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153 Extent

(1) Subject to subsections (2) to (4), this Act extends to England and Wales,
Scotland and Northern Ireland.

(2) Any amendment, repeal or revocation made by this Act has the same extent as
5the enactment amended, repealed or revoked, except the amendments made
by section 108, which extend as mentioned in subsection (1).

(3) Part

4

extends to England and Wales only.

(4) 10In Part

10

, sections 138 to 140 and Schedule 11 extend to England and Wales
and Scotland only.

154 Commencement

(1) 15The provisions of this Act come into force on such day as a Minister of the
Crown may by regulations appoint, subject to subsections (2) to (4).

(2) The following provisions of this Act come into force on the day this Act is
passed—

(a) in Part

201

, sections 4 to 7 (regulations about financial information on
small and medium sized businesses);

(b) in Part

3

25, section 37 (regulations about procurement);

(c) in Part 5, section 68 (funding for free of charge early years provision);

(d) in Part

11

, section 143 (employment tribunal procedure regulations:
30postponements);

(e) this Part.

(3) The following provisions of this Act come into force at the end of the period of
two months beginning with the day on which this Act is passed—

(a) in Part

351

(i) sections 1 and 2 (power to invalidate certain restrictive terms of
business contracts),

(ii) section 3 (companies: duty to publish report on payment
40practices),

(iii) sections 8 and 9 (VAT registration information),

(iv) sections 10 to 12 (exports), and

(v) section 14 (powers of the Payment Systems Regulator);

(b) in Part

452

(i) sections 15 and 16 (streamlined company registration),

(ii) sections 20 to 26 (business impact target), and

(iii) section 35 (CMA to publish recommendations on proposals for
50Westminster legislation);

(c) in Part

3

, section 38 (investigation of procurement functions);

(d) in Part

554

(i) section 40 (the Pubs Code),

(ii) sections 63 to 66 (interpretation of Part 4), and

(iii) section 67 (regulations under Part 4);

(e) 60in Part

5

, section 69 (exemption from requirement to register as early
years provider);

(f) Part

656

;

(g) in Part

7

Small Business, Enterprise and Employment BillPage 141

(i) section 77 (amendment of section 813 of the Companies Act
2006),

(ii) sections 78 to 80 and Schedule 4 (abolition of share warrants to
bearer), and

(iii) 5sections 83 to 85 (shadow directors);

(h) in Part

8

(i) section 89 (recording of optional information on register),

(ii) 10section 93 (address of company registered office);

(i) in Part

10

(i) sections 114 and 115 (removing requirements to seek sanction),

(ii) 15sections 121 to 124 (administration),

(iii) sections 125 and 126 (small debts),

(iv) sections 128 and 129 (voluntary arrangements), and

(v) section 130 (voluntary winding-up: progress reports).

(4) Section 34 as it applies in Wales comes into force on such day as the Welsh
20Ministers may by regulations appoint.

(5) Before making regulations under subsection (1) in relation to section 106 and
Schedule 8, the Secretary of State must consult the Department of Enterprise,
Trade and Investment in Northern Ireland.

155 Short title

25This Act may be cited as the Small Business, Enterprise and Employment Act
2015.

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SCHEDULES

Section 39

SCHEDULE 1 The Pubs Code Adjudicator

Part 1 5The Pubs Code Adjudicator

Status

1 The Adjudicator is a corporation sole.

2 The Adjudicator carries out functions on behalf of the Crown.

Appointment

3 10The Adjudicator is to be appointed by the Secretary of State.

Deputy Adjudicator

4 The Secretary of State may appoint a Deputy Adjudicator.

5 The Deputy Adjudicator may carry out any of the Adjudicator’s functions.

Term of office etc

6 15A person holds and vacates office as the Adjudicator or Deputy Adjudicator
in accordance with the terms of the appointment, but—

(a) the initial term of office may not be more than 4 years,

(b) a person may be appointed for no more than 2 further terms of office,

(c) a further term may not be more than 3 years,

(d) 20the person may resign by giving written notice to the Secretary of
State, and

(e) the Secretary of State may dismiss the person if satisfied that the
person is unable, unwilling or unfit to perform the person’s
functions.

7 25Service as the Adjudicator, or as the Deputy Adjudicator, is not service in the
civil service of the state.

