(b)an officer of the company, and

(c)the company.

(3)In sub-paragraph (1) “business document” means—

(a)an invoice,

(b)an order for goods or services, and

(c)a business letter.

PROCESS OF ADMINISTRATIONE+W+S

Announcement of administrator’s appointment

46(1)This paragraph applies where a person becomes the administrator of a company.

(2)As soon as is reasonably practicable the administrator shall—

(a)send a notice of his appointment to the company, and

(b)publish a notice of his appointment in the prescribed manner.

(3)As soon as is reasonably practicable the administrator shall—

(a)obtain a list of the company’s creditors, and

(b)send a notice of his appointment to each creditor of whose claim and address he is aware.

(4)The administrator shall send a notice of his appointment to the registrar of companies before the end of the period of 7 days beginning with the date specified in sub-paragraph (6).

(5)The administrator shall send a notice of his appointment to such persons as may be prescribed before the end of the prescribed period beginning with the date specified in sub-paragraph (6).

(6)The date for the purpose of sub-paragraphs (4) and (5) is—

(a)in the case of an administrator appointed by administration order, the date of the order,

(b)in the case of an administrator appointed under paragraph 14, the date on which he receives notice under paragraph 20, and

(c)in the case of an administrator appointed under paragraph 22, the date on which he receives notice under paragraph 32.

(7)The court may direct that sub-paragraph (3)(b) or (5)—

(a)shall not apply, or

(b)shall apply with the substitution of a different period.

(8)A notice under this paragraph must—

(a)contain the prescribed information, and

(b)be in the prescribed form.

(9)An administrator commits an offence if he fails without reasonable excuse to comply with a requirement of this paragraph.

Statement of company’s affairs

47(1)As soon as is reasonably practicable after appointment the administrator of a company shall by notice in the prescribed form require one or more relevant persons to provide the administrator with a statement of the affairs of the company.

(2)The statement must—

(a)be verified by a statement of truth in accordance with Civil Procedure Rules,

(b)be in the prescribed form,

(c)give particulars of the company’s property, debts and liabilities,

(d)give the names and addresses of the company’s creditors,

(e)specify the security held by each creditor,

(f)give the date on which each security was granted, and

(g)contain such other information as may be prescribed.

(3)In sub-paragraph (1) “relevant person” means—

(a)a person who is or has been an officer of the company,

(b)a person who took part in the formation of the company during the period of one year ending with the date on which the company enters administration,

(c)a person employed by the company during that period, and

(d)a person who is or has been during that period an officer or employee of a company which is or has been during that year an officer of the company.

(4)For the purpose of sub-paragraph (3) a reference to employment is a reference to employment through a contract of employment or a contract for services.

(5)In Scotland, a statement of affairs under sub-paragraph (1) must be a statutory declaration made in accordance with the Statutory Declarations Act 1835 (c. 62) (and sub-paragraph (2)(a) shall not apply).

48(1)A person required to submit a statement of affairs must do so before the end of the period of 11 days beginning with the day on which he receives notice of the requirement.

(2)The administrator may—

(a)revoke a requirement under paragraph 47(1), or

(b)extend the period specified in sub-paragraph (1) (whether before or after expiry).

(3)If the administrator refuses a request to act under sub-paragraph (2)—

(a)the person whose request is refused may apply to the court, and

(b)the court may take action of a kind specified in sub-paragraph (2).

(4)A person commits an offence if he fails without reasonable excuse to comply with a requirement under paragraph 47(1).

Administrator’s proposals

49(1)The administrator of a company shall make a statement setting out proposals for achieving the purpose of administration.

(2)A statement under sub-paragraph (1) must, in particular—

(a)deal with such matters as may be prescribed, and

(b)where applicable, explain why the administrator thinks that the objective mentioned in paragraph 3(1)(a) or (b) cannot be achieved.

