Verfügbarkeit: Gower: Principles of modern company law

Gower: Principles of modern company law:

Gespeichert in:

Bibliographische Detailangaben
Hauptverfasser:	Davies, Paul L. 1944- (VerfasserIn), Worthington, Sarah 1955- (VerfasserIn)
Format:	Buch
Sprache:	English
Veröffentlicht:	London Sweet & Maxwell [2021] London Thomson Reuters
Ausgabe:	Eleventh edition
Schriftenreihe:	Classics series
Schlagworte:	Recht Unternehmen Kapitalgesellschaft Handelsrecht Finanzierung Gesellschaftsrecht Großbritannien
Online-Zugang:	Inhaltsverzeichnis
Beschreibung:	clxii, 1294 Seiten
ISBN:	9780414088115

Internformat

MARC


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245	1	0	\|a Gower: Principles of modern company law \|c Paul L. Davies QC (hon), FBA, Allen & Overy Professor of Corporate Law Emeritus, Senior Research Fellow, Harris Manchester College, University of Oxford, Sarah Worthington, DBE, QC (hon), FBA, Downing Professor of the Laws of England, University of Cambridge, Christopher Hare, Travers Smith Associate Professor of Corporate and Commercial Law, University of Oxford, Tutorial Fellow, Somerville College ; with a contribution from Dr. Eva Micheler, London School of Economics and Political Science, Ao Universitätsprofessor, Wirtschaftsuniversität Wien
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Datensatz im Suchindex

_version_	1816699560447180800
adam_text	VAILABLE TABLE OF CONTENTS YMENT ACT YY PAGE ACKNOWLEDGEMENTS PREFACE VII TABLE OF ABBREVIATIONS IX TABLE OF CASES XLIII TABLE OF STATUTES CXV TABLE OF STATUTORY INSTRUMENTS CXLVII TABLE OF EUROPEAN MATERIAL CLV TABLE OF TAKEOVERS CODE CLXI EE CTICE /109) NT IN PARA PART 1 INTRODUCTORY 1. TYPES AND FUNCTIONS OF COMPANIES USES TO WHICH THE COMPANY MAY BE PUT 1-001 BUSINESS VEHICLES: COMPANIES AND PARTNERSHIPS (LIMITED AND UNLIMITED) PARTNERSHIP ACT 1890 AND COMPANIES ACT 2006 1-002 LIMITED LIABILITY PARTNERSHIPS ACT 2000 1-004 LIMITED PARTNERSHIP ACT 1907 1-005 NON-BUSINESS VEHICLES: CHARITABLE, COMMUNITY INTEREST AND LIMITED BY GUARANTEE COMPANIES NOT-FOR-PROFIT COMPANIES 1-006 COMPANY LIMITED BY GUARANTEE 1-008 COMPANY LIMITED BY SHARES 1-011 COMMUNITY INTEREST COMPANY (CIC) 1-012 THE ADVANTAGES OF THE MODERN CORPORATE FORM 1-013 NT RESPONSE URN 00/656 3 CE (OCTOBER 0), URN DIFFERENT TYPES OF REGISTERED COMPANY 1-017 .5553 PUBLIC AND PRIVATE COMPANIES 1-018 PANIES OFFICIALLY LISTED AND OTHER PUBLICLY TRADED COMPANIES 1-022 LIMITED AND UNLIMITED COMPANIES 1-027 99/654 CLASSIFICATION ACCORDING TO SIZE: LARGE, MEDIUM AND MICRO COMPANIES 1-028 XIV CONTENTS CLASSIFICATION ACCORDING TO ACTIVITY: FOR-PROFIT AND CONTENTS FINANCIAL REPORTING COUNCIL NOT-FOR-PROFIT COMPANIES 1-029 COMMON LAW UNREGISTERED COMPANIES AND OTHER FORMS OF THE COMPANY'S CONSTITUTION INCORPORATION THE SIGNIFICANCE OF THE CONSTITUTION . STATUTORY AND CHARTERED COMPANIES 1-031 MODEL ARTICLES OF ASSOCIATION BUILDING SOCIETIES, FRIENDLY SOCIETIES AND CO-OPERATIVES 1-034 SCOPE OF THE COMPANY'S CONSTITU OPEN-ENDED INVESTMENT AND PROTECTED CELL COMPANIES 1-036 FOREIGN AND EU LAW EUROPEAN UNION FORMS OF INCORPORATION EUROPEAN ECONOMIC INTEREST GROUPING AND UK ECONOMIC CONCLUSION INTEREST GROUPING 1-037 THE EUROPEAN COMPANY (SOCIETAS EUROPAEA OR SE) AND THE 4. FORMATION PROCEDURES UK SOCIETAS 1-040 FORMATION OF DIFFERENT TYPES OF CO1 CONCLUSION 1-045 STATUTORY COMPANIES CHARTERED COMPANIES 2. ADVANTAGES AND DISADVANTAGES OF REGISTERED COMPANIES INCORPORATION FORMING A COMPANY BY REGISTRATION LEGAL ENTITY DISTINCT FROM ITS MEMBERS 2-001 REGISTRATION DOCUMENTS CERTIFICATE OF INCORPORATION LIMITED LIABILITY 2-008 PURCHASE OF A SHELF-COMPANY PROPERTY 2-014 CHOICE OF TYPE OF REGISTERED COMPA SUING AND BEING SUED 2-016 CHOICE OF COMPANY NAME WARNING THE PUBLIC ABOUT LIMITED LIAT PERPETUAL SUCCESSION 2-017 PROHIBITION ON ILLEGAL OR OFFENSIVE NA TRANSFERABLE SHARES 2-022 NAMES REQUIRING SPECIAL APPROVAL PROHIBITION ON USING A NAME ALREADY MANAGEMENT UNDER A BOARD STRUCTURE 2-025 RESTRICTIONS ON USING DEFUNCT COMPAI COMPANIES BORROWING 2-029 USE OF A BUSINESS NAME OTHER THAN TH TAXATION 2-032 MANDATORY AND ELECTIVE NAME CHAN FORMALITIES AND EXPENSE 2-033 REQUIREMENTS TO CHANGE A NAME PASSING OFF ACTIONS PUBLICITY COMPANY NAMES ADJUDICATORS THE COMPANY'S AFFAIRS 2-037 COMPANY'S ELECTION TO CHANGE ITS NAN THE COMPANY'S MEMBERS AND DIRECTORS 2-038 EFFECT OF A NAME CHANGE CONCLUSION 2-039 CHOICE OF APPROPRIATE ARTICLES 3. SOURCES OF COMPANY LAW CHALLENGING THE CERTIFICATE OF INCOI INTRODUCTION 3-001 COMMENCEMENT OF BUSINESS PRIMARY LEGISLATION SECONDARY LEGISLATION DELEGATED RULE-MAKING FINANCIAL CONDUCT AUTHORITY 3-004 3-006 3-007 RE-REGISTRATION OF AN EXISTING COMP (I) PRIVATE COMPANY BECOMING PUBLI (II) PUBLIC COMPANY BECOMING PRIVAT CONTENTS FINANCIAL REPORTING COUNCIL XV 3-008 1-029 COMMON LAW 3-009 THE COMPANY'S CONSTITUTION THE SIGNIFICANCE OF THE CONSTITUTION 3-010 1-031 MODEL ARTICLES OF ASSOCIATION 3-011 1-034 SCOPE OF THE COMPANY'S CONSTITUTION 3-013 1-036 FOREIGN AND EU LAW 3-014 CONCLUSION 3-016 1-037 4. FORMATION PROCEDURES 1-040 FORMATION OF DIFFERENT TYPES OF COMPANY 4-001 1-045 STATUTORY COMPANIES 4-002 CHARTERED COMPANIES 4-003 REGISTERED COMPANIES 4-004 FORMING A COMPANY BY REGISTRATION 2-001 REGISTRATION DOCUMENTS 4-005 CERTIFICATE OF INCORPORATION 4-007 2-008 PURCHASE OF A SHELF-COMPANY 4-009 2-014 CHOICE OF TYPE OF REGISTERED COMPANY 4-010 2-016 CHOICE OF COMPANY NAME 4-013 WARNING THE PUBLIC ABOUT LIMITED LIABILITY OR OTHER STATUS 4-014 2-017 PROHIBITION ON ILLEGAL OR OFFENSIVE NAMES 4-016 2-022 NAMES REQUIRING SPECIAL APPROVAL 4-017 PROHIBITION ON USING A NAME ALREADY ALLOCATED 4-018 2-025 RESTRICTIONS ON USING DEFUNCT COMPANY NAMES AND PHOENIX COMPANIES 4-019 2-029 USE OF A BUSINESS NAME OTHER THAN THE CORPORATE NAME 4-020 2-032 MANDATORY AND ELECTIVE NAME CHANGES 4-022 2-033 REQUIREMENTS TO CHANGE A NAME PASSING OFF ACTIONS 4-023 4-024 COMPANY NAMES ADJUDICATORS 4-026 2-037 COMPANY'S ELECTION TO CHANGE ITS NAME 4-028 2-038 EFFECT OF A NAME CHANGE 4-029 2-039 CHOICE OF APPROPRIATE ARTICLES 4-030 CHALLENGING THE CERTIFICATE OF INCORPORATION 4-032 3-001 COMMENCEMENT OF BUSINESS 4-035 3-004 RE-REGISTRATION OF AN EXISTING COMPANY 4-036 3-006 (I) PRIVATE COMPANY BECOMING PUBLIC 4-037 (II) PUBLIC COMPANY BECOMING PRIVATE LIMITED COMPANY 4-038 3-007 XVI CONTENTS CONTENTS (III) PRIVATE OR PUBLIC LIMITED COMPANY BECOMING GENERAL LAW ROUTES TO MEMBER DA UNLIMITED 4-040 PARTIES (IV) UNLIMITED COMPANY BECOMING A PRIVATE LIMITED CONTRACT, INCLUDING AGENCY COMPANY 4-041 TORT (V) BECOMING OR CEASING TO BE A COMMUNITY INTEREST STATUTE COMPANY 4-042 PROPERTY CONCLUSION 4-043 "PIERCING THE CORPORATE VEIL" COMPANY GROUPS LIMITED LIABILITY 5-001 IGNORING SEPARATE LEGAL PERSONALITY V LIMITED LIABILITY CONCLUSION 8. CORPORATE ACTIONS GENERAL PRINCIPLES 5. CORPORATE MOBILITY INTRODUCTION OVERSEAS COMPANIES 5-003 ESTABLISHMENT: BRANCH AND PLACE OF BUSINESS 5-004 DISCLOSURE OBLIGATIONS 5-005 EXECUTION OF DOCUMENTS AND NAMES 5-007 OTHER MANDATORY PROVISIONS 5-008 CHOOSING AND CHANGING JURISDICTIONS 5-009 SUBSEQUENT TRANSFER 5-010 REFORM? 