Remuneration

8 (1) The Adjudicator may pay to or in respect of the person holding office as the
Adjudicator or Deputy Adjudicator—

(a) 30remuneration;

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(b) allowances;

(c) sums by way of or in respect of pensions.

(2) The Secretary of State must determine rates and eligibility criteria for the
payments.

5Staff

9 (1) The Adjudicator may make arrangements with the Secretary of State or any
other public authority for staff to be seconded to the Adjudicator.

(2) The arrangements may include provision for payments by the Adjudicator.

Conflicts of interest

10 (1) 10The Adjudicator must make procedural arrangements for dealing with any
conflict of interest affecting—

(a) the Adjudicator,

(b) the Deputy Adjudicator, or

(c) staff working for the Adjudicator.

(2) 15The Adjudicator must consult the Secretary of State before making or
revising the arrangements.

(3) The Adjudicator must publish a summary of the arrangements.

11 (1) This paragraph applies if both the Adjudicator and the Deputy Adjudicator
are unable to act in relation to a matter because of conflicts of interest.

(2) 20The Secretary of State must appoint a person to act as a Deputy Adjudicator
if asked to do so by the Adjudicator.

(3) An acting Deputy Adjudicator may carry out any of the Adjudicator’s
functions for the purpose of dealing with the matter in respect of which the
acting Deputy Adjudicator is appointed.

(4) 25A person holds and vacates office as an acting Deputy Adjudicator in
accordance with the terms of the person’s appointment (subject to sub-
paragraph (5)).

(5) Paragraphs 6(d) and (e), 7 and 8 apply to an acting Deputy Adjudicator as
they apply to the Deputy Adjudicator.

30Validity of acts

12 A defect in appointment does not affect the validity of things done by—

(a) the Adjudicator,

(b) the Deputy Adjudicator, or

(c) an acting Deputy Adjudicator.

35Application of seal and proof of documents

13 The application of the Adjudicator’s seal must be authenticated by the
signature of—

(a) the Adjudicator, or

(b) some other person who has been authorised by the Adjudicator for
40that purpose (whether generally or specially).

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14 A document purporting to be duly executed under the seal—

(a) is to be received in evidence, and

(b) is to be treated as duly executed unless the contrary is shown.

Accounts

15 (1) 5The Adjudicator must keep proper accounts and proper records in relation
to the accounts.

(2) For each financial year, the Adjudicator must prepare a statement of
accounts in respect of that financial year.

(3) The statement must be in whatever form the Secretary of State directs.

(4) 10The Adjudicator must send a copy of the statement, within a period
specified by the Secretary of State, to—

(a) the Secretary of State, and

(b) the Comptroller and Auditor General.

(5) After the Adjudicator has sent a copy of a statement of accounts to the
15Comptroller and Auditor General, the Comptroller and Auditor General
must—

(a) examine, certify and report on the statement, and

(b) send a copy of the certified statement and the report to the Secretary
of State as soon as possible.

(6) 20The Secretary of State must lay before Parliament a copy of the certified
statement and the report.

Incidental powers

16 The Adjudicator may do anything that is calculated to facilitate the carrying
out of the Adjudicator’s functions or is conducive or incidental to the
25carrying out of those functions.

Assistance from the Secretary of State

17 The Secretary of State may provide staff, premises, facilities or other
assistance to the Adjudicator (with or without charge).

Exemption from liability for damages

18 (1) 30The following are exempt from liability in damages for anything done or
omitted in the exercise or purported exercise of their functions—

(a) the Adjudicator;

(b) the Deputy Adjudicator;

(c) acting Deputy Adjudicators;

(d) 35staff working for the Adjudicator.

(2) Sub-paragraph (1) does not apply—

(a) if the act or omission is shown to have been in bad faith, or

(b) so as to prevent an award of damages made in respect of an act or
omission on the ground that the act or omission was unlawful as a
40result of section 6(1) of the Human Rights Act 1998.

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Part 2 Information powers of the Pubs Code Adjudicator

19 (1) The Adjudicator may, for the purposes of an investigation, require a
person—

(a) 5to provide documents in the person’s possession or control;

(b) to provide other information in the person’s possession or control.

(2) The Adjudicator may, for the purposes of monitoring whether a pub-
owning business has followed a recommendation made under section 51,
require the business—

(a) 10to provide documents in the possession or control of the business;

(b) to provide other information in the possession or control of the
business.