(3)Proposals under this paragraph may include—

(a)a proposal for a voluntary arrangement under Part I of this Act (although this paragraph is without prejudice to section 4(3));

(b)a proposal for a compromise or arrangement to be sanctioned under section 425 of the Companies Act (compromise with creditors or members).

(4)The administrator shall send a copy of the statement of his proposals—

(a)to the registrar of companies,

(b)to every creditor of the company of whose claim and address he is aware, and

(c)to every member of the company of whose address he is aware.

(5)The administrator shall comply with sub-paragraph (4)—

(a)as soon as is reasonably practicable after the company enters administration, and

(b)in any event, before the end of the period of eight weeks beginning with the day on which the company enters administration.

(6)The administrator shall be taken to comply with sub-paragraph (4)(c) if he publishes in the prescribed manner a notice undertaking to provide a copy of the statement of proposals free of charge to any member of the company who applies in writing to a specified address.

(7)An administrator commits an offence if he fails without reasonable excuse to comply with sub-paragraph (5).

(8)A period specified in this paragraph may be varied in accordance with paragraph 107.

Creditors’ meeting

50(1)In this Schedule “creditors’ meeting” means a meeting of creditors of a company summoned by the administrator—

(a)in the prescribed manner, and

(b)giving the prescribed period of notice to every creditor of the company of whose claim and address he is aware.

(2)A period prescribed under sub-paragraph (1)(b) may be varied in accordance with paragraph 107.

(3)A creditors’ meeting shall be conducted in accordance with the rules.

Requirement for initial creditors’ meeting

51(1)Each copy of an administrator’s statement of proposals sent to a creditor under paragraph 49(4)(b) must be accompanied by an invitation to a creditors’ meeting (an “initial creditors’ meeting”).

(2)The date set for an initial creditors’ meeting must be—

(a)as soon as is reasonably practicable after the company enters administration, and

(b)in any event, within the period of ten weeks beginning with the date on which the company enters administration.

(3)An administrator shall present a copy of his statement of proposals to an initial creditors’ meeting.

(4)A period specified in this paragraph may be varied in accordance with paragraph 107.

(5)An administrator commits an offence if he fails without reasonable excuse to comply with a requirement of this paragraph.

52(1)Paragraph 51(1) shall not apply where the statement of proposals states that the administrator thinks—

(a)that the company has sufficient property to enable each creditor of the company to be paid in full,

(b)that the company has insufficient property to enable a distribution to be made to unsecured creditors other than by virtue of section 176A(2)(a), or

(c)that neither of the objectives specified in paragraph 3(1)(a) and (b) can be achieved.

(2)But the administrator shall summon an initial creditors’ meeting if it is requested—

(a)by creditors of the company whose debts amount to at least 10% of the total debts of the company,

(b)in the prescribed manner, and

(c)in the prescribed period.

(3)A meeting requested under sub-paragraph (2) must be summoned for a date in the prescribed period.

(4)The period prescribed under sub-paragraph (3) may be varied in accordance with paragraph 107.

Business and result of initial creditors’ meeting

53(1)An initial creditors’ meeting to which an administrator’s proposals are presented shall consider them and may—

(a)approve them without modification, or

(b)approve them with modification to which the administrator consents.

(2)After the conclusion of an initial creditors’ meeting the administrator shall as soon as is reasonably practicable report any decision taken to—

(a)the court,

(b)the registrar of companies, and

(c)such other persons as may be prescribed.

(3)An administrator commits an offence if he fails without reasonable excuse to comply with sub-paragraph (2).

Revision of administrator’s proposals

54(1)This paragraph applies where—

(a)an administrator’s proposals have been approved (with or without modification) at an initial creditors’ meeting,

(b)the administrator proposes a revision to the proposals, and

(c)the administrator thinks that the proposed revision is substantial.

(2)The administrator shall—

(a)summon a creditors’ meeting,

(b)send a statement in the prescribed form of the proposed revision with the notice of the meeting sent to each creditor,

(c)send a copy of the statement, within the prescribed period, to each member of the company of whose address he is aware, and

(d)present a copy of the statement to the meeting.

