The Insolvency (Miscellaneous Amendments) Regulations 2017

• (1) This Schedule does not apply in relation to any case in which a winding-up or a bankruptcy order was made in relation to a partnership or an insolvent member of a partnership before this Schedule came into force, and where this Schedule does not apply the law in force immediately before this Schedule came into force continues to have effect.

• (2) Where winding-up or bankruptcy proceedings, commenced under the provisions of the law in force immediately before this Schedule came into force, were pending in relation to a partnership or an insolvent member of a partnership immediately before this Schedule came into force, either—

• (a) those proceedings shall be continued, after the coming into force of this Schedule, in accordance with the provisions of this Schedule; or

• (b) if the court so directs, they shall be continued under the provisions of the law in force immediately before this Schedule came into force.

• (3) For the purpose of sub-paragraph (2) above, winding-up or bankruptcy proceedings are pending if a statutory or written demand has been served or a winding-up or bankruptcy petition has been presented.

SCHEDULE 3 — ADMINISTRATION OF INSOLVENT ESTATES OF DECEASED PERSONS, ENGLAND AND WALES

The Administration of Insolvent Estates of Deceased Persons Order 1986

1

• (1) The Administration of Insolvent Estates of Deceased Persons Order 1986[^f00048] is amended as follows.

• (2) In article 2, in the definition of “the Rules”, for “The Insolvency Rules 1986” substitute “The Insolvency (England and Wales) Rules 2016”.

• (3)

• (a) Schedule 1 is amended as follows.

• (b) In paragraph 1[^f00049] of Part 2, after sub-paragraph (b) insert

(ba) after subsection (1)(a) there shall be added— (aa) by the personal representative of the deceased debtor

• (c) After paragraph 1 of Part 2, insert—

(1A) Section 265 with the modification that after subsection (4) there shall be inserted— (5) A petition by the personal representative of a deceased debtor for an insolvency administration order in Form 6 set out in Schedule 3 to the Administration of Insolvent Estates of Deceased Persons Order 1986 may be presented to the court only on the grounds that the estate of a deceased debtor is insolvent. (6) A petition under subsection (5) must be accompanied by a statement of the deceased debtor’s affairs containing— (a) such particulars of the debtor’s creditors and of his debts and other liabilities and of his assets as may be prescribed; and (b) such other information as is required by Form 7 set out in Schedule 3 to the Administration of Insolvent Estates of Deceased Persons Order 1986.

• (d) In paragraph 5 of Part 2, in the substitute version of section 271, after subsection (5) insert—

(6) The court must make an insolvency administration order in Form 4 set out in Schedule 3 to the Administration of Insolvent Estates of Deceased Persons Order 1986 on the hearing of a petition presented under section 265(5) if it is satisfied that the deceased debtor’s estate is insolvent.

• (e) Omit paragraph 6[^f00050] of Part 2.

• (f) Omit paragraph 7 of Part 2.

The Deregulation Act 2015 and Small Business, Enterprise and Employment Act 2015 (Consequential Amendments) (Savings) Regulations 2017

2

• (1) The Deregulation Act 2015 and Small Business, Enterprise and Employment Act 2015 (Consequential Amendments) (Savings) Regulations 2017[^f00051] is amended as follows.

• (2) Omit paragraph 1(2) of Schedule 2.

Transitional and savings provisions

3

• (1) This Schedule does not apply in relation to any case in which a bankruptcy order was made in relation to an insolvent estate before this Schedule came into force, and where this Schedule does not apply the law in force immediately before this Schedule came into force continues to have effect.

• (2) Where bankruptcy proceedings, commenced under the provisions of the law in force immediately before this Schedule came into force, were pending in relation to an insolvent estate immediately before this Schedule came into force, either—

• (a) those proceedings shall be continued, after the coming into force of this Schedule, in accordance with the provisions of this Schedule; or

• (b) if the court so directs, they shall be continued under the provisions of the law in force immediately before this Schedule came into force.

• (3) For the purpose of sub-paragraph (2) above, winding-up or bankruptcy proceedings are pending if a statutory demand has been served or a bankruptcy petition has been presented.