(3) Where the Pubs Code confers functions on the Adjudicator in relation to the
provision of parallel rent assessments by pub-owning businesses, the
15Adjudicator may, for the purposes of exercising those functions, require a
person—

(a) to provide documents in the person’s possession or control;

(b) to provide other information in the person’s possession or control.

(4) A requirement imposed under this paragraph may include a requirement
20for information to be provided orally.

(5) A requirement is imposed by giving written notice specifying—

(a) to whom the information is to be provided,

(b) where it is to be provided,

(c) when, or the time by which, it is to be provided, and

(d) 25the form and manner in which it is to be provided.

(6) A notice must also explain the possible consequences of failing to comply.

(7) If a notice requires an individual to attend at a particular place, the
Adjudicator must offer to pay necessary travelling expenses.

(8) A person may not be required under this paragraph to do anything that the
30person could not be compelled to do in civil proceedings before the High
Court.

20 (1) It is an offence for a person intentionally to fail to comply with a requirement
under this Part of this Schedule.

(2) It is a defence for a person charged with that offence to prove that there was
35a reasonable excuse for the person’s failure.

21 It is an offence for a person knowingly to provide false information in
response to a requirement under this Part of this Schedule.

22 A person guilty of an offence under this Part of this Schedule is liable—

(a) on summary conviction, to a fine;

(b) 40on conviction on indictment, to a fine.

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Part 3 Amendments of legislation

23 In Schedule 2 to the Parliamentary Commissioner Act 1967 (departments etc
subject to investigation) at the appropriate place insert—

24 In Part 3 of Schedule 1 to the House of Commons Disqualification Act 1975
(other disqualifying offices) at the appropriate place insert—

25 In Part 6 of Schedule 1 to the Freedom of Information Act 2000 (public
10authorities) at the appropriate place insert—

26 In each of Schedules 14 and 15 to the Enterprise Act 2002 (provisions about
disclosure of information) at the appropriate place insert—

Section 71

SCHEDULE 2 Registration of childcare: premises

Childcare Act 2006

1 The Childcare Act 2006 is amended in accordance with paragraphs 2 to 19.

2 20In section 34 (requirement to register: other early years providers)—

(a) in subsection (1), omit “in respect of the premises”;

(b) in subsection (1A)(a) and (b), omit “in respect of the premises”.

3 In section 36 (applications for registration: other early years providers)—

(a) in subsection (1), omit “on any premises” and “in respect of the
25premises”;

(b) in subsection (1A), omit “on any premises”;

(c) in subsection (1A)(a) and (b), omit “in respect of the premises”.

4 In section 37 (entry on the register and certificates), in subsection (2)(a) omit
“, in respect of the premises in question”.

5 30In section 37A (early years childminder agencies: registers and certificates),
in subsection (2)(a) omit “, in respect of the premises in question”.

6 In section 53 (requirement to register: other later years providers)—

(a) in subsection (1), omit “in respect of the premises”;

(b) in subsection (1A), in paragraphs (a) and (b) omit “in respect of the
35premises”.

7 In section 55 (applications for registration: other later years providers)—

(a) in subsection (1), omit “on any premises” and “in respect of the
premises”;

(b) in subsection (1A), omit “on any premises”;

Small Business, Enterprise and Employment BillPage 147

(c) in subsection (1A)(a) and (b), omit “in respect of the premises”.

8 In section 56 (entry on the register and certificates), in subsection (2)(a) omit
“, in respect of the premises in question”.

9 In section 56A (later years childminder agencies: registers and certificates),
5in subsection (2)(a) omit “, in respect of the premises in question”.

10 In section 57 (special procedure for providers registered in the early years
register), in subsection (2) omit “in respect of particular premises”, “on the
same premises” and “, in respect of the premises”.

11 In section 57A (special procedure for providers registered with early years
10childminder agencies)—

(a) in subsection (3), omit “in respect of particular premises”;

(b) in subsection (4), omit “on the same premises” and “, in respect of the
premises”.

12 In section 63 (applications for registration on the general register: other
15childcare providers), in subsection (1), omit “in respect of the premises”.

13 In section 64 (entry on the register and certificates), in subsection (2), omit “,
in respect of the premises in question”.

14 In section 65 (special procedure for persons already registered in a childcare
register), in subsection (2) omit “in respect of particular premises”, “in
20respect of the same premises” and “, in respect of the premises”.