5-012 CONCLUSION 5-013 6. THE NATURE AND CLASSIFICATION OF SHARES LEGAL NATURE OF SHARES 6-001 THE PRESUMPTION OF EQUALITY BETWEEN SHAREHOLDERS 6-004 CLASSES OF SHARES 6-006 PREFERENCE SHARES 6-007 CANONS OF CONSTRUCTION 6-008 ORDINARY SHARES 6-009 SPECIAL CLASSES 6-010 CONVERSION OF SHARES INTO STOCK 6-011 PART 2 SEPARATE LEGAL PERSONALITY IN ACTION 7. THE LIMITS OF SEPARATE LEGAL PERSONALITY AND LIMITED LIABILITY INTRODUCTION 7-001 THE RATIONALE FOR LIMITED LIABILITY 7-002 CONTRACTUAL RIGHTS AND LIABILITIES CONTRACTING THROUGH THE BOARD OR THE COLLECTIVELY CONSTRUCTIVE NOTICE AND THE RULE IN T STATUTORY PROTECTION FOR THIRD PARTIES BOARD (A) "IN FAVOUR OF A PERSON DEAL GOOD FAITH" (B) "DEALING WITH A COMPANY" (C) PERSONS (D) THE DIRECTORS (E) ANY LIMITATION UNDER THE COI 0 THE INTERNAL EFFECTS OF LACK CONTRACTING THROUGH AGENTS AGENCY PRINCIPLES IN OUTLINE ESTABLISHING THE OSTENSIBLE AUTH( AGENTS THE RELEVANCE OF THE THIRD PARTY KNOWLEDGE OF THE CONSTITUTION AS ENDEAVOURS TO BUILD AUTHORITY ON MANAGEMENT RULE" RATIFICATION BY THE COMPANY OF UNAUI THE ULTRA VIRES DOCTRINE AND THE OBJET PRE-INCORPORATION AND POST-DISSOLUTIOI OVERVIEW OF THE RULES ON CORPORATE C TORT LIABILITY VICARIOUS LIABILITY OF THE COMPANY DIRECT LIABILITY OF THE COMPANY CONTENTS GENERAL LAW ROUTES TO MEMBER LIABILITY TO THIRD XVII 4-040 PARTIES 7-009 CONTRACT, INCLUDING AGENCY 7-010 4-041 TORT 7-012 STATUTE 7-015 4-042 PROPERTY 7-017 4-043 "PIERCING THE CORPORATE VEIL" 7-018 COMPANY GROUPS LIMITED LIABILITY 7-022 5-001 IGNORING SEPARATE LEGAL PERSONALITY WITHOUT COMPROMISING LIMITED LIABILITY 7-025 5-003 5-004 CONCLUSION 7-027 5-005 5-007 8. CORPORATE ACTIONS 5-008 GENERAL PRINCIPLES 8 - 001 5-009 5-010 5-012 CONTRACTUAL RIGHTS AND LIABILITIES CONTRACTING THROUGH THE BOARD OR THE SHAREHOLDERS COLLECTIVELY 8 - 004 8 - 005 5-013 CONSTRUCTIVE NOTICE AND THE RULE IN TURQUAND'S CASE 8 - 006 STATUTORY PROTECTION FOR THIRD PARTIES DEALING WITH THE BOARD 8 - 009 (A) "IN FAVOUR OF A PERSON DEALING WITH A COMPANY IN 6-001 GOOD FAITH" 8 - 010 6-004 (B) "DEALING WITH A COMPANY" 8 - 011 (C) PERSONS 8 - 012 6-006 (D) THE DIRECTORS 8 - 013 6-007 6-008 (E) ANY LIMITATION UNDER THE COMPANY'S CONSTITUTION Y) THE INTERNAL EFFECTS OF LACK OF AUTHORITY 8 - 014 8 - 015 6-009 CONTRACTING THROUGH AGENTS 8 - 016 6-010 AGENCY PRINCIPLES IN OUTLINE 8 - 018 6-011 ESTABLISHING THE OSTENSIBLE AUTHORITY OF CORPORATE AGENTS 8 - 021 THE RELEVANCE OF THE THIRD PARTY'S KNOWLEDGE 8 - 025 KNOWLEDGE OF THE CONSTITUTION AS AN AID TO THIRD PARTIES: ENDEAVOURS TO BUILD AUTHORITY ON THE "INDOOR MANAGEMENT RULE" 8 - 027 ITY AND RATIFICATION BY THE COMPANY OF UNAUTHORISED CONTRACTING 8 - 028 THE ULTRA VIRES DOCTRINE AND THE OBJECTS CLAUSE 8 - 029 PRE-INCORPORATION AND POST-DISSOLUTION CONTRACTS 8 - 030 7-001 OVERVIEW OF THE RULES ON CORPORATE CONTRACTING 8-037 7-002 TORT LIABILITY 8 - 038 VICARIOUS LIABILITY OF THE COMPANY 8 - 039 DIRECT LIABILITY OF THE COMPANY 8 - 040 XVIII CONTENTS CONTENTS CRIMINAL LIABILITY AND STATUTORY LIABILITY 8-041 REGULATORY OFFENCES IMPOSING STRICT LIABILITY 8-042 DIRECT LIABILITY: "DIRECTING MIND AND WILL" 8-043 BROADER JUSTIFICATIONS FOR DIRECT LIABILITY: BEYOND "DIRECTING MIND AND WILL" 8-044 CORPORATE MANSLAUGHTER 8-045 THE BRIBERY ACT 2010 8-047 ATTRIBUTING KNOWLEDGE TO THE COMPANY IN CONTRACT, TORT AND CRIME 8-048 ATTRIBUTION ISSUES WHEN THE COMPANY IS THE CLAIMANT 8-049 PERSONAL LIABILITY OF DIRECTORS AND OTHER AGENTS 8-054 LIABILITY OF CORPORATE AGENTS WHEN THE COMPANY IS VICARIOUSLY LIABLE 8-055 LIABILITY OF NON-INVOLVED DIRECTORS 8-056 LIABILITY OF DIRECTORS AND AGENTS AS ACCESSORIES OR FOR THEIR OWN TORTS 8-057 LIABILITY OF DIRECTORS WHEN THE COMPANY HAS COMMITTED A CRIME 8-059 CONCLUSION 8-061 ENFORCEMENT OF THE UK CORPORATE C THE WATES CORPORATE GOVERNANCE P PRIVATE COMPANIES CONCLUSION 10. DIRECTORS' DUTIES INTRODUCTION THE SCOPE AND GENERAL NATURE OF TI 5.170 PART 3 REGULATING BOARDS AND INDIVIDUAL DIRECTORS 9. THE BOARD AND ITS DIRECTORS THE ROLE OF THE BOARD 9-001 THE LEGAL EFFECT OF THE ARTICLES THE BOARD AND SHAREHOLDERS 9-002 COLLECTIVE DECISION-MAKING AND DELEGATION: THE BOARD AND SENIOR MANAGEMENT 9-005 THE MANDATORY FUNCTIONS OF THE DIRECTORS 9-006 APPOINTMENT OF DIRECTORS 9-007 CONSEQUENCES OF DEFECTIVE APPOINTMENTS 9-010 REMUNERATION AND REMOVAL OF DIRECTORS 9-011 STRUCTURE AND COMPOSITION OF THE BOARD 9-012 LEGAL RULES ON BOARD STRUCTURE 9-013 LEGAL RULES ON BOARD COMPOSITION: DIVERSITY AND INCLUSION 9-014 THE UK CORPORATE GOVERNANCE CODE: ALTERNATIVE MEASURES TO IMPROVE CORPORATE GOVERNANCE HISTORY OF THE UK'S CORPORATE GOVERNANCE CODES 9-016 THE REQUIREMENTS OF THE UK CORPORATE GOVERNANCE CODE 9-018 INTRODUCTION TO THE DIRECTORS' VARI HISTORICAL BACKGROUND CATEGORIES OF DUTIES TO WHOM AND BY WHOM ARE THE DUT TO WHOM ARE THE GENERAL DUTIES OWE THEIR BREACH? THE COMPANY INDIVIDUAL SHAREHOLDERS OTHER STAKEHOLDERS BY WHOM ARE THE GENERAL DUTIES OWE DE FACTO AND SHADOW DIRECTORS SENIOR MANAGERS FORMER DIRECTORS DIRECTORS OF INSOLVENT COMPANIES DUTY TO ACT WITHIN POWERS: S.171 ACTING IN ACCORDANCE WITH THE CONSTII CONSTITUTIONAL LIMITATIONS IMPROPER PURPOSES THE RULE WHICH PURPOSES ARE IMPROPER? WHEN IS A POWER EXERCISED FOR IT REMEDIES BEYOND S.171: LIMITATIONS ON DIRECTOR THE GENERAL LAW DUTY TO PROMOTE THE SUCCESS OF THE SETTLING THE STATUTORY FORMULA INTERPRETING THE STATUTORY FORMULA DEFINING THE COMPANY'S SUCCESS FAILURE TO HAVE REGARD, OR DUE RE MATTERS A DUTY TO DISCLOSE WRONGDOING THE PROBLEM OF "SHORT-TERMISM". CORPORATE GROUPS CONTENTS XIX 8 - 041 8 - 042 8 - 043 8-044 8-045 8 - 047 8 - 048 8 - 049 8 - 054 8 - 055 8 - 056 8 - 057 8 - 059 8 - 061 9-001 9-002 9-005 9-006 9-007 9-010 9-011 9-012 9-013 9-014 9-016 9-018 ENFORCEMENT OF THE UK CORPORATE GOVERNANCE CODE 9-020 THE WATES CORPORATE GOVERNANCE PRINCIPLES FOR LARGE PRIVATE COMPANIES 9-021 CONCLUSION 9-022 10. DIRECTORS' DUTIES INTRODUCTION 10 - 001 THE SCOPE AND GENERAL NATURE OF THE DUTIES OWED: S.170 10 - 002 INTRODUCTION TO THE DIRECTORS' VARIOUS DUTIES HISTORICAL BACKGROUND 10 - 003 CATEGORIES OF DUTIES 10 - 004 TO WHOM AND BY WHOM ARE THE DUTIES OWED? TO WHOM ARE THE GENERAL DUTIES OWED AND WHO CAN SUE FOR THEIR BREACH? THE COMPANY 10 - 005 INDIVIDUAL SHAREHOLDERS 10 - 006 OTHER STAKEHOLDERS 10 - 008 BY WHOM ARE THE GENERAL DUTIES OWED? DE FACTO AND SHADOW DIRECTORS 10 - 009 SENIOR MANAGERS 10 - 012 FORMER DIRECTORS 10 - 014 DIRECTORS OF INSOLVENT COMPANIES 10 - 015 DUTY TO ACT WITHIN POWERS: S.171 10 - 016 ACTING IN ACCORDANCE WITH THE CONSTITUTION CONSTITUTIONAL LIMITATIONS 10 - 017 IMPROPER PURPOSES THE RULE 10 - 018 WHICH PURPOSES ARE IMPROPER? 10 - 019 WHEN IS A POWER EXERCISED FOR IMPROPER PURPOSES? 10 - 021 REMEDIES 10 - 022 BEYOND S.171: LIMITATIONS ON DIRECTORS' POWERS IMPOSED BY THE GENERAL LAW 10 - 024 DUTY TO PROMOTE THE SUCCESS OF THE COMPANY: S.172 SETTLING THE STATUTORY FORMULA 10 - 026 INTERPRETING THE STATUTORY FORMULA DEFINING THE COMPANY'S SUCCESS 10 - 029 FAILURE TO HAVE REGARD, OR DUE REGARD, TO RELEVANT MATTERS 10 - 030 A DUTY TO DISCLOSE WRONGDOING 10 - 033 THE PROBLEM OF "SHORT-TERMISM" 10 - 035 CORPORATE GROUPS 10 - 036 CONTENTS EMPLOYEES CREDITORS DONATIONS 10-037 10 - 038 10 - 039 CONTENTS REMEDIES DIRECTORS' SERVICE CONTRACTS AND GRAT DIRECTORS DUTY TO EXERCISE INDEPENDENT JUDGMENT: 5.173 10 - 040 CONFLICTS OF INTEREST AND THE USE C TAKING ADVICE AND DELEGATING AUTHORITY 10 - 041 INFORMATION AND OPPORTUNITY: S.175 EXERCISE OF FUTURE DISCRETION 10 - 042 THE SCOPE AND FUNCTIONING OF S.175 DUTIES OF STRENUOUSLY DISSENTING DIRECTORS 10 - 043 A STRICT APPROACH TO CONFLICTS OF INTE NOMINEE DIRECTORS 10 - 044 THE LIMITS OF "CORPORATE" OPPORTUNIT DIRECTORS' DUTIES OF SKILL, CARE AND DILIGENCE: S.174 HISTORICAL DEVELOPMENT THE STATUTORY STANDARD REMEDIES 10 - 045 10 - 046 10 - 050 BASIC ISSUES OF SCOPE: WHEN IS C "CORPORATE OPPORTUNITY"? EFFECT OF DIRECTOR'S RESIGNATION EFFECT OF BOARD DETERMINATIONS C COMPANY'S ACTIVITIES OVERVIEW OF THE NO-CONFLICT RULES: SS.175-177 10 - 051 COMPETING AND MULTIPLE DIRECTORSHIP COMPETING WITH THE COMPANY . TRANSACTIONS WITH THE COMPANY (SELF-DEALING): SS.175(3) MULTIPLE DIRECTORSHIPS AND 177 APPROVAL BY THE BOARD THE SCOPE OF THE RELEVANT PROVISIONS 10 - 053 A CONCEPTUAL ISSUE: IS THERE INVARIAB APPROVAL MECHANISMS DUTY TO DECLARE INTERESTS IN RELATION TO PROPOSED TRANSACTIONS 10 - 054 "OPPORTUNITY" TO THE COMPANY? REMEDIES OR ARRANGEMENTS: S.177 PURPOSE OF THE DISCLOSURE REQUIREMENT 10 - 056 10 - 057 POLITICAL DONATIONS AND EXPENDITUR WHO IS SUBJECT TO THIS DUTY? 10 - 058 DUTY NOT TO ACCEPT BENEFITS FROM T THE INTERESTS TO BE DISCLOSED 10 - 