SCHEDULE 4 — NOTICE OF APPOINTMENT OF A LIQUIDATOR OF A COMPANY, ENGLAND AND WALES

1

• (1) The Companies (Forms) (Amendment) Regulations 1987[^f00052] are amended as follows.

• (2) These amendments have effect in relation to a liquidator appointed after the date on which this Schedule comes into force.

• (3) For regulation 5(3) substitute—

(3) (a) The notice to the registrar of companies under section 109 of the Insolvency Act 1986[^f00053] must contain— (i) details of the company; (ii) details of the proceedings; (iii) a statement by the liquidator that he has been appointed liquidator of the company, indicating whether the appointment was by the company or the creditors, and the type of liquidation, whether members’ or creditors’; (iv) the date of appointment; (v) the name, IP number, and contact details of the liquidator; and (b) The notice must be authenticated by the liquidator, or if there is more than one liquidator, by at least one liquidator.

• (4) After regulation 5(3), insert—

(3A) The form 600a set out in Part III of Schedule 2 to these Regulations, with such variations as circumstances require, is the form prescribed for the purposes of publication in the Gazette under section 109 of the Insolvency Act 1986.

• (5) In Part 3 of Schedule 2, omit Form 600.

SCHEDULE 5 — AMENDMENTS ARISING FROM REGULATION (EU) 2015/848 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL OF 20 MAY 2015

The Cross-Border Insolvency Regulations 2006

1

• (1) The Cross-Border Insolvency Regulations 2006[^f00054] are amended as follows.

• (2) In Schedule 1, in the title and words of article 3, for “EC Insolvency Regulation” substitute “EU Insolvency Regulation” wherever it occurs.

• (3) Schedule 2 is amended as follows.

• (a) In paragraph 1(1), in the definition of “secondary proceedings”—

• (i) for “Articles 3(2) and 3(3) of the EC Insolvency Regulation” substitute “Articles 3(2) and 3(3) of the EU Insolvency Regulation”.

• (ii) for “winding up proceedings in Article 2(c) of the EC Insolvency Regulation” substitute “insolvency proceedings in Article 2(4) of the EU Insolvency Regulation”.

• (b) In paragraph 1(1), in the definition of “territorial proceedings”—

• (i) for “Articles 3(2) and 3(4) of the EC Insolvency Regulation” substitute “Articles 3(2) and 3(4) of the EU Insolvency Regulation”.

• (ii) for “Article 2(a) of the EC Insolvency Regulation” substitute “Article 2(4) of the EU Insolvency Regulation”.

• (c) In paragraph 4(2), for “EC Insolvency Regulation” substitute “EU Insolvency Regulation”.

• (d) In paragraph 6(2)(b), for “EC Insolvency Regulation” substitute “EU Insolvency Regulation”.

The Regulated Covered Bonds Regulations 2008

2

• (1) The Regulated Covered Bonds Regulations 2008[^f00055] are amended as follows.

• (2) In regulation 1(2) (Citation, commencement and interpretation) in the definition of “centre of main interests” for “Regulation (EU) 2015/848 of the European Parliament and of the Council of 29 May 2000 on insolvency proceedings” substitute “Regulation (EU) 2015/848 of the European Parliament and of the Council of 20 May 2015 on insolvency proceedings[^f00056].”

Signed

Signed, by the authority of the Lord Chancellor

David Lidington — Secretary of State — Ministry of Justice — 13th November 2017

I concur, by the authority of the Lord Chief Justice

Geoffrey Vos — Chancellor of the High Court — 14th November 2017

I concur

Margot James — Minister for Small Business, Consumer and Corporate Responsibility — Department for Business, Energy and Industrial Strategy — 15th November 2017

Explanatory note

(This note is not part of the Regulations)

EXPLANATORY NOTE

These Regulations modify the insolvency regimes under the Limited Liability Partnerships Regulations 2001, the Insolvent Partnerships Order 1994, and the Administration of Insolvent Estates of Deceased Persons Order 1986, in order to bring them into line with the insolvency procedures that apply to other entities.

