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| | | Agreed to on division 235 |
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| | Page 207, line 16 [Clause 442], leave out paragraph (b). |
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| | | Agreed to on division 236 |
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| | Page 208, line 5 [Clause 443], leave out paragraph (d). |
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| | | Agreed to on division 237 |
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| | Page 208, line 11 [Clause 443], leave out paragraph (b). |
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| | | |
| | Page 211, line 10 [Clause 450], leave out ‘six months’ and insert ‘90 days’. |
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| | | Agreed to on division 238 |
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| | Page 212 [Clause 452], leave out lines 21 to 23. |
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| | | Agreed to on division 239 |
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| | Page 218, line 34 [Clause 462], leave out ‘or independent examiner’. |
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| | |
| | | Agreed to on division 824 |
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| | Page 224, line 21 [Clause 469], leave out ‘the insider dealing legislation’ and insert |
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| | ‘Part 5 of the Criminal Justice Act 1993 (c. 36) (insider dealing)’. |
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| | | Agreed to on division 224 |
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| | Page 227, line 38 [Clause 474], leave out ‘388’ and insert ‘473’. |
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| | | Agreed to on division 713 |
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| | Page 228, line 9 [Clause 474], leave out ‘the relevant requirements’ and insert ‘any |
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| | |
| | | Agreed to on division 534 |
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| | Page 228, line 32 [Clause 475], leave out ‘or’. |
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| | | Agreed to on division 535 |
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| | Page 228, line 33 [Clause 475], leave out paragraph (c) and insert— |
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| | | ‘(c) | a person (other than a small company) who has permission under Part 4 |
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| | | of the Financial Services and Markets Act 2000 (c. 8) to carry on a |
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| | | |
| | | (d) | a small company that is an authorised insurance company, a banking |
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| | | company, an e-money issuer, an ISD investment firm or a UCITS |
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| | | |
| | | (e) | a person who carries on insurance market activity.’. |
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| | | Agreed to on division 536 |
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| | Page 228, line 36 [Clause 475], at end insert— |
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| | | ‘(3) | A company is a small company for the purposes of subsection (2) if it qualified |
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| | | as small in relation to its last financial year ending on or before the end of the |
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| | | financial year in question.’. |
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| | |
| | | Agreed to on division 240 |
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| | Page 230, line 38 [Clause 479], leave out subsection (4). |
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| | | Agreed to on division 537 |
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| | Page 231, line 35 [Clause 482], at end insert— |
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| | | ‘“e-money issuer” means a person who has permission under Part 4 of the |
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| | | Financial Services and Markets Act 2000 (c. 8) to carry on the activity of |
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| | | issuing electronic money within the meaning of article 9B of the |
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| | | Financial Services and Markets Act 2000 (Regulated Activities) Order |
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| | | Agreed to on division 825 |
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| | Page 232 [Clause 482], leave out lines 1 and 2. |
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| | |
| | | Agreed to on division 538 |
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| | Page 232, line 6 [Clause 482], at end insert— |
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| | | ‘“ISD investment firm” has the meaning given by the Glossary forming part |
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| | | of the Handbook made by the Financial Services Authority under the |
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| | | Financial Services and Markets Act 2000 (c. 8);’. |
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| | |
| | | Agreed to on division 316 |
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| | Page 232 [Clause 482], leave out lines 7 and 8. |
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| | |
| | | Agreed to on division 539 |
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| | Page 232, line 17 [Clause 482], at end insert— |
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| | | ‘(aa) | article 25B (arranging regulated home reversion plans), |
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| | | (ab) | article 25C (arranging regulated home purchase plans),’. |
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| | | Agreed to on division 540 |
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| | Page 232, line 20 [Clause 482], leave out ‘or’. |
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| | |
| | | Agreed to on division 541 |
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| | Page 232, line 20 [Clause 482], at end insert— |
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| | | ‘(ca) | article 53B (advising on regulated home reversion plans), |
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| | | (cb) | article 53C (advising on regulated home purchase plans),’. |
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| | |
| | | Agreed to on division 542 |
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| | Page 232, line 25 [Clause 482], at end insert ‘, or |
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| | | (e) | article 64 (agreeing to carry on a regulated activity of the kind mentioned |
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| | | in paragraphs (a) to (d));’. |
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| | |
| | | Agreed to on division 543 |
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| | Page 232, line 31 [Clause 482], at end insert— |
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| | | ‘“UCITS management company” has the meaning given by the Glossary |
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| | | forming part of the Handbook made by the Financial Services Authority |
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| | | under the Financial Services and Markets Act 2000 (c. 8).’. |
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| | NEW CLAUSES RELATING TO PART 8 |