059 THE SCOPE OF S.176 METHODS OF DISCLOSURE 10 - 060 REMEDIES REMEDIES 10 - 061 A CONTINUING ROLE FOR THE ARTICLES IN SETTING TIGHTER REMEDIES FOR BREACH OF DUTY CONSTRAINTS 10 - 062 (A) DECLARATION OR INJUNCTION DUTY TO DECLARE INTERESTS IN RELATION TO EXISTING TRANSACTIONS (B) DAMAGES OR COMPENSATION OR ARRANGEMENTS: S.182 10 - 063 (C) EQUITABLE COMPENSATION: "RESTORE METHODS OF DISCLOSURE 10 - 064 (D) AVOIDANCE OF CONTRACTS REMEDIES 10 - 065 (E) ACCOUNTING FOR PROFITS: DISGORGE] (F) SUMMARY DISMISSAL TRANSACTIONS BETWEEN THE COMPANY AND DIRECTORS REQUIRING SPECIAL APPROVAL OF MEMBERS: PT 10, CHS 4 AND SHAREHOLDER APPROVAL OR "WHITEWM 4A 10 - 066 BREACHES OF DUTY RELATIONSHIP WITH THE GENERAL DUTIES 10 - 067 WHAT IS BEING DECIDED? SUBSTANTIAL PROPERTY TRANSACTIONS WHO CAN TAKE THE DECISION FOR THE CO. THE SCOPE OF THE REQUIREMENT FOR SHAREHOLDER DISENFRANCHISING PARTICULAR VOTERS APPROVAL 10 - 069 VOTING MAJORITIES EXCEPTIONS 10 - 071 "NON-RATIFIABLE BREACHES"? REMEDIES 10 - 072 ADDITIONAL RULES FOR LISTED COMPANIES 10 - 074 GENERAL RULES EXEMPTING DIRECTORS LOANS, QUASI-LOANS AND CREDIT TRANSACTIONS STATUTORY CONSTRAINTS ON PROVIDING EX ARRANGEMENTS COVERED 10 - 075 LIABILITY METHOD OF APPROVAL AND RELATED DISCLOSURES 10 - 077 DIFFERENT TREATMENT OF CONFLICTS O, EXCEPTIONS 10 - 078 CONTENTS XXI E 10 - 037 REMEDIES 10-079 10 - 038 DIRECTORS' SERVICE CONTRACTS AND GRATUITOUS PAYMENTS TO 10 - 039 DIRECTORS 10 - 080 10 - 040 CONFLICTS OF INTEREST AND THE USE OF CORPORATE PROPERTY, 10 - 041 INFORMATION AND OPPORTUNITY: S.175 10 - 042 THE SCOPE AND FUNCTIONING OF S.175 10 - 081 10 - 043 A STRICT APPROACH TO CONFLICTS OF INTEREST 10 - 082 10 - 044 THE LIMITS OF "CORPORATE" OPPORTUNITIES 10 - 083 BASIC ISSUES OF SCOPE: WHEN IS AN "OPPORTUNITY" A "CORPORATE OPPORTUNITY"? 10 - 084 10 - 045 10 - 046 10 - 050 EFFECT OF DIRECTOR'S RESIGNATION EFFECT OF BOARD DETERMINATIONS OF THE SCOPE OF A COMPANY'S ACTIVITIES 10 - 087 10 - 088 10 - 051 COMPETING AND MULTIPLE DIRECTORSHIPS 10 - 092 COMPETING WITH THE COMPANY 10 - 093 MULTIPLE DIRECTORSHIPS 10 - 095 APPROVAL BY THE BOARD 10 - 096 10 - 053 A CONCEPTUAL ISSUE: IS THERE INVARIABLY A DUTY TO REPORT THE 10 - 054 "OPPORTUNITY" TO THE COMPANY? 10 - 098 REMEDIES 10 - 099 10 - 056 10 - 057 POLITICAL DONATIONS AND EXPENDITURE 10-100 10 - 058 DUTY NOT TO ACCEPT BENEFITS FROM THIRD PARTIES: S.176 10 - 059 THE SCOPE OF S.176 10-101 10 - 060 REMEDIES 10-102 10 - 061 REMEDIES FOR BREACH OF DUTY 10-103 10 - 062 (A) DECLARATION OR INJUNCTION 10-104 (B) DAMAGES OR COMPENSATION 10-105 10 - 063 (C) EQUITABLE COMPENSATION: "RESTORATION" OF PROPERTY 10-106 10 - 064 (D) AVOIDANCE OF CONTRACTS 10-107 10 - 065 (E) ACCOUNTING FOR PROFITS: DISGORGEMENT OF DISLOYAL GAINS 10-108 (F) SUMMARY DISMISSAL 10-110 SHAREHOLDER APPROVAL OR "WHITEWASH" OF SPECIFIC 10 - 066 BREACHES OF DUTY 10-111 10 - 067 WHAT IS BEING DECIDED? 10-112 WHO CAN TAKE THE DECISION FOR THE COMPANY? 10-113 DISENFRANCHISING PARTICULAR VOTERS 10-115 10 - 069 VOTING MAJORITIES 10-117 10 - 071 "NON-RATIFIABLE BREACHES"? 10-118 10 - 072 10 - 074 GENERAL RULES EXEMPTING DIRECTORS FROM LIABILITY STATUTORY CONSTRAINTS ON PROVIDING EXEMPTIONS FROM 10 - 075 LIABILITY 10-119 10 - 077 DIFFERENT TREATMENT OF CONFLICTS OF INTEREST 10-120 10 - 078 XXII CONTENTS CONTENTS ARRANGEMENTS PROVIDING DIRECTORS WITH AN INDEMNITY 10-122 SHAREHOLDER DECISION-MAKING WITH( INSURANCE 10-123 MEETINGS THIRD PARTY INDEMNITIES 10-124 THE NATURE OF THE PROBLEM PENSION SCHEME INDEMNITY 10-126 WRITTEN RESOLUTIONS LIMITATION OF ACTIONS 10-127 WHERE WRITTEN RESOLUTIONS NOT A, RELIEF GRANTED BY THE COURT: S.1175 10-129 THE PROCEDURE FOR PASSING WRIT! LIABILITY OF THIRD PARTIES 10-130 WRITTEN RESOLUTIONS PROPOSED BY WIDER WRITTEN RESOLUTION PROVISI, LIABILITY OF PROMOTERS 10-134 UNANIMOUS CONSENT AT COMMON LAW. MEANING OF "PROMOTER" DUTIES OF PROMOTERS (A) STATUTORY RULES (B) COMMON LAW AND EQUITABLE RULES (C) FULL DISCLOSURE AND CONSENT REMEDIES FOR BREACH OF PROMOTERS' DUTIES REMUNERATION OF PROMOTERS 10-135 10-137 10-138 10-139 10-140 10-141 10-143 IMPROVING SHAREHOLDER PARTICIPATIOI ANALYSES OF SHAREHOLDER PARTICIPATIOI THE ROLE OF INSTITUTIONAL INVESTORS CONFLICTS OF INTEREST AND INACTIVI "FIDUCIARY INVESTORS" THE UK STEWARDSHIP CODE THE ROLE OF INDIRECT INVESTORS CONCLUSION 10-144 GOVERNANCE RIGHTS-VOLUNTARY H ALL COMPANIES PART 4 SHAREHOLDERS 11. THE CONSTITUTIONAL ROLE OF SHAREHOLDERS INFORMATION RIGHTS-MANDATORY TRADED COMPANIES THE MECHANICS OF MEETINGS WHAT HAPPENS AT MEETINGS? TYPES OF RESOLUTION INTRODUCTION 11-001 WORDING AND NOTICE OF PROPOSED SHAREHOLDERS' CONTRACTUAL RIGHTS CONVENING A MEETING OF THE SHAREHOL ANNUAL GENERAL MEETINGS THE COMPANY'S CONSTITUTION 11-002 OTHER GENERAL MEETINGS SHAREHOLDER AGREEMENTS 11-004 MEETINGS CONVENED BY THE COURT CONSTITUTIONAL POWERS OF THE GENERAL MEETING AT WHAT IS A MEETING? COMMON LAW 11-006 GETTING ITEMS ONTO THE AGENDA AND E: AGENDA ITEMS STATUTORY POWERS OF THE GENERAL MEETING 11-011 PLACING AN ITEM ON THE AGENDA. REMUNERATION OF DIRECTORS 11-013 CIRCULATION OF MEMBERS' STATEME, REMUNERATION COMMITTEES 11-015 NOTICE OF MEETINGS AND INFORMATION MANDATORY SHAREHOLDER APPROVAL OF CERTAIN ASPECTS OF LENGTH OF NOTICE THE REMUNERATION PACKAGE 11-016 SPECIAL NOTICE REMOVAL OF DIRECTORS 11-022 THE CONTENTS OF THE NOTICE OF THE SHAREHOLDERS' STATUTORY TERMINATION RIGHTS 11-023 CIRCULARS CONTROL OF TERMINATION PAYMENTS 11-027 COMMUNICATING NOTICE OF THE ME DISCLOSURE 11-028 ATTENDING THE MEETING SHAREHOLDER APPROVAL 11-029 PROXIES CORPORATIONS' REPRESENTATIVES CONCLUSION 11-031 VOTING AND VERIFICATION OF VOTES 12. SHAREHOLDER DECISION-MAKING VOTING AS A GOVERNANCE ISSUE VOTES ON A SHOW OF HANDS AND PO THE ROLE OF THE SHAREHOLDERS 12-001 VERGING VOTES CONTENTS XXIII 10-122 10-123 10-124 10-126 10-127 10-129 10-130 10-134 10-135 10-137 10-138 10-139 10-140 10-141 10-143 10-144 RS 11-001 11-002 11-004 11-006 11-011 11-013 11-015 11-016 11-022 11-023 11-027 11-028 11-029 11-031 12-001 SHAREHOLDER DECISION-MAKING WITHOUT SHAREHOLDER MEETINGS THE NATURE OF THE PROBLEM 12-003 WRITTEN RESOLUTIONS 12-004 WHERE WRITTEN RESOLUTIONS NOT AVAILABLE 12-005 THE PROCEDURE FOR PASSING WRITTEN RESOLUTIONS 12-006 WRITTEN RESOLUTIONS PROPOSED BY MEMBERS 12-007 WIDER WRITTEN RESOLUTION PROVISIONS UNDER THE ARTICLES 12-008 UNANIMOUS CONSENT AT COMMON LAW 12-009 IMPROVING SHAREHOLDER PARTICIPATION ANALYSES OF SHAREHOLDER PARTICIPATION 12-012 THE ROLE OF INSTITUTIONAL INVESTORS 12-013 CONFLICTS OF INTEREST AND INACTIVITY 12-014 "FIDUCIARY INVESTORS" 12-016 THE UK STEWARDSHIP CODE 12-017 THE ROLE OF INDIRECT INVESTORS 12-018 GOVERNANCE RIGHTS-VOLUNTARY TRANSFER ARRANGEMENTS FOR ALL COMPANIES 12-019 INFORMATION RIGHTS-MANDATORY TRANSFER OPTIONS IN TRADED COMPANIES 12-021 THE MECHANICS OF MEETINGS 12-022 WHAT HAPPENS AT MEETINGS? 12-023 TYPES OF RESOLUTION 12-024 WORDING AND NOTICE OF PROPOSED RESOLUTIONS 12-026 CONVENING A MEETING OF THE SHAREHOLDERS 12-028 ANNUAL GENERAL MEETINGS 12-029 OTHER GENERAL MEETINGS 12-030 MEETINGS CONVENED BY THE COURT 12-031 WHAT IS A MEETING? 