These Regulations make amendments to legislation that refers to the Insolvency Act 1986 and the Company Directors Disqualification Act 1986, consequential on the amendments made to those Acts by the Enterprise and Regulatory Reform Act 2013 (“the 2013 Act”), the Small Business, Enterprise and Employment Act 2015, and the Deregulation Act 2015 (together “the 2015 Acts”).

These Regulations also amend a statutory form under the Insolvency Act 1986 to facilitate electronic filing.

Schedule 1 makes consequential amendments to the regulations for the Limited Liability Partnerships Regulations 2001. This Schedule also makes consequential amendments to the 2001 Regulations, as they apply to Scotland, the Limited Liability Partnership (Scotland) Regulations 2001, and the Limited Liability Partnerships Regulations (Northern Ireland) 2004.

Schedules 2 and 3 respectively amend the Insolvent Partnerships Order 1994 and the Administration of Insolvent Estates of Deceased Persons Order 1986, following amendments made by the 2013 and 2015 Acts to legislation referred to by those Orders.

Schedule 4 amends the prescribed form filed with Companies House under the Insolvency Act 1986 when a liquidator is appointed in voluntary winding up. This enables Companies House to facilitate electronic filing of the form.

Schedule 5 amends references in insolvency legislation to reflect Regulation (EU) 2015/848 of the European Parliament and of the Council of 20 May 2015.

A full impact assessment has not been produced for this instrument as no, or no significant, impact on the private, voluntary or public sectors is foreseen. An Explanatory Memorandum has been prepared and is available alongside these Regulations at www.legislation.gov.uk.

Footnotes

[^f00001]: 1972 c. 68. The Secretary of State was designated by S.I. 2001/3495. Section 57(1) of the Scotland Act 1998 (c. 46) provides that despite the transfer to the Scottish Ministers of functions in relation to observing and implementing obligations under EU law, any function of a Minister of the Crown shall continue to be exercisable by the Minister as regards Scotland for the purposes specified in section 2(2) of the European Communities Act 1972.

[^f00002]: 1986 c. 45.

[^f00003]: 2000 c. 12; section 14 was modified by paragraph 6(2) of Part 1 of Schedule 3 to S.I. 2009/1804. Section 17(1) defines “regulations” as regulations made by the Secretary of State by statutory instrument.

[^f00004]: 2013 c. 24.

[^f00005]: 2015 c. 26.

[^f00006]: 2013 c. 24.

[^f00007]: 2015 c. 20.

[^f00008]: S.I. 2001/1090; relevant amending instruments are S.I. 2004/355, 2005/1989, 2005/2114, 2008/1911, 2009/1804, 2015/1641, and 2016/481.

[^f00009]: S.I. 2016/1024, amended by S.I. 2017/369.

[^f00010]: S.I. 2017/369.

[^f00011]: S.I. 2017/540.

[^f00012]: As amended by paragraph 3(a)(ii) of Schedule 2 to S.I. 2005/1989.

[^f00013]: Section 4 was amended by paragraph 4(2) of Part 1 of Schedule 9 to the Small Business, Enterprise and Employment Act 2015 (c. 26).

[^f00014]: As amended by paragraph 3(b) of Schedule 2 to S.I. 2005/1989. Section 4A was inserted by section 2of, and paragraph 5 of Schedule 2to, the Insolvency Act 2000, and amended by paragraph 5(2)(a) of Part 1 of Schedule 9 to the Small Business, Enterprise and Employment Act 2015.

[^f00015]: The item relating to section 5 was amended by paragraph 3(c) of Schedule 2 to S.I. 2005/1989.

[^f00016]: As amended by paragraph 3(d) of Schedule 2 to S.I. 2005/1989.

[^f00017]: Subsection (7) was renumbered and amended by paragraph 7(13) of Part 1 of Schedule 9 of the Small Business, Enterprise and Employment Act 2015.

[^f00018]: As amended by paragraph 3(f) of Schedule 2 to S.I. 2005/1989.

[^f00019]: As substituted by paragraph 29 of Part 1 of Schedule 9 to the Small Business, Enterprise and Employment Act 2015.

[^f00020]: Schedule A1 was inserted by section 1 of, and paragraph 4 of Schedule 1 to, the Insolvency Act 2000 (c. 39). The relevant items were inserted by paragraph 14 of Schedule 2 to S.I. 2005/1989.

