ARCHIVED: This Practice Note has been archived and is no longer maintained. For information on FCA investigations, see Practice Notes: FCA enforcement essentials—investigations, FCA and PRA search and seizure powers and dawn raids and Offences during an FCA investigation. The Financial Conduct Authority (FCA) has a wide-ranging brief, which includes the ability to enforce compliance with its rules and competition law in order to meet its strategic and operational objectives. For more information, see Practice Notes: FCA—corporate governance and Financial Conduct authority—functions. The FCA has a range of powers that it can use in this respect. This includes regulatory, disciplinary, civil and criminal enforcement powers. For more information, see: Practice Note: FCA enforcement essentials—investigations—The FCA’s Toolkit. This Practice Note provides an introduction to the FCA’s criminal enforcement investigatory powers. For detailed guidance, consult the FCA and PRA investigations, enforcement and discipline—overview. For more information about the FCA's approach to investigating firms and individuals, see the following Practice Notes: • FCA enforcement essentials—investigations—Appointment of investigators under FSMA 2000 • Steps in FCA enforcement

The UK Corporate Governance Code (UKCG Code) of the Financial Reporting Council (FRC) sets out standards of good governance in relation to board appointments and succession planning. This Practice Note looks at the principles and provisions of the UKCG Code on the appointment of executive and non-executive directors of listed companies, and the key principles to be applied by the nomination committee when selecting and recommending candidates. It also examines related issues such as succession planning, directors' due diligence, induction, training, time commitment and re-election. For details of the law and practice on the appointment of directors generally and the relevant provisions of the Companies Act 2006 (CA 2006), a company’s articles of association and the additional rules applicable to listed companies, see Practice Note: Appointment, retirement and resignation of a director and for a useful illustration setting out the mechanics of appointing directors, see: Appointment of a director—flowchart. UKCG Code provisions on directors' appointments The UKCG Code and the Corporate Governance Code Guidance includes a number of provisions relating

FORTHCOMING CHANGE: The Trusts and Succession (Scotland) Act 2024 received Royal Assent on 30 January 2024, marking the first review of trusts law in Scotland in over 100 years since the principal legislation, the Trusts (Scotland) Act 1921, was passed. The trusts provisions require secondary legislation from Scottish Ministers to be brought into force whereas some provisions relating to succession law came into effect on 30 April 2024. The main changes to modernise the law are summarised in News Analysis: Trusts and Succession (Scotland) Bill passed. Practice Notes on areas of Scottish trusts and succession law will be updated further to reflect this new legislation. Appointment as trustee in Will or deed In practice, trustees are appointed (or nominated) in the relevant or applicable deed of trust. For Will trusts (or mortis causa settlements), the trust deed will be, or will be derived from, the Will of the deceased. Appointment of a trustee requires that nomination be accepted either expressly or impliedly. Trustees nominated in terms of the majority of Scottish

This Checklist provides a succinct analysis of the practical aspects of the role of a tribunal secretary. The scope of the Checklist is to guide legal practitioners on the main points to take into account when selecting and working with a tribunal secretary. The Checklist does not take a view on the appropriateness of appointing a tribunal secretary, which would have to be assessed by the parties and the arbitral tribunal on a case-by-case basis, see Practice Note: Tribunal secretaries in international arbitration—the advantages and disadvantages. The Checklist reflects the legal framework (mainly arbitration rules), case law/jurisprudence, soft law (guidelines and practice notes), professional experience and market practices. Taxonomy Tribunal secretary is an umbrella term for someone assisting an arbitral tribunal (sole arbitrator or a panel) during the arbitration proceedings. There are various terms for the same role: • ‘ad hoc clerk’ (see: CAS Procedural Rules 2023) • ‘administrative assistant’ • ‘administrative secretary’ (see: ICC Note to Parties and Arbitral Tribunals on the Conduct of the Arbitration 2021, SCC Rules 2023) • ‘arbitral assistant’ (see:

Restructuring & Insolvency analysis: Cineworld was one of the largest cinema chains in the world, with hundreds of sites and thousands of screens. It suffered a steep decline in ticket sales due to the coronavirus (COVID-19) pandemic, and the loss of revenue resulted in the reduction in the liquidity of the group. Although creditors were initially prepared to support the cinema chain, in due course the creditors wanted to see a restructuring. Following the approval of the US Bankruptcy Court to a reorganisation plan, a condition of which was that Cineworld Group plc (‘the Company’) would be placed into administration, the directors of the Company applied for an administration order. The court was required to consider its jurisdiction to make an administration order. Written by Katie Farmer, partner at Trowers & Hamlins LLP

Date [insert date of appointment] Parties 1 [insert name of Lender] of [insert address][ incorporated in England and Wales with company registration number [insert company registration number]] ('Lender'); 2 [[insert name of Receiver] OR [insert name of Receivers]] of [insert address] (['Receiver' OR ‘Receivers’]'). 1 The Mortgage By a mortgage ('the Mortgage') dated [insert date of mortgage] and made between (1) [insert name of borrower] ('the Borrower') and (2) the Lender, the property described in the schedule ('the Property') was charged in favour of the Lender by way of legal mortgage to secure payment of the sum of £[insert amount of loan] on [insert date for redemption or brief details of other repayment arrangements] and payment or discharge of all other money, obligations and liabilities covenanted to be

The Local Government and Social Care Ombudsman has announced that Amerdeep Somal has been confirmed as the Local Government and Social Care Ombudsman. The appointment will commence on 1 February 2024.

This Practice Note focuses on how a company secretary of a public company or a private company may be appointed. It does not discuss how a company secretary of a public company or a private company may resign or be removed, as to which see Practice Notes: Resignation of a company secretary and Removal of a company secretary. The role of a company secretary The role and specific duties of a company secretary are not prescribed by the Companies Act 2006 (CA 2006) and will usually be governed by the secretary’s contract of employment. In general, a company secretary’s role will encompass, among other things: • the maintenance of the company’s records and registers, both statutory and non-statutory • running the agenda for, and taking minutes of, board meetings and members' meetings, and • filing documents with Companies House, as required by statute CA 2006 permits the same person to act as both a director and the company secretary of a company, if desired. However, there is a proviso in CA 2006, s 280 that

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This document provides general guidance regarding the appointment of a guardian for a child. Your family lawyer will be able to provide specific advice based on your circumstances.. There are several ways in which a guardian may be appointed and the point at which that appointment takes effect will be dependent on the circumstances. This guide provides a summary of the way that a guardian may be appointed. What is a guardian? A legal guardian is someone who has been formally appointed to take care of a child when certain persons have died, most typically the child's parents. It is sensible for parents to appoint one or more individuals, as guardians, to take care of their children and to be responsible for them if they both die before their children reach the age of 18. When the appointment is effective a guardian acquires parental responsibility for the child and is in a similar position to a parent with parental responsibility. Parental responsibility is defined in law by the Children Act 1989 as all the rights, duties, powers, responsibilities and authority

Introduction, documentation and searches This Checklist should be used by a lawyer acting for a chargeholder seeking to appoint a fixed charge receiver over property (land or buildings) owned by a company registered in England. This Checklist also assumes that the property over which the charge has been granted is registered land located in England. The Checklist may also be used by a lawyer when reporting on the validity of appointment of a fixed charge receiver. Definitions The following definitions are used in this Checklist: • Chargeholder means the secured party who seeks to appoint a receiver pursuant to the Charge granted by the Company pursuant to the terms of the security documentation • Company means the company that has granted the Charge in favour of the Chargeholder • Charge means the charge by way of a legal mortgage granted by the Company in favour of the Chargeholder pursuant to which the receiver is to be appointed. This is often contained within the security documentation usually being a debenture or a mortgage deed • Receiver means a