12-032 GETTING ITEMS ONTO THE AGENDA AND EXPRESSING VIEWS ON AGENDA ITEMS 12-033 PLACING AN ITEM ON THE AGENDA 12-034 CIRCULATION OF MEMBERS 'STATEMENTS STATEMENTS 12-036 NOTICE OF MEETINGS AND INFORMATION ABOUT THE AGENDA 12-037 LENGTH OF NOTICE 12-038 SPECIAL NOTICE 12-039 THE CONTENTS OF THE NOTICE OF THE MEETING AND CIRCULARS 12-040 COMMUNICATING NOTICE OF THE MEETING TO THE MEMBERS 12-041 ATTENDING THE MEETING PROXIES 12-042 CORPORATIONS' REPRESENTATIVES 12-046 VOTING AND VERIFICATION OF VOTES VOTING AS A GOVERNANCE ISSUE 12-047 VOTES ON A SHOW OF HANDS AND POLLS 12-048 VERGING VOTES 12-050 XXIV CONTENTS CONTENTS ESTABLISHING WHO IS ENTITLED TO VOTE 12-051 ALTERING THE STATUTORY CONTRACT . PUBLICITY FOR VOTES AND RESOLUTIONS 12-052 ENFORCEMENT OF SHAREHOLDERS' OTHER "EMPTY" VOTING 12-053 TYPES OF CLAIMS MISCELLANEOUS MATTERS REFLECTIVE LOSS CHAIRMAN 12-054 ADJOURNMENTS CLASS MEETINGS FORMS OF COMMUNICATION BY THE COMPANY FORMS OF COMMUNICATION TO THE COMPANY 12-055 12-056 12-057 12-058 RELIEF FROM UNFAIR PREJUDICE PARTIES ABLE TO PETITION SCOPE OF THE PROVISIONS "PREJUDICE" AND "UNFAIRNESS" INFORMAL ARRANGEMENTS BETWEEN CONCLUSION 12-059 THE BALANCE BETWEEN DIVIDENDS REMUNERATION 13. CONTROLLING MEMBERS' VOTING OTHER CATEGORIES OF UNFAIR PREJU UNFAIR PREJUDICE AND THE DERIVATIVE INTRODUCTION 13-001 REDUCING LITIGATION COSTS REVIEW OF SHAREHOLDERS' DECISIONS: BONA FIDE FOR THE REMEDIES BENEFIT OF THE COMPANY AS A WHOLE WINDING UP ON THE JUST AND EQUITAB THE STARTING POINT 13-005 RESOLUTIONS WHERE THE COMPANY'S INTERESTS ARE CENTRE STAGE 13-007 CONCLUSION RESOLUTIONS MORE GENERALLY 13-008 RESOLUTIONS TO EXPROPRIATE MEMBERS' SHARES 13-009 15. CORPORATE LITIGATION AND OTHER (NON-EXPROPRIATORY) RESOLUTIONS 13-011 ACTION THE FUTURE 13-012 VOTING AT CLASS MEETINGS 13-013 THE NATURE OF THE PROBLEM AND THE SOLUTIONS CLASS RIGHTS 13-014 THE BOARD AND LITIGATION THE PROCEDURE FOR VARYING CLASS RIGHTS 13-015 THE SHAREHOLDERS COLLECTIVELY AND LITI WHAT CONSTITUTES A "VARIATION" 13-017 DERIVATIVE CLAIMS THE DEFINITION OF CLASS RIGHTS 13-019 OTHER POSSIBLE SOLUTIONS OTHER CASES 13-021 "PEOPLE WITH SIGNIFICANT CONTROL"-THE PSC REGISTER 13-022 THE GENERAL STATUTORY DERIVATIVE C THE SCOPE OF THE STATUTORY DERIVATIVE SELF-HELP 13-027 THE COURT'S GATEKEEPER ROLE PROVISIONS IN THE CONSTITUTION 13-028 THE TYPES OF CLAIMS COVERED BY T SHAREHOLDER AGREEMENTS 13-029 SHAREHOLDER CLAIMANTS PRIOR CONTRACTS 13-030 DECIDING WHETHER TO GIVE PERMISSION BINDING ONLY THE SHAREHOLDERS 13-032 CLAIM THE PRIMA FACIE CASE AND JUDICK CONCLUSION 13-033 PROCEEDINGS MANDATORY REFUSAL OF PERMISSION 14. PERSONAL CLAIMS AND UNFAIR PREJUDICE DISCRETIONARY GRANT OF PERMISSIO INTRODUCTION 14-001 VARIETIES OF DERIVATIVE CLAIM TAKING OVER EXISTING CLAIMS SHAREHOLDERS' PERSONAL RIGHTS MULTIPLE DERIVATIVE CLAIMS ENFORCEMENT OF THE COMPANY'S CONSTITUTION THE SUBSEQUENT CONDUCT OF THE DERIVA ONLY RIGHTS HELD "AS A MEMBER" 14-002 GENERAL ISSUES ONLY MATTERS WHICH ARE NOT "MERE INTERNAL INFORMATION RIGHTS IRREGULARITIES" 14-004 COSTS CONTENTS XXV 12-051 12-052 12-053 12-054 12-055 12-056 12-057 12-058 12-059 .,.13-001 13-005 13-007 13-008 13-009 13-011 13-012 13-013 13-014 13-015 13-017 13-019 13-021 13-022 13-027 13-028 13-029 13-030 13-032 13-033 14-001 14-002 14-004 ALTERING THE STATUTORY CONTRACT 14-007 ENFORCEMENT OF SHAREHOLDERS' OTHER PERSONAL CLAIMS TYPES OF CLAIMS 14-008 REFLECTIVE LOSS 14-009 RELIEF FROM UNFAIR PREJUDICE 14-012 PARTIES ABLE TO PETITION 14-013 SCOPE OF THE PROVISIONS 14-014 "PREJUDICE" AND "UNFAIRNESS" 14-016 INFORMAL ARRANGEMENTS BETWEEN MEMBERS 14-018 THE BALANCE BETWEEN DIVIDENDS AND DIRECTORS' REMUNERATION 14-022 OTHER CATEGORIES OF UNFAIR PREJUDICE 14-023 UNFAIR PREJUDICE AND THE DERIVATIVE ACTION 14-024 REDUCING LITIGATION COSTS 14-028 REMEDIES 14-029 WINDING UP ON THE JUST AND EQUITABLE GROUND 14-031 CONCLUSION 14-035 15. CORPORATE LITIGATION AND THE DERIVATIVE ACTION THE NATURE OF THE PROBLEM AND THE POTENTIAL SOLUTIONS 15-001 THE BOARD AND LITIGATION 15-002 THE SHAREHOLDERS COLLECTIVELY AND LITIGATION 15-003 DERIVATIVE CLAIMS 15-004 OTHER POSSIBLE SOLUTIONS 15-007 THE GENERAL STATUTORY DERIVATIVE CLAIM THE SCOPE OF THE STATUTORY DERIVATIVE CLAIM THE COURT'S GATEKEEPER ROLE 15-008 THE TYPES OF CLAIMS COVERED BY THE STATUTORY REGIME 15-009 SHAREHOLDER CLAIMANTS 15-010 DECIDING WHETHER TO GIVE PERMISSION FOR THE DERIVATIVE CLAIM 15-011 THE PRIMA FACIE CASE AND JUDICIAL MANAGEMENT OF PROCEEDINGS 15-012 MANDATORY REFUSAL OF PERMISSION 15-013 DISCRETIONARY GRANT OF PERMISSION 15-014 VARIETIES OF DERIVATIVE CLAIM TAKING OVER EXISTING CLAIMS 15-015 MULTIPLE DERIVATIVE CLAIMS 15-016 THE SUBSEQUENT CONDUCT OF THE DERIVATIVE CLAIM GENERAL ISSUES 15-017 INFORMATION RIGHTS 15-018 COSTS 15-019 XXVI CONTENTS RESTRICTIONS ON SETTLEMENT THE STATUTORY DERIVATIVE CLAIM FOR UNAUTHORISED POLITICAL EXPENDITURE CONCLUSION 15-020 15-021 15-022 CONTENTS GENERAL RESTRICTIONS ON REDEEM REPURCHASES CREDITOR PROTECTION: ALL COMPANIES PRIVATE COMPANIES: REDEMPTION OR PT DIRECTORS' STATEMENT SHAREHOLDER RESOLUTION APPEAL TO THE COURT PART 5 LEGAL CAPITAL CONSEQUENCES CREDITORS PROTECTION FOR SHAREHOLDERS OFF-MARKET PURCHASES 16. LEGAL CAPITAL, MINIMUM CAPITAL AND MARKET PURCHASES VERIFICATION COMPANIES WITH A PREMIUM LISTL PAYMENTS OTHERWISE THAN BY WAY OF MEANING AND FUNCTIONS OF CAPITAL 16-001 TREASURY SHARES SALE OF TREASURY SHARES NOMINAL VALUE AND SHARE PREMIUMS NOMINAL VALUE NO ALLOTMENT OF SHARES AT A DISCOUNT 16-003 16-004 WHILST THE SHARES ARE IN TREASUR) FAILURE BY THE COMPANY TO PERFORM. CONCLUSION THE SHARE PREMIUM 16-006 REDUCTION OF CAPITAL MINIMUM CAPITAL OBJECTIONS TO THE MINIMUM CAPITAL REQUIREMENT 16-009 16-012 WHY IS REDUCTION OF CAPITAL ALLOWED? THE STATUTORY PROCEDURES DISCLOSURE AND VERIFICATION 16-013 PROCEDURE APPLYING TO ALL COMPANIES INITIAL STATEMENT AND RETURN OF ALLOTMENTS 16-014 CREDITOR OBJECTION ABOLITION OF AUTHORISED CAPITAL 16-015 CONFIRMATION BY THE COURT CONSIDERATION RECEIVED UPON ALLOTMENT 16-016 PROCEDURE AVAILABLE TO PRIVATE COMPS RULES APPLYING TO ALL COMPANIES 16-017 SOLVENCY STATEMENT PUBLIC COMPANIES 16-018 REMEDIES VALUATION OF NON-CASH CONSIDERATION 16-019 REDUCTION, DISTRIBUTIONS AND RE--1 FURTHER PROVISIONS AS TO SANCTIONS 16-022 FINANCIAL ASSISTANCE SHARE CAPITAL AND CHOICE OF CURRENCY 16-023 RATIONALE AND HISTORY OF THE RULE TURNING PROFITS INTO CAPITAL 16-024 THE PROHIBITION THE EXCEPTIONS CONCLUSION 16-025 SPECIFIC EXCEPTIONS GENERAL EXCEPTIONS 17. CAPITAL MAINTENANCE EXEMPTION FOR PRIVATE COMPANIES ACQUISITIONS OF OWN SHARES CIVIL REMEDIES FOR BREACH OF THE PROH THE GENERAL PROHIBITION 17-002 CONCLUSION ACQUISITION THROUGH A NOMINEE 17-003 COMPANY MAY NOT BE A MEMBER OF ITS HOLDING COMPANY 17-004 18. DISTRIBUTIONS AND TRANSFE, SPECIFIC EXCEPTIONS TO THE GENERAL PROHIBITION 17-005 DISTRIBUTIONS THE BASIC RULES REDEMPTION AND RE-PURCHASE INTRODUCTION 17-006 IDENTIFYING THE AMOUNT AVAILABLE FO REDEMPTION AND RE-PURCHASE 17-007 INTERIM AND INITIAL ACCOUNTS SOME HISTORY 17-008 INTERIM DIVIDENDS CONTENTS XXVII 15-020 15-021 15-022 16-001 16-003 16-004 16-006 16-009 16-012 16-013 16-014 16-015 16-016 16-017 16-018 16-019 16-022 16-023 16-024 16-025 17-002 17-003 17-004 17-005 17-006 17-007 17-008 GENERAL RESTRICTIONS ON REDEEMABLE SHARES AND ON REPURCHASES 17-009 CREDITOR PROTECTION: ALL COMPANIES 17-011 PRIVATE COMPANIES: REDEMPTION OR PURCHASE OUT OF CAPITAL 17-012 DIRECTORS' STATEMENT 17-014 SHAREHOLDER RESOLUTION 17-015 APPEAL TO THE COURT 17-016 LEGAL CAPITAL CONSEQUENCES 17-017 PROTECTION FOR SHAREHOLDERS 17-018 OFF-MARKET PURCHASES 17-019 MARKET PURCHASES 17-020 COMPANIES WITH A PREMIUM LISTING 17-021 PAYMENTS OTHERWISE THAN BY WAY OF THE PRICE 17-022 TREASURY SHARES 17-023 SALE OF TREASURY SHARES 17-024 WHILST THE SHARES ARE IN TREASURY 17-025 FAILURE BY THE COMPANY TO PERFORM 17-026 CONCLUSION 17-027 REDUCTION OF CAPITAL WHY IS REDUCTION OF CAPITAL ALLOWED? 