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| | | Names and addresses of members of companies: company application |
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| | | Negatived on division nc16 |
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| | To move the following Clause:— |
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| | | ‘(1) | Subject to the provisions of this section, a company may make an application |
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| | | under this section to the Secretary of State where the condition in subsection (2) |
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| | | |
| | | (2) | The condition referred to in subsection (1) above is that the company considers |
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| | | that the availability for inspection by members of the public of particulars of the |
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| | | names and usual residential or business addresses of the members of the company |
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| | | creates, or (if an order is not made under this section) is likely to create, a serious |
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| | | risk that a member of the company or a person who lives with or is an employee |
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| | | of a member of the company will be subjected to violence or intimidation (“a |
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| | | |
| | | (3) | Where, on an application made by a company under this section, the Secretary of |
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| | | State is satisfied that the availability for inspection by members of the public of |
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| | | the particulars of that company’s members’ usual residential addresses creates or |
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| | | (if an order is not made under this section) is likely to create a serious risk that a |
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| | | member, or a person who lives with him, or an employee of his will be subjected |
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| | | to violence, intimidation or criminal activity, he shall make an order under this |
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| | | section (“a company member’s confidentiality order”) in relation to the company. |
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| | | (4) | Where the Secretary of State is not satisfied under subsection (3) he shall dismiss |
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| | | |
| | | (5) | At any time when a company member’s confidentiality order is in force in |
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| | | relation to a company, the name and address of any individual in the register of |
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| | | members of the company that is the subject of the confidentiality order, shall not |
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| | | be disclosed to any person who may request either company or Companies House |
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| | | disclosure of such names and addresses save in prescribed circumstances. |
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| | | (6) | The Secretary of State shall give the applicant notice of his decision under |
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| | | subsection (3) or (4); and a notice under this subsection shall be given within such |
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| | | period and shall contain such information as may be prescribed. |
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| | | (7) | At any time when a company member’s confidentiality order is in force in |
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| | | relation to a company, the company must pass on to all of its members any lawful |
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| | | message or documentation that a member of the company or a member of the |
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| | | public wishes to send to the company’s members. |
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| | | (8) | The company may charge a reasonable fee for sending a message or |
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| | | documentation under subsection (7). |
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| | | (9) | Where the company has become bound to act under subsection (7) and has failed |
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| | | to so act, an offence is commited by— |
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| | | (b) | every officer of the company who is in default. |
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| | | (10) | A person guilty of an offence under this section is liable on summary conviction |
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| | | to a fine not exceeding level 3 on the standard scale and, for continued |
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| | | contravention, a daily default fine not exceeding one-tenth of level 3 on the |
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| | | |
| | | (11) | In the case of any such refusal or default as set out in subsection (9) the court may |
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| | | by order compel an immediate inspection of the register or, as the case may be, |
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| | | direct that a copy of the register be sent to the person to whom the undertaking |
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| | | |
| | | (12) | The Secretary of State may at any time revoke a company member’s |
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| | | confidentiality order if he is satisfied that such conditions as may be prescribed |
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| | | |
| | |
| | | Names and addresses of members of companies: individual application |
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| | | |
| | To move the following Clause:— |
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| | | ‘(1) | Subject to the provisions of this section, an individual may make an application |
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| | | under this section to the Secretary of State where the condition in subsection (2) |
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| | | |
| | | (2) | The condition referred to in subsection (1) above is that the individual— |
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| | | (a) | is or proposes to become a member of a relevant company; and |
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| | | (b) | considers that the availability for inspection by members of the public of |
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| | | particulars of his name and usual residential or business address creates, |
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| | | or (if an order is not made under this section) is likely to create, a serious |
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| | | risk that he or a person who lives with him or an employee of his will be |
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| | | subjected to violence, intimidation or criminal activity (“a serious risk”). |
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| | | (3) | Where, on an application made by an individual under this section, the Secretary |
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| | | of State is satisified that the availability for inspection by members of the public |