(3)The administrator shall be taken to have complied with sub-paragraph (2)(c) if he publishes a notice undertaking to provide a copy of the statement free of charge to any member of the company who applies in writing to a specified address.

(4)A notice under sub-paragraph (3) must be published—

(a)in the prescribed manner, and

(b)within the prescribed period.

(5)A creditors’ meeting to which a proposed revision is presented shall consider it and may—

(a)approve it without modification, or

(b)approve it with modification to which the administrator consents.

(6)After the conclusion of a creditors’ meeting the administrator shall as soon as is reasonably practicable report any decision taken to—

(a)the court,

(b)the registrar of companies, and

(c)such other persons as may be prescribed.

(7)An administrator commits an offence if he fails without reasonable excuse to comply with sub-paragraph (6).

Failure to obtain approval of administrator’s proposals

55(1)This paragraph applies where an administrator reports to the court that—

(a)an initial creditors’ meeting has failed to approve the administrator’s proposals presented to it, or

(b)a creditors’ meeting has failed to approve a revision of the administrator’s proposals presented to it.

(2)The court may—

(a)provide that the appointment of an administrator shall cease to have effect from a specified time;

(b)adjourn the hearing conditionally or unconditionally;

(c)make an interim order;

(d)make an order on a petition for winding up suspended by virtue of paragraph 40(1)(b);

(e)make any other order (including an order making consequential provision) that the court thinks appropriate.

Further creditors’ meetings

56(1)The administrator of a company shall summon a creditors’ meeting if—

(a)it is requested in the prescribed manner by creditors of the company whose debts amount to at least 10% of the total debts of the company, or

(b)he is directed by the court to summon a creditors’ meeting.

(2)An administrator commits an offence if he fails without reasonable excuse to summon a creditors’ meeting as required by this paragraph.

Creditors’ committee

57(1)A creditors’ meeting may establish a creditors’ committee.

(2)A creditors’ committee shall carry out functions conferred on it by or under this Act.

(3)A creditors’ committee may require the administrator—

(a)to attend on the committee at any reasonable time of which he is given at least seven days’ notice, and

(b)to provide the committee with information about the exercise of his functions.

Correspondence instead of creditors’ meeting

58(1)Anything which is required or permitted by or under this Schedule to be done at a creditors’ meeting may be done by correspondence between the administrator and creditors—

(a)in accordance with the rules, and

(b)subject to any prescribed condition.

(2)A reference in this Schedule to anything done at a creditors’ meeting includes a reference to anything done in the course of correspondence in reliance on sub-paragraph (1).

(3)A requirement to hold a creditors’ meeting is satisfied by conducting correspondence in accordance with this paragraph.

FUNCTIONS OF ADMINISTRATORE+W+S

General powers

59(1)The administrator of a company may do anything necessary or expedient for the management of the affairs, business and property of the company.

(2)A provision of this Schedule which expressly permits the administrator to do a specified thing is without prejudice to the generality of sub-paragraph (1).

(3)A person who deals with the administrator of a company in good faith and for value need not inquire whether the administrator is acting within his powers.

60The administrator of a company has the powers specified in Schedule 1 to this Act.

61The administrator of a company—

(a)may remove a director of the company, and

(b)may appoint a director of the company (whether or not to fill a vacancy).

62The administrator of a company may call a meeting of members or creditors of the company.

63The administrator of a company may apply to the court for directions in connection with his functions.

64(1)A company in administration or an officer of a company in administration may not exercise a management power without the consent of the administrator.

(2)For the purpose of sub-paragraph (1)—

(a)management power” means a power which could be exercised so as to interfere with the exercise of the administrator’s powers,

(b)it is immaterial whether the power is conferred by an enactment or an instrument, and

(c)consent may be general or specific.