17-028 THE STATUTORY PROCEDURES 17-030 PROCEDURE APPLYING TO ALL COMPANIES 17-031 CREDITOR OBJECTION 17-032 CONFIRMATION BY THE COURT 17-033 PROCEDURE AVAILABLE TO PRIVATE COMPANIES ONLY 17-035 SOLVENCY STATEMENT 17-036 REMEDIES 17-038 REDUCTION, DISTRIBUTIONS AND RE-PURCHASE 17-040 FINANCIAL ASSISTANCE RATIONALE AND HISTORY OF THE RULE 17-041 THE PROHIBITION 17-043 THE EXCEPTIONS SPECIFIC EXCEPTIONS 17-046 GENERAL EXCEPTIONS 17-047 EXEMPTION FOR PRIVATE COMPANIES 17-050 CIVIL REMEDIES FOR BREACH OF THE PROHIBITION 17-051 CONCLUSION 17-053 18. DISTRIBUTIONS AND TRANSFERS AT AN UNDERVALUE DISTRIBUTIONS 18-002 THE BASIC RULES 18-003 IDENTIFYING THE AMOUNT AVAILABLE FOR DISTRIBUTION 18-007 INTERIM AND INITIAL ACCOUNTS 18-008 INTERIM DIVIDENDS 18-009 XXVIII CONTENTS CONTENTS ADVERSE DEVELOPMENTS SUBSEQUENT TO THE ACCOUNTS 18-010 THE ROLE OF THE COURT BREACH OF COMMERCIAL MORALITY CONSEQUENCES OF UNLAWFUL DISTRIBUTIONS RECKLESSNESS AND INCOMPETENCE RECOVERY FROM MEMBERS 18-011 RECOVERY FROM DIRECTORS 18-012 DISQUALIFICATION ON GROUNDS OTHER SERIOUS OFFENCES TRANSFERS AT AN UNDERVALUE DISQUALIFICATION IN CONNECTION WITH STATUTORY RULES 18-013 FRAUDULENT OR WRONGFUL TRADING COMMON LAW 18-016 FAILURE TO COMPLY WITH REPORTING REC INTRA-GROUP TRANSFERS 18-020 REGISTER OF DISQUALIFICATION ORDER1 REFORM 18-021 BANKRUPTS 19. UNDERMINING CREDITORS' CLAIMS OTHER CASES FRAUDULENT TRADING 19-002 CONCLUSION WRONGFUL TRADING SHADOW DIRECTORS THE DECLARATION NO REASONABLE PROSPECT OF AVOIDING INSOLVENT LIQUIDATION OR 19-005 19-007 19-008 21. BREACH OF CORPORATE DUT REMEDIES INTRODUCTION ADMINISTRATION 19-010 FUNDING LITIGATION 19-012 INFORMAL INVESTIGATIONS: DISCLOSURE INFORMATION THE GENERAL DUTY IN RELATION TO CREDITORS 19-013 WHEN THE DUTY ARISES 19-014 FORMAL INVESTIGATIONS BY INSPECTOR, RELATIONSHIP TO WRONGFUL TRADING 19-015 WHEN INSPECTORS CAN BE APPOINTED . THE CREDITOR DUTY AND PREFERENCES 19-018 CONDUCT OF INSPECTIONS REMEDIES 19-019 EXTENT OF THE INSPECTORS' POWERS CONTROL OF THE INSPECTORS' POWER STATUTORY PROVISIONS ON PREFERENCES 19-020 REPORTS PHOENIX COMPANIES AND PROHIBITED NAMES 19-022 POWER OF INVESTIGATION OF COMPANY THE "PHOENIX" SYNDROME 19-023 EXCEPTIONS 19-025 LIABILITY FOR COSTS OF INVESTIGATION: CONCLUSION 19-027 FOLLOW-UP TO INVESTIGATIONS CONCLUSION PART 6 PUBLIC ENFORCEMENT 20. DISQUALIFICATION OF DIRECTORS DISQUALIFICATION ORDERS AND UNDERTAKINGS 20-002 SCOPE OF DISQUALIFICATION ORDERS AND UNDERTAKINGS 20-003 COMPENSATION 20-004 DISQUALIFICATION ON GROUNDS OF UNFITNESS 20-005 THE ROLE OF THE INSOLVENCY SERVICE 20-007 CONTENTS XXIX 18-010 18 - 011 18 - 012 18 - 013 18 - 016 18 - 020 18 - 021 19-002 19-005 19-007 19-008 19-010 19-012 19-013 19-014 19-015 19-018 19-019 19-020 19-022 19-023 19-025 19-027 20 - 002 20 - 003 20 - 004 20 - 005 20 - 007 THE ROLE OF THE COURT 20 - 008 BREACH OF COMMERCIAL MORALITY 20-009 RECKLESSNESS AND INCOMPETENCE 20 - 010 DISQUALIFICATION ON GROUNDS OTHER THAN UNFITNESS SERIOUS OFFENCES 20-012 DISQUALIFICATION IN CONNECTION WITH CIVIL LIABILITY FOR FRAUDULENT OR WRONGFUL TRADING 20 - 013 FAILURE TO COMPLY WITH REPORTING REQUIREMENTS 20 - 014 REGISTER OF DISQUALIFICATION ORDERS 20 - 015 BANKRUPTS 20 - 016 OTHER CASES 20 - 017 CONCLUSION 20 - 018 21. BREACH OF CORPORATE DUTIES: ADMINISTRATIVE REMEDIES INTRODUCTION 21-001 INFORMAL INVESTIGATIONS: DISCLOSURE OF DOCUMENTS AND INFORMATION 21-002 FORMAL INVESTIGATIONS BY INSPECTORS WHEN INSPECTORS CAN BE APPOINTED 21-005 CONDUCT OF INSPECTIONS EXTENT OF THE INSPECTORS 'POWERS POWERS 21-007 CONTROL OF THE INSPECTORS 'POWERS POWERS 21-008 REPORTS 21-010 POWER OF INVESTIGATION OF COMPANY OWNERSHIP 21-011 LIABILITY FOR COSTS OF INVESTIGATIONS 21-012 FOLLOW-UP TO INVESTIGATIONS 21-013 CONCLUSION 21-015 XXX CONTENTS PART 7 ACCOUNTS AND AUDIT 22. ACCOUNTS AND REPORTS CONTENTS OTHER INFORMATION AVAILABLE FROM THI CONFIRMATION STATEMENT OTHER FORMS OF PUBLICITY FOR THE ACCT CONSIDERATION OF THE ACCOUNTS AND INTRODUCTION 22-001 MEMBERS FINANCIAL REPORTING THE CLASSIFICATION OF COMPANIES FOR THE PURPOSES OF ANNUAL REPORTING 22-004 CIRCULATION TO THE MEMBERS CIRCULATION OF THE STRATEGIC REP LAYING THE ACCOUNTS AND REPORTS 1)6 MICRO COMPANIES 22-005 CONCLUSION SMALL COMPANIES 22-006 MEDIUM-SIZED COMPANIES 22-007 23. AUDITS AND AUDITORS LARGE COMPANIES AND PUBLIC INTEREST ENTITIES 22-008 ACCOUNTING RECORDS 22-009 INTRODUCTION THE FINANCIAL YEAR 22-010 SOURCES OF AUDIT LAW INDIVIDUAL ACCOUNTS AND GROUP ACCOUNTS 22-011 THE DUTIES OF THE AUDITOR PARENT AND SUBSIDIARY UNDERTAKINGS 22-013 OVERARCHING ISSUES PARENT COMPANIES WHICH ARE PART OF A LARGER GROUP 22-014 AUDIT EXEMPTION COMPANIES EXCLUDED FROM CONSOLIDATION FORM AND CONTENT OF ANNUAL ACCOUNTS 22-015 SMALL COMPANIES SUBSIDIARIES POSSIBLE APPROACHES 22-016 DORMANT COMPANIES TRUE AND FAIR VIEW 22-017 NON-PROFIT PUBLIC SECTOR COMPANIES . GOING CONCERN EVALUATION 22-018 COMPANIES ACT ACCOUNTS 22-019 AUDITOR INDEPENDENCE AND COMPETETS ACCOUNTING STANDARDS 22-020 REGULATORY STRUCTURE IAS ACCOUNTS 22-021 APPLYING THE REQUIREMENTS TO DIFFERENT SIZES OF COMPANY 22-022 DIRECT REGULATION OF AUDITOR INDEPI NON-INDEPENDENT PERSONS NOTES TO THE ACCOUNTS 22-023 NON-AUDIT REMUNERATION OF AUDITORS . AUDITORS BECOMING NON-INDEPENDENT NARRATIVE REPORTING 22-024 AUDITORS BECOMING PROSPECTIVELY NOT DIRECTORS' REPORT 22-025 CORPORATE GOVERNANCE STATEMENT 22-026 THE ROLE OF SHAREHOLDERS AND THE A THE STRATEGIC REPORT APPOINTMENT AND REMUNERATION OF AU RATIONALE 22-027 REMOVAL AND RESIGNATION OF AUDITORS CONTENTS OF THE STRATEGIC REPORT 22-028 REQUIREMENT FOR SHAREHOLDER RES, VERIFICATION OF NARRATIVE REPORTS 22-032 NOTIFICATIONS LIABILITY FOR MISSTATEMENTS IN NARRATIVE REPORTS 22-033 FAILURE TO RE-APPOINT AN AUDITOR WHISTLE BLOWING APPROVAL OF THE ACCOUNTS AND REPORTS BY THE SHAREHOLDERS AND THE AUDIT REPORT DIRECTORS 22-035 THE ROLE OF THE AUDIT COMMITTEE OF THE AUDITOR'S REPORT 22-036 INTRODUCTION COMPOSITION OF THE AUDIT COMMITTEE REVISION OF DEFECTIVE ACCOUNTS AND REPORTS 22-037 FUNCTIONS OF THE AUDIT COMMITTEE FILING ACCOUNTS AND REPORTS WITH THE REGISTRAR 22-038 AUDITOR COMPETENCE SPEED OF FILING 22-039 QUALIFICATIONS MODIFICATIONS OF THE FULL FILING REQUIREMENTS 22-040 CONTENTS XXXI OTHER INFORMATION AVAILABLE FROM THE REGISTRAR 22-041 CONFIRMATION STATEMENT 22-042 OTHER FORMS OF PUBLICITY FOR THE ACCOUNTS AND REPORTS 22-043 22-001 22-004 22-005 22-006 22-007 22-008 22-009 22-010 22-011 22-013 22-014 22-015 22-016 22-017 22-018 22-019 22-020 22-021 22-022 22-023 22-024 22-025 22-026 22-027 22-028 22-032 22-033 22-035 22-036 22-037 22-038 22-039 22-040 CONSIDERATION OF THE ACCOUNTS AND REPORTS BY THE MEMBERS CIRCULATION TO THE MEMBERS 22-044 CIRCULATION OF THE STRATEGIC REPORT ONLY 22-045 LAYING THE ACCOUNTS AND REPORTS BEFORE THE MEMBERS 22-046 CONCLUSION 22-047 23. AUDITS AND AUDITORS INTRODUCTION 23-001 SOURCES OF AUDIT LAW 23-002 THE DUTIES OF THE AUDITOR 23-003 OVERARCHING ISSUES 23-004 AUDIT EXEMPTION SMALL COMPANIES 23-005 SUBSIDIARIES 23-007 DORMANT COMPANIES 23-008 NON-PROFIT PUBLIC SECTOR COMPANIES 23-009 AUDITOR INDEPENDENCE AND COMPETENCE 23-010 REGULATORY STRUCTURE 23-011 DIRECT REGULATION OF AUDITOR INDEPENDENCE NON-INDEPENDENT PERSONS 23-012 NON-AUDIT REMUNERATION OF AUDITORS 23-013 AUDITORS BECOMING NON-INDEPENDENT 23-014 AUDITORS BECOMING PROSPECTIVELY NON-INDEPENDENT 23-015 THE ROLE OF SHAREHOLDERS AND THE AUDIT AUTHORITIES 23-016 APPOINTMENT AND REMUNERATION OF AUDITORS 23-017 REMOVAL AND RESIGNATION OF AUDITORS REQUIREMENT FOR SHAREHOLDER RESOLUTION 23-018 NOTIFICATIONS 23-019 FAILURE TO RE-APPOINT AN AUDITOR 23-020 WHISTLE BLOWING 23-021 SHAREHOLDERS AND THE AUDIT REPORT 23-022 THE ROLE OF THE AUDIT COMMITTEE OF THE BOARD INTRODUCTION 23-023 COMPOSITION OF THE AUDIT COMMITTEE 23-024 FUNCTIONS OF THE AUDIT COMMITTEE 23-025 AUDITOR COMPETENCE 23-026 QUALIFICATIONS 23-027 CONTENTS CONTENTS AUDITING STANDARDS 23-028 CONCLUSION QUALITY ASSURANCE, INVESTIGATION AND DISCIPLINE 23-029 EMPOWERING AUDITORS 23-030 25. PUBLIC OFFERS OF SHARES LIABILITY FOR NEGLIGENT AUDIT INTRODUCTION THE NATURE OF THE ISSUE PROVIDING AUDIT SERVICES THROUGH BODIES WITH LIMITED 23-031 PUBLIC OFFERS AND INTRODUCTIONS TO PI REGULATORY GOALS LIABILITY 23-033 LISTING PREMIUM AND STANDARD LISTING CLAIMS BY THE AUDIT CLIENT RECOGNISED EXCHANGES, REGULATED MS ESTABLISHING LIABILITY 23-035 TRADING FACILITIES LIMITING LIABILITY 23-038 LISTING AND REGULATED MARKETS. GENERAL DEFENCES 23-039 COMPETITION AND CROSS-LISTING. LIMITATION BY CONTRACT 23-042 THE REGULATORY STRUCTURE CRIMINAL LIABILITY 23-043 