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Secretary of State for Trade and Industry v Baker, Bax, Broadhurst and others: CA 9 Jun 1998

Application for leave to appeal agaist orders made against the directors of Barings plc following its collapse. The appellants alleged abuse of process and unfairness and double jeopardy. Held: ‘It is true that the underlying facts of the charges brought by the SFA and the Secretary of State are the same. However, as Lord Justice … Continue reading Secretary of State for Trade and Industry v Baker, Bax, Broadhurst and others: CA 9 Jun 1998

Regina v Secretary of State for Trade and Industry ex parte David Austin Mccormick: Admn 18 Dec 1997

The claimants sought judicial review of decisions made about the future conduct of disqualification proceedings. Citations: [1997] EWHC Admin 1166 Links: Bailii Statutes: Company Directors Disqualification Act 1986 Citing: See Also – Regina v Secretary of State for Trade and Industry ex parte David Austin Mccormick Admn 19-Dec-1997 . . Cited by: See Also – … Continue reading Regina v Secretary of State for Trade and Industry ex parte David Austin Mccormick: Admn 18 Dec 1997

Wood and Another v Mistry: ChD 10 Jul 2012

A director’s disqualification order was sought. The order was sought on the basis of allegations of conduct as liquidator of several companies. Judges: Newey J Citations: [2012] EWHC 1899 (Ch) Links: Bailii Statutes: Company Directors Disqualification Act 1986 Jurisdiction: England and Wales Citing: Cited – Deloitte and Touche Ag v Johnson and Another PC 10-Jun-1999 … Continue reading Wood and Another v Mistry: ChD 10 Jul 2012

Regina v Secretary of State for Trade and Industry, Ex Parte Eastaway: HL 8 Nov 2000

Where the Court of Appeal had refused permission to apply for judicial review after a similar refusal by a judge, that decision was also, by implication, a refusal to grant permission to appeal against the judge’s decision, and there was no scope for a further appeal to the House of Lords. It is not the … Continue reading Regina v Secretary of State for Trade and Industry, Ex Parte Eastaway: HL 8 Nov 2000

Secretary of State for Trade and Industry v Collins and others: CA 13 Jan 2000

A disqualified director applied for consent to act in the management of a company before his disqualification had expired. He succeeded, and the judge made no award for costs. On appeal by the Secretary of State it was held that the lifting of the disqualification was a matter purely for the discretion of the judge. … Continue reading Secretary of State for Trade and Industry v Collins and others: CA 13 Jan 2000

Secretary of State for Trade and Industry v Deverill and another: CA 20 Jan 2000

When considering what constituted a shadow director, courts should be reluctant to move away from the words of the Act. The words should be construed carefully because the term was used in several pieces of legislation, including those with penal provisions. A shadow director is one who has real influence on a company. He does … Continue reading Secretary of State for Trade and Industry v Deverill and another: CA 20 Jan 2000

In Re Surrey Leisure Ltd; Official Receiver v Keam and Another: CA 28 Jul 1999

An applicant for a company director disqualification order was permitted to name more than one company as the lead company in its application. The Interpretation Act operated to resolve any ambiguity or lack of clarity in favour of an interpretation allowing multiple lead companies. The notice of intention to apply need not either mention all … Continue reading In Re Surrey Leisure Ltd; Official Receiver v Keam and Another: CA 28 Jul 1999

In Re Cedarwood Productions Ltd; In Re Inter City Print and Finishing Ltd; Secretary of State for Trade and Industry v Rayna and Another: CA 26 Jun 2001