Distribution

65(1)The administrator of a company may make a distribution to a creditor of the company.

(2)Section 175 shall apply in relation to a distribution under this paragraph as it applies in relation to a winding up.

(3)A payment may not be made by way of distribution under this paragraph to a creditor of the company who is neither secured nor preferential unless the court gives permission.

66The administrator of a company may make a payment otherwise than in accordance with paragraph 65 or paragraph 13 of Schedule 1 if he thinks it likely to assist achievement of the purpose of administration.

General duties

67The administrator of a company shall on his appointment take custody or control of all the property to which he thinks the company is entitled.

68(1)Subject to sub-paragraph (2), the administrator of a company shall manage its affairs, business and property in accordance with—

(a)any proposals approved under paragraph 53,

(b)any revision of those proposals which is made by him and which he does not consider substantial, and

(c)any revision of those proposals approved under paragraph 54.

(2)If the court gives directions to the administrator of a company in connection with any aspect of his management of the company’s affairs, business or property, the administrator shall comply with the directions.

(3)The court may give directions under sub-paragraph (2) only if—

(a)no proposals have been approved under paragraph 53,

(b)the directions are consistent with any proposals or revision approved under paragraph 53 or 54,

(c)the court thinks the directions are required in order to reflect a change in circumstances since the approval of proposals or a revision under paragraph 53 or 54, or

(d)the court thinks the directions are desirable because of a misunderstanding about proposals or a revision approved under paragraph 53 or 54.

Administrator as agent of company

69In exercising his functions under this Schedule the administrator of a company acts as its agent.

Charged property: floating charge

70(1)The administrator of a company may dispose of or take action relating to property which is subject to a floating charge as if it were not subject to the charge.

(2)Where property is disposed of in reliance on sub-paragraph (1) the holder of the floating charge shall have the same priority in respect of acquired property as he had in respect of the property disposed of.

(3)In sub-paragraph (2) “acquired property” means property of the company which directly or indirectly represents the property disposed of.

Charged property: non-floating charge

71(1)The court may by order enable the administrator of a company to dispose of property which is subject to a security (other than a floating charge) as if it were not subject to the security.

(2)An order under sub-paragraph (1) may be made only—

(a)on the application of the administrator, and

(b)where the court thinks that disposal of the property would be likely to promote the purpose of administration in respect of the company.

(3)An order under this paragraph is subject to the condition that there be applied towards discharging the sums secured by the security—

(a)the net proceeds of disposal of the property, and

(b)any additional money required to be added to the net proceeds so as to produce the amount determined by the court as the net amount which would be realised on a sale of the property at market value.

(4)If an order under this paragraph relates to more than one security, application of money under sub-paragraph (3) shall be in the order of the priorities of the securities.

(5)An administrator who makes a successful application for an order under this paragraph shall send a copy of the order to the registrar of companies before the end of the period of 14 days starting with the date of the order.

(6)An administrator commits an offence if he fails to comply with sub-paragraph (5) without reasonable excuse.

Hire-purchase property

72(1)The court may by order enable the administrator of a company to dispose of goods which are in the possession of the company under a hire-purchase agreement as if all the rights of the owner under the agreement were vested in the company.

(2)An order under sub-paragraph (1) may be made only—

(a)on the application of the administrator, and

(b)where the court thinks that disposal of the goods would be likely to promote the purpose of administration in respect of the company.

(3)An order under this paragraph is subject to the condition that there be applied towards discharging the sums payable under the hire-purchase agreement—

(a)the net proceeds of disposal of the goods, and

(b)any additional money required to be added to the net proceeds so as to produce the amount determined by the court as the net amount which would be realised on a sale of the goods at market value.

(4)An administrator who makes a successful application for an order under this paragraph shall send a copy of the order to the registrar of companies before the end of the period of 14 days starting with the date of the order.

(5)An administrator commits an offence if he fails without reasonable excuse to comply with sub-paragraph (4).