TYPES OF PUBLIC OFFER OFFERS FOR SALE OR SUBSCRIPTION CLAIMS BY THIRD PARTIES PLACINGS THE DUTY OF CARE IN PRINCIPLE 23-044 RIGHTS OFFERS ASSUMPTION OF RESPONSIBILITY 23-046 OTHER ISSUES 23-048 ADMISSION TO LISTING AND TO TRADING MARKET CONCLUSION 23-049 ELIGIBILITY CRITERIA FOR THE OFFICIAL LIST EXCHANGE ADMISSION STANDARDS PART 8 THE PROSPECTUS EQUITY FINANCE THE PUBLIC OFFER TRIGGER EXEMPTIONS AND REDUCED DISCLOSURE: 24. SHARE ISSUES: GENERAL RULES THE ADMISSION TO TRADING TRIGGER PUBLIC AND NON-PUBLIC OFFERS 24-002 FUNCTION OF THE PROSPECTUSES SUMMARY DIRECTORS' AUTHORITY TO ALLOT SHARES 24-004 COMPOSITION AND CONTENT OF THE SUPPLEMENTARY PROSPECTUS PRE-EMPTIVE RIGHTS VERIFYING THE PROSPECTUSES POLICY ISSUES 24-006 REPUTATIONAL INTERMEDIARIES THE SCOPE OF THE STATUTORY RIGHT 24-007 VETTING BY THE FCA WAIVER 24-009 AUTHORISATION TO OMIT MATERIAL. SANCTIONS 24-010 PUBLICATION OF PROSPECTUSES AND OTHE LISTED COMPANIES 24-011 PRE-EMPTION GUIDELINES 24-012 SANCTIONS CRITICISM AND FURTHER MARKET DEVELOPMENTS 24-013 COMPENSATION UNDER FSMA 2000 . LIABILITY TO COMPENSATE THE TERMS OF ISSUE 24-015 DEFENCES PERSONS RESPONSIBLE ALLOTMENT 24-016 CIVIL REMEDIES AVAILABLE ELSEWHERE . RENOUNCEABLE ALLOTMENTS 24-017 DAMAGES FAILURE OF THE OFFER 24-018 RESCISSION REGISTRATION 24-019 BREACH OF CONTRACT BEARER SHARES 24-020 CRIMINAL AND REGULATORY SANCTIONS. EX ANTE CONTROLS CONTENTS XXXIII CONCLUSION 24-021 25. PUBLIC OFFERS OF SHARES INTRODUCTION 25-001 PUBLIC OFFERS AND INTRODUCTIONS TO PUBLIC MARKETS 25-002 REGULATORY GOALS 25-003 LISTING 25-005 PREMIUM AND STANDARD LISTING 25-006 RECOGNISED EXCHANGES, REGULATED MARKETS AND MULTI-LATERAL TRADING FACILITIES 25-007 LISTING AND REGULATED MARKETS 25-008 COMPETITION AND CROSS-LISTING 25-009 THE REGULATORY STRUCTURE 25-010 TYPES OF PUBLIC OFFER 25-011 OFFERS FOR SALE OR SUBSCRIPTION 25-012 PLACINGS 25-013 RIGHTS OFFERS 25-014 ADMISSION TO LISTING AND TO TRADING ON A PUBLIC MARKET 25-015 ELIGIBILITY CRITERIA FOR THE OFFICIAL LIST 25-016 EXCHANGE ADMISSION STANDARDS 25-017 THE PROSPECTUS 25-018 THE PUBLIC OFFER TRIGGER 25-019 EXEMPTIONS AND REDUCED DISCLOSURE: PUBLIC OFFERS 25-020 THE ADMISSION TO TRADING TRIGGER 25-022 FUNCTION OF THE PROSPECTUSES 25-023 SUMMARY 25-024 COMPOSITION AND CONTENT OF THE PROSPECTUS 25-025 SUPPLEMENTARY PROSPECTUS 25-026 VERIFYING THE PROSPECTUSES 25-027 REPUTATIONAL INTERMEDIARIES 25-028 VETTING BY THE FCA 25-029 AUTHORISATION TO OMIT MATERIAL 25-030 PUBLICATION OF PROSPECTUSES AND OTHER MATERIAL 25-031 SANCTIONS 25-032 COMPENSATION UNDER FSMA 2000 25-033 LIABILITY TO COMPENSATE 25-034 DEFENCES 25-035 PERSONS RESPONSIBLE 25-036 CIVIL REMEDIES AVAILABLE ELSEWHERE 25-037 DAMAGES 25-038 RESCISSION 25-040 BREACH OF CONTRACT 25-041 CRIMINAL AND REGULATORY SANCTIONS 25-042 EX ANTE CONTROLS 25-043 23-028 23-029 23-030 23-031 23-033 23-035 23-038 23-039 23-042 23-043 23-044 23-046 23-048 23-049 24-002 24-004 24-006 24-007 24-009 24-010 24-011 24-012 24-013 24-015 24-016 24-017 24-018 24-019 24-020 XLV CONTENTS EX POST SANCTIONS CROSS-BORDER OFFERS AND ADMISSIONS DE-LISTING CONCLUSION 25-044 25-045 25-046 25-047 CONTENT, SANCTIONS COMPENSATION FOR MISLEADING STATER I ! COMPENSATION VIA FCA ACTION ADMINISTRATIVE PENALTIES FOR BREACHE CRIMINAL SANCTIONS 26. TRANSFERS OF SHARES CERTIFICATED AND UNCERTIFICATED SHARES TRANSFERS OF CERTIFICATED SHARES 26-003 CONCLUSION 28. TAKEOVERS INTRODUCTION LEGAL OWNERSHIP 26-005 THE TAKEOVER CODE AND PANEL ESTOPPEL 26-006 THE PANEL AND ITS METHODS OF OPERAT RESTRICTIONS ON TRANSFERABILITY 26-007 THE STATUS AND COMPOSITION OF TI THE POSITIONS OF TRANSFEROR AND TRANSFEREE PRIOR TO INTERNAL APPEALS REGISTRATION 26-008 JUDICIAL REVIEW PRIORITIES BETWEEN COMPETING TRANSFEREES 26-010 POWERS OF THE PANEL THE COMPANY'S LIEN 26-011 SANCTIONS THE "COLD SHOULDER" TRANSFERS OF UNCERTIFICATED SHARES 26-012 CRIMINAL SANCTIONS TITLE TO UNCERTIFICATED SHARES AND THE PROTECTION OF TRANSFEREES 26-014 THE SCOPE OF THE CITY CODE TRANSACTIONS IN SCOPE THE REGISTER 26-016 COMPANIES IN SCOPE RECTIFICATION TRANSMISSION OF SHARES BY OPERATION OF LAW 27. CONTINUING OBLIGATIONS AND DISCLOSURE OF INFORMATION TO THE MARKET 26-019 26-021 THE STRUCTURE OF THE CODE ALLOCATION OF THE ACCEPTANCE DECIS POST-BID DEFENSIVE MEASURES DEFENSIVE MEASURES IN ADVANCE OF TH THE BREAK-THROUGH RULE INTRODUCTION 27-001 DISCLOSURE OF CONTROL STRUCTURES PERIODIC REPORTING OBLIGATIONS 27-003 TARGET MANAGEMENT PROMOTION OF A DISCLOSURE AND INDEPENDENT ADVICE . EPISODIC OR AD HOC REPORTING REQUIREMENTS 27-005 COMPENSATION FOR LOSS OF OFFICE DISCLOSURE OF DIRECTORS' INTERESTS 27-007 GRATUITOUS PAYMENTS WHO HAS TO DISCLOSE? 27-008 CONTRACTUAL COMPENSATION WHAT HAS TO BE DISCLOSED, TO WHOM AND WHEN? 27-009 COMPETING BIDS DISCLOSURE OF MAJOR VOTING SHAREHOLDINGS RATIONALE AND HISTORY THE SCOPE OF THE DISCLOSURE OBLIGATION 27-011 A DUTY TO AUCTION OR A DUTY TO BI BINDING THE TARGET BOARD BY CORN EQUALITY OF TREATMENT OF TARGET SH WHICH COMPANIES ARE SUBJECT TO THE REGIME? 27-013 PARTIAL BIDS WHEN DOES THE DISCLOSURE OBLIGATION ARISE? 27-014 LEVEL AND TYPE OF CONSIDERATION INDIRECT HOLDINGS OF VOTING RIGHTS 27-015 MANDATORY OFFERS FINANCIAL INSTRUMENTS 27-016 EXEMPTIONS AND RELAXATIONS EXEMPTIONS 27-018 ACTING IN CONCERT THE DISCLOSURE PROCESS 27-019 INTERESTS IN SHARES CONTENTS XXXV 25-044 25-045 25-046 25-047 26-003 26-005 26-006 26-007 26-008 26-010 26-011 26-012 26-014 26-016 26-019 26-021 (SURE OF 27-001 27-003 27-005 27-007 27-008 27-009 27-011 27-013 27-014 27-015 27-016 27-018 27-019 SANCTIONS 27-020 COMPENSATION FOR MISLEADING STATEMENTS TO THE MARKET 27-021 COMPENSATION VIA FCA ACTION 27-024 ADMINISTRATIVE PENALTIES FOR BREACHES 27-026 CRIMINAL SANCTIONS 27-027 CONCLUSION 27-028 28. TAKEOVERS INTRODUCTION 28 - 001 THE TAKEOVER CODE AND PANEL 28 - 003 THE PANEL AND ITS METHODS OF OPERATION THE STATUS AND COMPOSITION OF THE PANEL 28-004 INTERNAL APPEALS 28-005 JUDICIAL REVIEW 28-006 POWERS OF THE PANEL 28-007 SANCTIONS 28-009 THE "COLD SHOULDER" 28-011 CRIMINAL SANCTIONS 28-012 THE SCOPE OF THE CITY CODE 28-013 TRANSACTIONS IN SCOPE 28 - 014 COMPANIES IN SCOPE 28 - 015 THE STRUCTURE OF THE CODE 28 - 016 ALLOCATION OF THE ACCEPTANCE DECISION 28 - 017 POST-BID DEFENSIVE MEASURES 28 - 018 DEFENSIVE MEASURES IN ADVANCE OF THE BID 28 - 020 THE BREAK-THROUGH RULE 28-022 DISCLOSURE OF CONTROL STRUCTURES 28-024 TARGET MANAGEMENT PROMOTION OF AN OFFER 28-025 DISCLOSURE AND INDEPENDENT ADVICE 28 - 026 COMPENSATION FOR LOSS OF OFFICE 28 - 027 GRATUITOUS PAYMENTS 28-028 CONTRACTUAL COMPENSATION 28-031 COMPETING BIDS 28 - 032 A DUTY TO AUCTION OR A DUTY TO BE EVEN-HANDED? 28-033 BINDING THE TARGET BOARD BY CONTRACT 28-035 EQUALITY OF TREATMENT OF TARGET SHAREHOLDERS 28-036 PARTIAL BIDS 28 - 037 LEVEL AND TYPE OF CONSIDERATION 28 - 038 MANDATORY OFFERS 28 - 040 EXEMPTIONS AND RELAXATIONS 28-042 ACTING IN CONCERT 28-043 INTERESTS IN SHARES 28-044 CONTENTS CONTENTS. CONCLUSION 28-045 TO WHOM MUST AN OFFER BE MADE? 28-046 WAIT AND SEE 28 - 047 THE PROCEDURE FOR MAKING A BID 28 - 048 BEFORE ANY PUBLIC ANNOUNCEMENT OF A BID 28 - 049 COMPANY-TRIGGERED DISCLOSURES 28 - 050 INSIDER TRADING 28 - 054 THE FIRM INTENTION TO OFFER 28 - 055 PUT UP OR SHUT UP 28 - 056 EVALUATION OF THE OFFER CONDITIONS 28 - 058 TIMETABLE 28 - 059 BID DOCUMENTATION 28 - 061 EMPLOYEES' INTERESTS 28 - 062 PROFIT FORECASTS AND VALUATIONS 28 - 063 LIABILITY FOR MISSTATEMENTS 28 - 064 DEALINGS IN SHARES 28 - 065 SOLICITATION 28 - 066 THE POST-OFFER PERIOD 28 - 068 BIDDING AGAIN 28 - 069 THE BIDDER'S RIGHT TO SQUEEZE OUT THE MINORITY 28 - 070 CHALLENGING THE SQUEEZE-OUT 28 - 074 THE SELL-OUT RIGHT OF NON-ACCEPTING SHAREHOLDERS 28 - 076 CONCLUSION 28 - 078 29. ARRANGEMENTS, RECONSTRUCTIONS AND MERGERS THE FUNCTION OF SCHEMES OF ARRANGEMENT 29-001 MERGERS 29-002 TAKEOVERS 29-003 OTHER CASES 29-004 CREDITORS' SCHEMES 