Small Business, Enterprise and Employment Bill (HL Bill 91)

(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).

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.

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 56,
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) The Adjudicator may, for the purposes of exercising functions in relation to
the offer of a market rent option or the provision of parallel rent assessments,
15require 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
for information to be provided orally.

(5) 20A 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) the form and manner in which it is to be provided.

(6) 25A 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
person could not be compelled to do in civil proceedings before the High
30Court.

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
a reasonable excuse for the person’s failure.

21 35It 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) on conviction on indictment, to a fine.

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—

• 5“Pubs Code Adjudicator.”

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

• “Pubs Code Adjudicator or Deputy Pubs Code Adjudicator.”

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

• “Pubs Code Adjudicator.”

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

• “Part 4 of the Small Business, Enterprise and Employment Act
  152015.”

Section 77

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”;

(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;

(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

(1) 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.

(2) 35Until section 85(2) of the Legal Aid, Sentencing and Punishment of
Offenders Act 2012 comes into force, in subsection (1)(b), “a fine” is
to be read as “a fine not exceeding level 5 on the standard scale”.”

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

19 40Omit section 105(3)(c) (procedure for an order under section 94) and the “or”
immediately preceding it.

Water Industry Act 1991

20 In 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”.

Section 81

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 affirmative resolution
40procedure.

790C Key terms

(1) This section explains some key terms used in this Part.

(2) References to a person with (or having) “significant control” over a
company are to an individual who meets one or more of the specified
5conditions in relation to the company.

(3) The “specified conditions” are those specified in Part 1 of Schedule
1A.

(4) Individuals with significant control over a company are either
“registrable” or “non-registrable” in relation to the company—

(a) 10they are “non-registrable” if they do not hold any interest in
the company except through one or more other legal entities
over each of which they have significant control and each of
which is a “relevant legal entity” in relation to the company;

(b) otherwise, they are “registrable”,

15and references to a “registrable person” in relation to a company are
to an individual with significant control over the company who is
registrable in relation to that company.

(5) A “legal entity” is a body corporate or a firm that is a legal person
under the law by which it is governed.

(6) 20In relation to a company, a legal entity is a “relevant legal entity” if—

(a) it would have come within the definition of a person with
significant control over the company if it had been an
individual, and

(b) it is subject to its own disclosure requirements.

(7) 25A legal entity is “subject to its own disclosure requirements” if—

(a) this Part applies to it (whether by virtue of section 790B or
another enactment that extends the application of this Part),

(b) it is a DTR5 issuer,

(c) it is of a description specified in regulations under section
30790B (or that section as extended), or

(d) it is of a description specified by the Secretary of State by
regulations made under this paragraph.

(8) A relevant legal entity is either “registrable” or “non-registrable” in
relation to a company—

(a) 35it is “non-registrable” if it does not hold any interest in the
company except through one or more other legal entities over
each of which it has significant control and each of which is
also a relevant legal entity in relation to the company;

(b) otherwise, it is “registrable”,

40and references to a “registrable relevant legal entity” in relation to a
company are to a relevant legal entity which is registrable in relation
to that company.

(9) For the purposes of subsections (4) and (8)—

(a) whether someone—

(i) 45holds an interest in a company, or

(ii) holds that interest through another legal entity,

is to be determined in accordance with Part 2 of Schedule 1A;

(b) whether someone has significant control over that other legal
entity, is to be determined in accordance with subsections (2)
and (3) and Part 1 of Schedule 1A, reading references in those
5provisions to the company as references to that other entity.”

(10) The register that a company is required to keep under section 790M
(register of people with significant control over a company) is
referred to as the company’s “PSC register”.

(11) In deciding whether to specify a description of legal entity under
10paragraph (d) of subsection (7), the Secretary of State is to have
regard to the extent to which entities of that description are bound by
disclosure and transparency rules (in the United Kingdom or
elsewhere) broadly similar to the ones applying to an entity falling
within any other paragraph of that subsection.

(12) 15Subject to express provision in this Part and to any modification
prescribed by regulations under this subsection, this Part is to be
read and have effect as if each of the following were an individual,
even if they are legal persons under the laws by which they are
governed—

(a) 20a corporation sole,

(b) a government or government department of a country or
territory or a part of a country or territory,

(c) an international organisation whose members include two or
more countries or territories (or their governments),

(d) 25a local authority or local government body in the United
Kingdom or elsewhere.

(13) Regulations under subsection (7)(d) are subject to affirmative
resolution procedure.

(14) Subject to subsection (13), regulations under this section are subject
30to negative resolution procedure.

CHAPTER 2 Information-gathering

Duty on companies

790D Company’s duty to investigate and obtain information

(1) A company to which this Part applies must take reasonable steps—

(a) 35to find out if there is anyone who is a registrable person or a
registrable relevant legal entity in relation to the company,
and

(b) if so, to identify them.

(2) Without limiting subsection (1), a company to which this Part applies
40must give notice to anyone whom it knows or has reasonable cause
to believe to be a registrable person or a registrable relevant legal
entity in relation to it.

(3) The notice, if addressed to an individual, must require the
addressee—

(a) to state whether or not he or she is a registrable person in
relation to the company (within the meaning of this Part), and

(b) 5if so, to confirm or correct any particulars of his or hers that
are included in the notice, and supply any that are missing.

(4) The notice, if addressed to a legal entity, must require the
addressee—

(a) to state whether or not it is a registrable relevant legal entity
10in relation to the company (within the meaning of this Part),
and

(b) if so, to confirm or correct any of its particulars that are
included in the notice, and supply any that are missing.

(5) A company to which this Part applies may also give notice to a
15person under this section if it knows or has reasonable cause to
believe that the person—

(a) knows the identity of someone who falls within subsection
(6), or

(b) knows the identity of someone likely to have that knowledge.

(6) 20The persons who fall within this subsection are—

(a) any registrable person in relation to the company;

(b) any relevant legal entity in relation to the company;

(c) any entity which would be a relevant legal entity in relation
to the company but for the fact that section 790C(6)(b) does
25not apply in respect of it.

(7) A notice under subsection (5) may require the addressee—

(a) to state whether or not the addressee knows the identity of—

(i) any person who falls within subsection (6), or

(ii) any person likely to have that knowledge, and

(b) 30if so, to supply any particulars of theirs that are within the
addressee’s knowledge, and state whether or not the
particulars are being supplied with the knowledge of each of
the persons concerned.

(8) A notice under this section must state that the addressee is to comply
35with the notice by no later than the end of the period of one month
beginning with the date of the notice.

(9) The Secretary of State may by regulations make further provision
about the giving of notices under this section, including the form and
content of any such notices and the manner in which they must be
40given.

(10) Regulations under subsection (9) are subject to negative resolution
procedure.

(11) A company is not required to take steps or give notice under this
section with respect to a registrable person or registrable relevant
45legal entity if—

(a) the company has already been informed of the person’s
status as a registrable person or registrable relevant legal