Protection for secured or preferential creditor

73(1)An administrator’s statement of proposals under paragraph 49 may not include any action which—

(a)affects the right of a secured creditor of the company to enforce his security,

(b)would result in a preferential debt of the company being paid otherwise than in priority to its non-preferential debts, or

(c)would result in one preferential creditor of the company being paid a smaller proportion of his debt than another.

(2)Sub-paragraph (1) does not apply to—

(a)action to which the relevant creditor consents,

(b)a proposal for a voluntary arrangement under Part I of this Act (although this sub-paragraph is without prejudice to section 4(3)), or

(c)a proposal for a compromise or arrangement to be sanctioned under section 425 of the Companies Act (compromise with creditors or members).

(3)The reference to a statement of proposals in sub-paragraph (1) includes a reference to a statement as revised or modified.

Challenge to administrator’s conduct of company

74(1)A creditor or member of a company in administration may apply to the court claiming that—

(a)the administrator is acting or has acted so as unfairly to harm the interests of the applicant (whether alone or in common with some or all other members or creditors), or

(b)the administrator proposes to act in a way which would unfairly harm the interests of the applicant (whether alone or in common with some or all other members or creditors).

(2)A creditor or member of a company in administration may apply to the court claiming that the administrator is not performing his functions as quickly or as efficiently as is reasonably practicable.

(3)The court may—

(a)grant relief;

(b)dismiss the application;

(c)adjourn the hearing conditionally or unconditionally;

(d)make an interim order;

(e)make any other order it thinks appropriate.

(4)In particular, an order under this paragraph may—

(a)regulate the administrator’s exercise of his functions;

(b)require the administrator to do or not do a specified thing;

(c)require a creditors’ meeting to be held for a specified purpose;

(d)provide for the appointment of an administrator to cease to have effect;

(e)make consequential provision.

(5)An order may be made on a claim under sub-paragraph (1) whether or not the action complained of—

(a)is within the administrator’s powers under this Schedule;

(b)was taken in reliance on an order under paragraph 71 or 72.

(6)An order may not be made under this paragraph if it would impede or prevent the implementation of—

(a)a voluntary arrangement approved under Part I,

(b)a compromise or arrangement sanctioned under section 425 of the Companies Act (compromise with creditors and members), or

(c)proposals or a revision approved under paragraph 53 or 54 more than 28 days before the day on which the application for the order under this paragraph is made.

Misfeasance

75(1)The court may examine the conduct of a person who—

(a)is or purports to be the administrator of a company, or

(b)has been or has purported to be the administrator of a company.

(2)An examination under this paragraph may be held only on the application of—

(a)the official receiver,

(b)the administrator of the company,

(c)the liquidator of the company,

(d)a creditor of the company, or

(e)a contributory of the company.

(3)An application under sub-paragraph (2) must allege that the administrator—

(a)has misapplied or retained money or other property of the company,

(b)has become accountable for money or other property of the company,

(c)has breached a fiduciary or other duty in relation to the company, or

(d)has been guilty of misfeasance.

(4)On an examination under this paragraph into a person’s conduct the court may order him—

(a)to repay, restore or account for money or property;

(b)to pay interest;

(c)to contribute a sum to the company’s property by way of compensation for breach of duty or misfeasance.

(5)In sub-paragraph (3) “administrator” includes a person who purports or has purported to be a company’s administrator.

(6)An application under sub-paragraph (2) may be made in respect of an administrator who has been discharged under paragraph 98 only with the permission of the court.

ENDING ADMINISTRATIONE+W+S

Automatic end of administration

76(1)The appointment of an administrator shall cease to have effect at the end of the period of one year beginning with the date on which it takes effect.

(2)But—

(a)on the application of an administrator the court may by order extend his term of office for a specified period, and

(b)an administrator’s term of office may be extended for a specified period not exceeding six months by consent.