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| | | of the particulars of the individual’s usual residential address creates or (if an |
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| | | order is not made under this section) is likely to create a serious risk that the |
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| | | individual, or a person who lives with him, or an employee of his will be |
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| | | subjected to violence, intimidation or criminal activity, he shall make an order |
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| | | under this section (“an individual member’s confidentiality order”) in relation to |
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| | | |
| | | (4) | Where the Secretary of State is not satisfied under subsection (3) he shall dismiss |
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| | | |
| | | (5) | At any time when an individual member’s confidentiality order is in force in |
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| | | relation to an individual the name and address of the individual in the register of |
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| | | members of the company which is the subject of the confidentiality order shall |
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| | | not be disclosed to any person who may request either company or Companies |
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| | | House disclosure of such name and address save in prescribed circumstances. |
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| |
| | |
| | |
| |
| | | (6) | The Secretary of State shall give the applicant notice of his decision under |
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| | | subsection (3) or (4); and a notice under this subsection shall be given within such |
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| | | period and shall contain such information as may be prescribed. |
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| | | (7) | At any time when an individual member’s confidentiality order is in force in |
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| | | relation to a company, the company must pass on to all of its members any lawful |
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| | | message or documentation that a member of the company or a member of the |
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| | | public wishes to send to the company’s members. |
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| | | (8) | The company may charge a reasonable fee for sending a message or |
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| | | documentation under subsection (7). |
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| | | (9) | Where the company has become bound to act under subsection (7) and has failed |
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| | | to so act, an offence is committed by— |
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| | | |
| | | (b) | every officer of the company who is in default. |
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| | | (10) | A person guilty of an offence under this section is liable on summary conviction |
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| | | to a fine not exceeding level 3 on the standard scale and, for continued |
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| | | contravention, a daily default fine not exceeding one-tenth of level 3 on the |
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| | | |
| | | (11) | In the case of any such refusal or default as set out in subsection (9) the court may |
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| | | by order compel an immediate inspection of the register or, as the case may be, |
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| | | direct that a copy of the register be sent to the person to whom the undertaking |
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| | | |
| | | (12) | The Secretary of State may at any time revoke an individual member’s |
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| | | confidentiality order if he is satisfied that such conditions as may be prescribed |
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| | | |
| | |
| | AMENDMENTS RELATING TO PART 8 |
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| | |
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| | | |
| | Page 51, line 22 [Clause 113], at end insert ‘to whom the beneficial rights and |
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| | obligations of membership belong’. |
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| | |
| | |
| | | |
| | Page 52, line 14 [Clause 113], leave out ‘in the case of continued contravention to’ |
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| | and insert ‘, for continued contravention,’. |
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| | |
| | | |
| | Page 52, line 20 [Clause 114], leave out paragraph (b) and insert— |
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| | | ‘(b) | at a place specified in regulations under section (Regulations about |
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| | | where certain company records to be kept available for inspection).’. |
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| | |
| | | |
| | Page 52, line 36 [Clause 114], leave out ‘in the case of continued contravention to’ |
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| |
| | |
| | |
| |
| | and insert ‘, for continued contravention,’. |
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| | |
| | |
| | | |
| | Page 53, line 11 [Clause 115], leave out ‘in the case of continued contravention to’ |
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| | and insert ‘, for continued contravention,’. |
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| | |
| | |
| | |
| | |
| | |
| | |
| | | |
| | Page 53, line 35 [Clause 116], at end insert— |
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| | | ‘(5) | Notwithstanding the foregoing provisions of this section, a shareholder in a |
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| | | quoted or publicly traded company who is an individual shall have the right to |
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| | | require that his home address is not set out in the register of members available |
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| | | for inspection or in the copy of the register supplied by the company pursuant to |
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| | | a request, nor in any record of the register of members supplied to the Registrar |
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| | | of Companies for the public file maintained by the Registrar.’. |
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| | |
| | |
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| | |
| | |
| | | |
| | Page 53, line 38 [Clause 117], leave out ‘five’ and insert ‘fifteen’. |
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| | |
| | |
| | | |
| | Page 56, line 34 [Clause 123], leave out ‘in the case of continued contravention to’ |
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| | and insert ‘, for continued contravention,’. |
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| | |
| | | |
| | Page 56, line 39 [Clause 124], leave out ‘162A of the Companies Act 1985 (c. 6)’ |
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| | |
| | |
| | |
| | | |
| | Page 57, line 27 [Clause 126], after ‘register’ insert ‘of members of a company |
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|