29-005 THE MECHANICS OF THE SCHEME OF ARRANGEMENT 29-006 PROPOSING A SCHEME 29-007 CONVENING AND CONDUCTING MEETINGS 29-008 THE SANCTION OF THE COURT 29-011 COMPANIES IN FINANCIAL DIFFICULTY 29-012 ADDITIONAL REQUIREMENTS FOR MERGERS AND DIVISIONS OF PUBLIC COMPANIES 29-013 CROSS-BORDER MERGERS 29-016 REORGANISATION UNDER 55.110 AND 111 OF THE IA 1986 29-017 CONCLUSION 29-019 30. MARKET ABUSE INTRODUCTION APPROACHES TO REGULATING INSIDER I DISCLOSURE PROHIBITING TRADING RELYING ON THE GENERAL LAW DIRECTORS 'FIDUCIARY DUTIES BREACH OF CONFIDENCE MISREPRESENTATION PROHIBITING INSIDER DEALING THE CRIMINAL JUSTICE ACT 1993 PT V REGULATING MARKETS REGULATING INDIVIDUALS INSIDE INFORMATION PARTICULAR SECURITIES OR ISSUERS SPECIFIC OR PRECISE MADE PUBLIC IMPACT ON PRICE INSIDERS RECIPIENTS FROM INSIDERS MENTAL ELEMENT PROHIBITED ACTS DEFENCES GENERAL DEFENCES SPECIAL DEFENCES CRIMINAL PROHIBITIONS ON MARKET M REGULATORY CONTROL OF MARKET ABL BACKGROUND INSIDER DEALING DEALING INSIDE INFORMATION PERSONS COVERED AND EXEMPTION: MARKET MANIPULATION TRANSACTIONS AND ORDERS TO TRAD DISSEMINATION OF INFORMATION MISLEADING BEHAVIOUR AND MARK ACCEPTED MARKET PRACTICES SAFE HARBOURS SHARE BUY-BACKS PRICE STABILISATION ENFORCEMENT AND SANCTIONS INVESTIGATION INTO MARKET ABUSE CONTENTS XXXVII 30. MARKET ABUSE INTRODUCTION 30-001 APPROACHES TO REGULATING INSIDER DEALING DISCLOSURE 30-005 PROHIBITING TRADING 30-006 RELYING ON THE GENERAL LAW 30-007 DIRECTORS 'FIDUCIARY DUTIES 30-008 BREACH OF CONFIDENCE 30-009 MISREPRESENTATION 30-010 PROHIBITING INSIDER DEALING 30-011 THE CRIMINAL JUSTICE ACT 1993 PT V 30-012 REGULATING MARKETS 30-013 REGULATING INDIVIDUALS 30-015 INSIDE INFORMATION 30-016 PARTICULAR SECURITIES OR ISSUERS 30-017 SPECIFIC OR PRECISE 30-018 MADE PUBLIC 30-019 IMPACT ON PRICE 30-021 INSIDERS 30-022 RECIPIENTS FROM INSIDERS 30-023 MENTAL ELEMENT 30-024 PROHIBITED ACTS 30-025 DEFENCES 30-026 GENERAL DEFENCES 30-027 SPECIAL DEFENCES 30-028 CRIMINAL PROHIBITIONS ON MARKET MANIPULATION 30-029 REGULATORY CONTROL OF MARKET ABUSE BACKGROUND 30-030 INSIDER DEALING 30-031 DEALING 30-032 INSIDE INFORMATION 30-034 PERSONS COVERED AND EXEMPTIONS 30-035 MARKET MANIPULATION TRANSACTIONS AND ORDERS TO TRADE 30-036 DISSEMINATION OF INFORMATION 30-037 MISLEADING BEHAVIOUR AND MARKET DISTORTION 30-038 ACCEPTED MARKET PRACTICES 30-039 SAFE HARBOURS 30-040 SHARE BUY-BACKS 30-041 PRICE STABILISATION 30-042 ENFORCEMENT AND SANCTIONS 30-043 INVESTIGATION INTO MARKET ABUSE 30-044 28-045 28-046 28-047 28-048 28-049 28-050 28-054 28-055 28-056 28-058 28-059 28-061 28-062 28-063 28-064 28-065 28-066 28-068 28-069 28-070 28-074 28-076 28-078 RGERS 29-001 29-002 29-003 29-004 29-005 29-006 29-007 29-008 29-011 29-012 C 29-013 29-016 29-017 29-019 CONTENTS SANCTIONS FOR MARKET ABUSE 30-046 ADMINISTRATIVE PENALTIES 30-047 INJUNCTIONS 30-048 RESTITUTION ORDERS 30-049 CRIMINAL SANCTIONS 30-050 DISQUALIFICATION 30-051 CONCLUSION PART 9 DEBT FINANCE 31. DEBTS AND DEBT SECURITIES INTRODUCTION 31-001 DIFFERENCE BETWEEN DEBT (LOANS), EQUITY (SHARES) AND HYBRID INSTRUMENTS 31-002 SHOULD A COMPANY USE DEBT OR EQUITY IN ITS FINANCING? 31-004 DIFFERENT STRUCTURES IN DEBT FINANCING TERMINOLOGY 31-005 DEFINING A "DEBENTURE" 31-006 SMALL AND LARGE SCALE LOANS 31-008 DEBTS AND "DEBT SECURITIES" 31-009 SINGLE AND MULTIPLE LENDERS SINGLE LENDERS 31-010 SYNDICATED LOANS 31-011 DEBT SECURITIES: DISTINGUISHING "BONDS" AND "STOCKS" 31-012 DEBT SECURITIES: TRUSTEES FOR THE BONDHOLDERS OR STOCKHOLDERS 31-014 ISSUE OF DEBT SECURITIES PRIVATE ISSUES 31-015 PUBLIC ISSUES OF DEBT SECURITIES 31-017 SPECIAL RULES 31-019 CONTENT: CONCLUSION 32. COMPANY CHARGES INTRODUCTION SECURITY INTERESTS 30-052 THE LEGAL NATURE OF SECURITY INTEREST! THE BENEFITS OF TAKING SECURITY THE FLOATING CHARGE THE PRACTICAL DIFFERENCES BETWEEN FI CHARGES CRYSTALLISATION AUTOMATIC CRYSTALLISATION PRIORITY ACCORDED TO FLOATING CHARGE NEGATIVE PLEDGE CLAUSES SUBORDINATION AGREEMENTS STATUTORY LIMITATIONS ON THE FLOATING (0 DEFECTIVE FLOATING CHARGES (II) PREFERENTIAL CREDITORS (III)SHARING WITH UNSECURED CRE PART" (IV) COSTS OF A MORATORIUM AND (V) POWERS OF THE ADMINISTRATOR DISTINGUISHING BETWEEN FIXED AND FH REGISTRATION OF CHARGES THE PURPOSE OF A REGISTRATION SYSTEM THE REFORMED REGISTRATION SYSTEM WHAT HAS TO BE REGISTERED THE MECHANICS OF REGISTRATION GEOGRAPHICAL REACH OF THE REGIS, THE EFFECT OF FAILURE TO REGISTER LATE REGISTRATION DEFECTIVE REGISTRATION EFFECT OF REGISTRATION REFORM PROPOSALS AND REGISTRATION SY ENFORCEMENT OF FLOATING CHARGES RECEIVERS AND ADMINISTRATORS RECEIVERSHIP APPOINTMENT OF AN ADMINISTRATIV FUNCTION AND STATUS OF THE RECEII RECEIVER THE RECEIVER'S LIABILITY WITH RESP PUBLICITY OF APPOINTMENT AND RED ADMINISTRATION FUNCTION TRANSFER OF DEBTS AND DEBT SECURITIES TRANSFER OF SIMPLE DEBTS 31-020 TRANSFER OF DEBT SECURITIES 31-021 PROTECTIVE GOVERNANCE REGIMES IN DEBTS GENERAL 31-023 DEFINING REPAYMENT TERMS 31-024 PROTECTING THE DEBT HOLDER AGAINST THE BORROWER'S POSSIBLE DEFAULT 31-025 PROTECTING MULTIPLE LENDERS FROM THEIR LEAD INTERMEDIARY 31-027 PROTECTING MULTIPLE LENDERS FROM EACH OTHER 31-029 CONTENTS XXXIX CONCLUSION 31-031 32. COMPANY CHARGES INTRODUCTION 32-001 SECURITY INTERESTS THE LEGAL NATURE OF SECURITY INTERESTS 32-002 THE BENEFITS OF TAKING SECURITY 32-004 THE FLOATING CHARGE THE PRACTICAL DIFFERENCES BETWEEN FIXED AND FLOATING CHARGES 32-005 CRYSTALLISATION 32-008 AUTOMATIC CRYSTALLISATION 32-009 PRIORITY ACCORDED TO FLOATING CHARGES 32-010 NEGATIVE PLEDGE CLAUSES 32-011 SUBORDINATION AGREEMENTS 32-012 STATUTORY LIMITATIONS ON THE FLOATING CHARGE 32-013 N DEFECTIVE FLOATING CHARGES 32-014 (II) PREFERENTIAL CREDITORS 32-015 (III)SHARING WITH UNSECURED CREDITORS-THE "PRESCRIBED PART" 32-016 (IV)COSTS OF A MORATORIUM AND LIQUIDATION 32-017 (V) POWERS OF THE ADMINISTRATOR 32-018 DISTINGUISHING BETWEEN FIXED AND FLOATING CHARGES 32-019 REGISTRATION OF CHARGES THE PURPOSE OF A REGISTRATION SYSTEM 32-022 THE REFORMED REGISTRATION SYSTEM WHAT HAS TO BE REGISTERED 32-024 THE MECHANICS OF REGISTRATION 32-025 GEOGRAPHICAL REACH OF THE REGISTRATION PROVISIONS 32-026 THE EFFECT OF FAILURE TO REGISTER 32-027 LATE REGISTRATION 32-028 DEFECTIVE REGISTRATION 32-029 EFFECT OF REGISTRATION 32-030 REFORM PROPOSALS AND REGISTRATION SYSTEMS ELSEWHERE 32-031 ENFORCEMENT OF FLOATING CHARGES RECEIVERS AND ADMINISTRATORS 32-032 RECEIVERSHIP APPOINTMENT OF AN ADMINISTRATIVE RECEIVER 32-035 FUNCTION AND STATUS OF THE RECEIVER AND ADMINISTRATIVE RECEIVER 32-036 THE RECEIVER'S LIABILITY WITH RESPECT TO CONTRACTS 32-038 PUBLICITY OF APPOINTMENT AND REPORTS 32-040 ADMINISTRATION FUNCTION 32-041 30-046 30-047 30-048 30-049 30-050 30-051 30-052 31-001 31-002 31-004 31-005 31-006 31-008 31-009 31-010 31-011 31-012 31-014 31-015 31-017 31-019 31-020 31-021 31-023 31-024 31-025 31-027 31-029 XL CONTENTS APPOINTMENT 32-042 POWERS AND DUTIES 32-043 PROTECTIONS FOR CREDITORS AND MEMBERS AS AGAINST THE ADMINISTRATOR 32-045 PUBLICATION OF APPOINTMENT 32-046 ADMINISTRATION EXPENSES 32-047 END OF ADMINISTRATION 32-048 CONCLUSION 32-049 CONTENTS BENEFIT OF THE STATUTORY CLAW HA CONTRIBUTIONS PROOF OF DEBTS AND MANDATORY INSOLL DISTRIBUTION OF THE COMPANY'S ASSET DISSOLUTION DISSOLUTIONS FOLLOWING WINDING UP STRIKING OFF OF DEFUNCT COMPANIES COURT ORDERED DISSOLUTIONS RESURRECTION OF DISSOLVED COMPANI1 ADMINISTRATIVE RESTORATION RESTORATION BY THE COURT CONCLUSION PART 10 WINDING UP AND ITS CONSEQUENCES 33. MANAGING DISTRESSED OR DEFUNCT COMPANIES INTRODUCTION 33-001 OBTAINING A MORATORIUM 33-002 ADMINISTRATION 33-003 TYPES OF WINDING UP 33-004 WINDING UP BY THE COURT GROUNDS FOR WINDING UP 33-005 WHO MAY PETITION FOR A COURT ORDERED WINDING UP? 33-006 PROOF THAT A COMPANY IS UNABLE TO PAY ITS DEBTS 33-007 THE COURT'S DISCRETION 33-008 LIQUIDATORS, PROVISIONAL LIQUIDATORS AND