15 In section 65A (procedure for persons already registered with a childminder
agency)—

(a) in subsection (3), omit “in respect of particular premises” and “the
provision on the same premises of”;

(b) 25in subsection (4), omit “, in respect of the premises”.

16 In section 69 (suspension of registration in a childcare register: early years
and later years providers)—

(a) after subsection (1) insert—

(1A) Regulations under subsection (1) may in particular provide
30that registration may be suspended generally or only in
relation to particular premises.;

(b) in subsection (3), for the words after “childminder” substitute

(a) may not provide early years childminding at any time
when his registration under that Chapter is
35suspended generally in accordance with regulations
under this section;

(b) may not provide early years childminding on
particular premises at any time when his registration
under that Chapter is suspended in relation to those
40premises in accordance with regulations under this
section.;

(c) in subsection (4), for the words after “childminder” substitute

(a) may not provide later years childminding at any time
when his registration under that Chapter is
45suspended generally in accordance with regulations
under this section;

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(b) may not provide later years childminding on
particular premises at any time when his registration
under that Chapter is suspended in relation to those
premises in accordance with regulations under this
5section.;

(d) in subsection (6), for the words after “childminder” substitute

(a) may not provide early years provision at any time
when his registration under that Chapter is
suspended generally in accordance with regulations
10under this section;

(b) may not provide early years provision on particular
premises at any time when his registration under that
Chapter is suspended in relation to those premises in
accordance with regulations under this section.;

(e) 15in subsection (7), for the words after “childminder” substitute

(a) may not provide later years provision, for a child who
has not attained the age of 8, at any time when his
registration under that Chapter is suspended
generally in accordance with regulations under this
20section;

(b) may not provide later years provision, for a child who
has not attained the age of 8, on particular premises at
any time when his registration under that Chapter is
suspended in relation to those premises in accordance
25with regulations under this section.

17 After section 85 (offence of making false or misleading statement) insert—

85A Offence of providing provision other than on approved premises

The Secretary of State may by regulations provide—

(a) that a person who without reasonable excuse fails to comply
30with a prescribed requirement falling within section 35(5)(b),
36(5)(b), 54(5)(b) or 55(5)(b) (premises) is guilty of an offence,
and

(b) that a person guilty of the offence is liable on summary
conviction to a fine.

18 35Omit section 94 (power to amend Part 3: applications in respect of multiple
premises).

19 Omit section 105(3)(c) (procedure for an order under section 94) and the “or”
immediately preceding it.

Water Industry Act 1991

20 40In paragraph 12(1) of Schedule 4A to the Water Industry Act 1991 (premises
that are not to be disconnected) omit “in respect of the premises”.

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Section 75

SCHEDULE 3 Register of people with significant control

Part 1 Duty to obtain information and keep register

1 5After Part 21 of the Companies Act 2006 insert—

Part 21A Information about people with significant control

CHAPTER 1 Introduction
790A Overview

10This Part is arranged as follows—

(a) the remaining provisions of this Chapter identify the
companies to which this Part applies and explain some key
terms, including what it means to have “significant control”
over a company,

(b) 15Chapter 2 imposes duties on companies to gather
information, and on others to supply information, to enable
companies to keep the register required by Chapter 3,

(c) Chapter 3 requires companies to keep a register, referred to
as a register of people with significant control over the
20company, and to make the register available to the public,

(d) Chapter 4 gives private companies the option of using an
alternative method of record-keeping, and

(e) Chapter 5 makes provision for excluding certain material
from the information available to the public.

790B 25Companies to which this Part applies

(1) This Part applies to companies other than—

(a) DTR5 issuers, and

(b) companies of any description specified by the Secretary of
State by regulations.

(2) 30In deciding whether to specify a description of company, the
Secretary of State is to have regard to the extent to which companies
of that description are bound by disclosure and transparency rules
(in the United Kingdom or elsewhere) broadly similar to the ones
applying to DTR5 issuers.

(3) 35A “DTR5 issuer” is an issuer to which Chapter 5 of the Disclosure
Rules and Transparency Rules sourcebook made by the Financial
Conduct Authority (as amended or replaced from time to time)
applies.

(4) Regulations under this section are subject to negative resolution
40procedure.

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Contents page 40-49 50-59 60-69 70-79 80-89 90-99 100-109 110-119 120-129 130-138 140-149 150-159 160-169 170-179 180-189 190-199 200-209 210-219 220-229 230-239 240-249 Last page