77(1)An order of the court under paragraph 76—

(a)may be made in respect of an administrator whose term of office has already been extended by order or by consent, but

(b)may not be made after the expiry of the administrator’s term of office.

(2)Where an order is made under paragraph 76 the administrator shall as soon as is reasonably practicable notify the registrar of companies.

(3)An administrator who fails without reasonable excuse to comply with sub-paragraph (2) commits an offence.

78(1)In paragraph 76(2)(b) “consent” means consent of—

(a)each secured creditor of the company, and

(b)if the company has unsecured debts, creditors whose debts amount to more than 50% of the company’s unsecured debts, disregarding debts of any creditor who does not respond to an invitation to give or withhold consent.

(2)But where the administrator has made a statement under paragraph 52(1)(b) “consent” means—

(a)consent of each secured creditor of the company, or

(b)if the administrator thinks that a distribution may be made to preferential creditors, consent of—

(i)each secured creditor of the company, and

(ii)preferential creditors whose debts amount to more than 50% of the preferential debts of the company, disregarding debts of any creditor who does not respond to an invitation to give or withhold consent.

(3)Consent for the purposes of paragraph 76(2)(b) may be—

(a)written, or

(b)signified at a creditors’ meeting.

(4)An administrator’s term of office—

(a)may be extended by consent only once,

(b)may not be extended by consent after extension by order of the court, and

(c)may not be extended by consent after expiry.

(5)Where an administrator’s term of office is extended by consent he shall as soon as is reasonably practicable—

(a)file notice of the extension with the court, and

(b)notify the registrar of companies.

(6)An administrator who fails without reasonable excuse to comply with sub-paragraph (5) commits an offence.

Court ending administration on application of administrator

79(1)On the application of the administrator of a company the court may provide for the appointment of an administrator of the company to cease to have effect from a specified time.

(2)The administrator of a company shall make an application under this paragraph if—

(a)he thinks the purpose of administration cannot be achieved in relation to the company,

(b)he thinks the company should not have entered administration, or

(c)a creditors’ meeting requires him to make an application under this paragraph.

(3)The administrator of a company shall make an application under this paragraph if—

(a)the administration is pursuant to an administration order, and

(b)the administrator thinks that the purpose of administration has been sufficiently achieved in relation to the company.

(4)On an application under this paragraph the court may—

(a)adjourn the hearing conditionally or unconditionally;

(b)dismiss the application;

(c)make an interim order;

(d)make any order it thinks appropriate (whether in addition to, in consequence of or instead of the order applied for).

Termination of administration where objective achieved

80(1)This paragraph applies where an administrator of a company is appointed under paragraph 14 or 22.

(2)If the administrator thinks that the purpose of administration has been sufficiently achieved in relation to the company he may file a notice in the prescribed form—

(a)with the court, and

(b)with the registrar of companies.

(3)The administrator’s appointment shall cease to have effect when the requirements of sub-paragraph (2) are satisfied.

(4)Where the administrator files a notice he shall within the prescribed period send a copy to every creditor of the company of whose claim and address he is aware.

(5)The rules may provide that the administrator is taken to have complied with sub-paragraph (4) if before the end of the prescribed period he publishes in the prescribed manner a notice undertaking to provide a copy of the notice under sub-paragraph (2) to any creditor of the company who applies in writing to a specified address.

(6)An administrator who fails without reasonable excuse to comply with sub-paragraph (4) commits an offence.

Court ending administration on application of creditor

81(1)On the application of a creditor of a company the court may provide for the appointment of an administrator of the company to cease to have effect at a specified time.

(2)An application under this paragraph must allege an improper motive—

(a)in the case of an administrator appointed by administration order, on the part of the applicant for the order, or

(b)in any other case, on the part of the person who appointed the administrator.

(3)On an application under this paragraph the court may—

(a)adjourn the hearing conditionally or unconditionally;

(b)dismiss the application;

(c)make an interim order;

(d)