OFFICIAL RECEIVERS 33-009 TIMING OF COMMENCEMENT OF WINDING UP 33-010 VOLUNTARY WINDING UP-GENERAL INSTIGATION OF WINDING UP 33-011 TIMING OF COMMENCEMENT OF WINDING UP 33-012 MEMBERS' VOLUNTARY WINDING UP DECLARATION OF SOLVENCY 33-013 APPOINTMENT AND OBLIGATIONS OF LIQUIDATOR 33-014 CREDITORS' VOLUNTARY WINDING UP INSTIGATION OF WINDING UP 33-015 APPOINTMENT OF LIQUIDATOR 33-016 "LIQUIDATION COMMITTEE" 33-017 POWERS AND DUTIES OF THE LIQUIDATOR 33-018 COLLECTION, REALISATION AND DISTRIBUTION OF THE COMPANY'S ASSETS MAXIMISING THE ASSETS AVAILABLE FOR DISTRIBUTION 33-019 STATUTORY "CLAW BACK" AND AVOIDANCE PROVISIONS 33-020 THE COMMON LAW "ANTI-DEPRIVATION PRINCIPLE" 33-021 INDEX 32-042 CONTENTS BENEFIT OF THE STATUTORY CLAW BACKS AND WRONGDOER XLI 32-043 CONTRIBUTIONS 33-022 I THE PROOF OF DEBTS AND MANDATORY INSOLVENCY SET OFF 33-023 32-045 DISTRIBUTION OF THE COMPANY'S ASSETS 33-024 32-046 DISSOLUTION 33-025 I 32-048 32-047 DISSOLUTIONS FOLLOWING WINDING UP STRIKING OFF OF DEFUNCT COMPANIES 33-026 33-028 32-049 COURT ORDERED DISSOLUTIONS 33-030 RESURRECTION OF DISSOLVED COMPANIES 33-031 ADMINISTRATIVE RESTORATION 33-032 RESTORATION BY THE COURT 33-033 CONCLUSION 33-034 IPANIES 33-001 PAGE INDEX 1243 33-002 33-003 33-004 33-005 2 33-006 33-007 33-008 33-009 33-010 33-011 33-012 33-013 33-014 33-015 33-016 33-017 33-018 33-019 33-020 33-021
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author	Davies, Paul L. 1944- Worthington, Sarah 1955-
author_GND	(DE-588)115462600 (DE-588)138508763 (DE-588)1042332002 (DE-588)171162226 (DE-588)129526118
author_facet	Davies, Paul L. 1944- Worthington, Sarah 1955-
author_role	aut aut
author_sort	Davies, Paul L. 1944-
author_variant	p l d pl pld s w sw
building	Verbundindex
bvnumber	BV047314602
classification_rvk	PU 4364
ctrlnum	(OCoLC)1261743828 (DE-599)BVBBV047314602
dewey-full	346.41/066
dewey-hundreds	300 - Social sciences
dewey-ones	346 - Private law
dewey-raw	346.41/066
dewey-search	346.41/066
dewey-sort	3346.41 266
dewey-tens	340 - Law
discipline	Rechtswissenschaft
discipline_str_mv	Rechtswissenschaft
edition	Eleventh edition
format	Book
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geographic	Großbritannien (DE-588)4022153-2 gnd
geographic_facet	Großbritannien
id	DE-604.BV047314602
illustrated	Not Illustrated
index_date	2024-07-03T17:27:06Z
indexdate	2024-11-25T13:01:51Z
institution	BVB
isbn	9780414088115
language	English
oai_aleph_id	oai:aleph.bib-bvb.de:BVB01-032717461
oclc_num	1261743828
open_access_boolean
owner	DE-188 DE-M382 DE-945 DE-11 DE-523 DE-384
owner_facet	DE-188 DE-M382 DE-945 DE-11 DE-523 DE-384
physical	clxii, 1294 Seiten
publishDate	2021
publishDateSearch	2021
publishDateSort	2021
publisher	Sweet & Maxwell Thomson Reuters
record_format	marc
series2	Classics series
spelling	Davies, Paul L. 1944- Verfasser (DE-588)115462600 aut Gower: Principles of modern company law Paul L. Davies QC (hon), FBA, Allen & Overy Professor of Corporate Law Emeritus, Senior Research Fellow, Harris Manchester College, University of Oxford, Sarah Worthington, DBE, QC (hon), FBA, Downing Professor of the Laws of England, University of Cambridge, Christopher Hare, Travers Smith Associate Professor of Corporate and Commercial Law, University of Oxford, Tutorial Fellow, Somerville College ; with a contribution from Dr. Eva Micheler, London School of Economics and Political Science, Ao Universitätsprofessor, Wirtschaftsuniversität Wien Principles of modern company law Eleventh edition London Sweet & Maxwell [2021] London Thomson Reuters © 2021 clxii, 1294 Seiten txt rdacontent n rdamedia nc rdacarrier Classics series Recht (DE-588)4048737-4 gnd rswk-swf Unternehmen (DE-588)4061963-1 gnd rswk-swf Kapitalgesellschaft (DE-588)4129472-5 gnd rswk-swf Handelsrecht (DE-588)4023249-9 gnd rswk-swf Finanzierung (DE-588)4017182-6 gnd rswk-swf Gesellschaftsrecht (DE-588)4020646-4 gnd rswk-swf Großbritannien (DE-588)4022153-2 gnd rswk-swf Großbritannien (DE-588)4022153-2 g Kapitalgesellschaft (DE-588)4129472-5 s DE-604 Finanzierung (DE-588)4017182-6 s Unternehmen (DE-588)4061963-1 s Recht (DE-588)4048737-4 s Gesellschaftsrecht (DE-588)4020646-4 s Handelsrecht (DE-588)4023249-9 s Worthington, Sarah 1955- Verfasser (DE-588)138508763 aut Hare, Christopher Sonstige (DE-588)1042332002 oth Micheler, Eva-Maria (DE-588)171162226 oth Gower, Laurence C. B. 1913-1997 Begründer eines Werks (DE-588)129526118 oth Erscheint auch als Online-Ausgabe, proview 978-0-414-08815-3 Erscheint auch als Online-Ausgabe 978-0-414-08813-9 Digitalisierung Bibliothek HTW Berlin application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=032717461&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis
spellingShingle	Davies, Paul L. 1944- Worthington, Sarah 1955- Gower: Principles of modern company law Recht (DE-588)4048737-4 gnd Unternehmen (DE-588)4061963-1 gnd Kapitalgesellschaft (DE-588)4129472-5 gnd Handelsrecht (DE-588)4023249-9 gnd Finanzierung (DE-588)4017182-6 gnd Gesellschaftsrecht (DE-588)4020646-4 gnd
subject_GND	(DE-588)4048737-4 (DE-588)4061963-1 (DE-588)4129472-5 (DE-588)4023249-9 (DE-588)4017182-6 (DE-588)4020646-4 (DE-588)4022153-2
title	Gower: Principles of modern company law
title_alt	Principles of modern company law
title_auth	Gower: Principles of modern company law
title_exact_search	Gower: Principles of modern company law
title_exact_search_txtP	Gower: Principles of modern company law
title_full	Gower: Principles of modern company law Paul L. Davies QC (hon), FBA, Allen & Overy Professor of Corporate Law Emeritus, Senior Research Fellow, Harris Manchester College, University of Oxford, Sarah Worthington, DBE, QC (hon), FBA, Downing Professor of the Laws of England, University of Cambridge, Christopher Hare, Travers Smith Associate Professor of Corporate and Commercial Law, University of Oxford, Tutorial Fellow, Somerville College ; with a contribution from Dr. Eva Micheler, London School of Economics and Political Science, Ao Universitätsprofessor, Wirtschaftsuniversität Wien
title_fullStr	Gower: Principles of modern company law Paul L. Davies QC (hon), FBA, Allen & Overy Professor of Corporate Law Emeritus, Senior Research Fellow, Harris Manchester College, University of Oxford, Sarah Worthington, DBE, QC (hon), FBA, Downing Professor of the Laws of England, University of Cambridge, Christopher Hare, Travers Smith Associate Professor of Corporate and Commercial Law, University of Oxford, Tutorial Fellow, Somerville College ; with a contribution from Dr. Eva Micheler, London School of Economics and Political Science, Ao Universitätsprofessor, Wirtschaftsuniversität Wien
title_full_unstemmed	Gower: Principles of modern company law Paul L. Davies QC (hon), FBA, Allen & Overy Professor of Corporate Law Emeritus, Senior Research Fellow, Harris Manchester College, University of Oxford, Sarah Worthington, DBE, QC (hon), FBA, Downing Professor of the Laws of England, University of Cambridge, Christopher Hare, Travers Smith Associate Professor of Corporate and Commercial Law, University of Oxford, Tutorial Fellow, Somerville College ; with a contribution from Dr. Eva Micheler, London School of Economics and Political Science, Ao Universitätsprofessor, Wirtschaftsuniversität Wien
title_short	Gower: Principles of modern company law
title_sort	gower principles of modern company law
topic	Recht (DE-588)4048737-4 gnd Unternehmen (DE-588)4061963-1 gnd Kapitalgesellschaft (DE-588)4129472-5 gnd Handelsrecht (DE-588)4023249-9 gnd Finanzierung (DE-588)4017182-6 gnd Gesellschaftsrecht (DE-588)4020646-4 gnd
topic_facet	Recht Unternehmen Kapitalgesellschaft Handelsrecht Finanzierung Gesellschaftsrecht Großbritannien
url	http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=032717461&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA
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