[^f00021]: Schedule B1 was inserted by section 248 of, and Schedule 16 to, the Enterprise Act 2002 (c. 40). The relevant item was inserted by paragraph 14 of Schedule 2 to S.I. 2005/1989.

[^f00022]: By S.I. 2001/1090.

[^f00023]: S.I. 1986/1925 amended by S.I. 1987/1919, 1989/397, 1991/495, 1993/602, 1995/586, 1999/359, 1999/1022, 2001/763, 2002/1307, 2002/2712, 2003/1730, 2004/584, 2004/1070, 2005/527, 2006/1272, 2007/1974, 2008/737, 2009/642, 2009/2472, 2010/686, 2010/734, 2011/785, 2012/469, 2013/2135, 2014/817, 2015/443, 2016/187, 2016/90; there are other amending instruments but none is relevant.

[^f00024]: By S.I. 2001/1090.

[^f00025]: By S.I. 2001/1090.

[^f00026]: S.I. 2017/702

[^f00027]: OJEU L.141 of 5 June 2015 p.19.

[^f00028]: Schedule B1 was inserted by paragraph 1 of Schedule 16 to the Enterprise Act 2002 (c. 40).

[^f00029]: As preserved by article 12(2) of S.I. 2010/18.

[^f00030]: S.I. 2010/686.

[^f00031]: As amended by paragraph 56 of Part 4 of Schedule 1 to S.I. 2017/702.

[^f00032]: As amended by paragraph 57 of Part 4 of Schedule 1 to S.I. 2017/702.

[^f00033]: S.S.I. 2001/128.

[^f00034]: S.R. 2004/307, amended by S.R. 2002/3152; there are other amending instruments but none is relevant.

[^f00035]: S.I. 1994/2421; relevant amending instruments are S.I. 2001/767, 2001/3649, 2002/1308, 2002/2708, 2005/1516, 2006/622, and 2017/540.

[^f00036]: As amended by article 2(2) of S.I. 2001/767.

[^f00037]: As amended by article 9(4)(b) of S.I. 2002/2708.

[^f00038]: As amended by article 10(2) of S.I. 2005/1516.

[^f00039]: As amended by paragraph 9(9) of Schedule 2 to S.I. 2017/540.

[^f00040]: 1986 c. 46.

[^f00041]: As amended by article 3(2) and (3) of S.I. 2001/767, and article 11(2) and (3) of S.I. 2005/1516. Section 7(3) was repealed by section 107(3) of Part 9 of the Small Business, Enterprise and Employment Act 2015.

[^f00042]: Section 7A(8) and (11) do not apply to partnerships.

[^f00043]: As amended by article 3(4) of S.I. 2001/767, and article 470 of Part 9 of S.I. 2001/3649.

[^f00044]: As amended by article 3(5) of S.I. 2001/767.

[^f00045]: Section 12C(2) and (5) do not apply to partnerships.

[^f00046]: As amended by article 3(6) of S.I. 2001/767. Section 17(2), (6) and (7) do not apply to partnerships.

[^f00047]: As amended by paragraph 11(2), (3), and (4) of Schedule 2 to S.I. 2017/540.

[^f00048]: S.I. 1986/1999; relevant amending instruments are S.I. 2016/481 and 2017/540.

[^f00049]: As amended by S.I 2016/481 and 2017/540.

[^f00050]: As amended by paragraph 2(7)(b) of Part 1 of Schedule 2 to S.I. 2016/481.

[^f00051]: S.I. 2017/540.

[^f00052]: S.I. 1987/752, to which there are amendments not relevant to these Regulations.

[^f00053]: Part 1 of the Insolvency Rules 2016 (S.I. 2016/1024) applies to this notice and should be consulted in relation to the definition of “details” (rule 1.6), “IP number” (rule 1.2), and “authenticated” (rule 1.5).

[^f00054]: S.I. 2006/1030, amended by S.I. 2017/702; there are other amending instruments but none is relevant.

[^f00055]: S.I. 2008/346, amended by S.I. 2017/702; there are other amending instruments but none is relevant.

[^f00056]: OJEU L.141 of 5 June 2015 p.19.