Company directors had had civil proceedings for disqualification suspended pending the outcome of criminal proceedings arising from the circumstances of the failure of their companies. They had variously suffered penalties including criminal disqualifications in those criminal proceedings, under section 2. They sought to argue that the continuation of the civil proceedings under section 6 would … Continue reading In Re Cedarwood Productions Ltd; In Re Inter City Print and Finishing Ltd; Secretary of State for Trade and Industry v Rayna and Another: CA 26 Jun 2001

re Swift 736 Limited: 1993

The purpose of the jurisdiction created under the Act is to promote better management standards in companies. Citations: [1993] BCLC 796 Statutes: Company Directors Disqualification Act 1986 Jurisdiction: England and Wales Cited by: Cited – The Secretary of State for Trade and Industry v Michael Hamilton Amiss, Jonathan Andrew Chapman, Roger Rex Ingles ChD 20-Mar-2003 … Continue reading re Swift 736 Limited: 1993

In re Samuel Sherman Plc: 1991

Disqualifications under section 8 should be of similar length to those recommended in the Sevenoaks Stationers for disqualifications under section 6. Citations: [1991] 1 WLR 1070 Statutes: Company Directors Disqualification Act 1986 8 Jurisdiction: England and Wales Citing: Cited – In re Sevenoaks Stationers (Retail) Ltd CA 1990 The court gave guidelines for the periods … Continue reading In re Samuel Sherman Plc: 1991

Re Jaymar Management Ltd: ChD 1990

The 10 day notice period before commencing proceedings had to be calculated exclusive of the day on which the notice was given and the day on which the proceedings were issued. Judges: Harman J Citations: [1990] BCC 303 Statutes: Company Directors Disqualification Act 1986 16(1) Jurisdiction: England and Wales Cited by: Cited – The Secretary … Continue reading Re Jaymar Management Ltd: ChD 1990

Re Cubelock Ltd: ChD 2001

The procedures for disqualifying directors should not become hedged about with particular rules allowing directors to escape disqualification on small and technical points. Citations: [2001] BCC 523 Statutes: Company Directors Disqualification Act 1986 Jurisdiction: England and Wales Cited by: Cited – The Secretary of State for Trade and Industry v Swan and Othes ChD 22-Jul-2003 … Continue reading Re Cubelock Ltd: ChD 2001

Re Sutton Glassworks Ltd: ChD 1996

Referring to the procedure in disqualification proceedings of serving an affidavit, the court held: ‘That procedure, and, in particular, the mandatory requirement in r 6, emphasises the importance to the respondent of being able to ascertain with clarity from the evidence filed on behalf of the applicant what are the criticisms laid against him, and … Continue reading Re Sutton Glassworks Ltd: ChD 1996

Re Circle Holidays International plc: ChD 1994

The affidavit filed in proceedings under the Act take a role similar to that of the pleadings in other cases. Judges: HH Judge Micklem Citations: [1994] BCC 226 Statutes: Company Directors Disqualification Act 1986 Jurisdiction: England and Wales Cited by: Cited – The Secretary of State for Trade and Industry v Swan and Othes ChD … Continue reading Re Circle Holidays International plc: ChD 1994

In re Lo-Line Electric Motors Ltd: 1988

When considering the filing of additional evidence changing allegations made under the 1986 Act, the paramount requirement is that the director facing disqualification must know the charge he has to meet. As to the standard of misbehaviour required to found an order, Sir Nicolas Browne-Wilkinson VC said: ‘Ordinary commercial misjudgment is in itself not sufficient … Continue reading In re Lo-Line Electric Motors Ltd: 1988

In Re Barings Plc, Secretary of State for Trade and Industry v Baker (No 5): ChD 25 Nov 1998

A person disqualified from acting as a company director might exceptionally be given permission to act as non-executive director in named companies where this appeared necessary and the cause of the original disqualification was unrelated.As to the duties of directors, Jonathan Parker J said: ‘(i) Directors have, both collectively and individually, a continuing duty to … Continue reading In Re Barings Plc, Secretary of State for Trade and Industry v Baker (No 5): ChD 25 Nov 1998

Secretary of State for Trade and Industry v Carter and Others: ChD 14 Aug 1997

Affidavits supporting application to disqualify a company director must distinguish between fact, argument and the fault claimed. The respondents in such an application should be encouraged to focus on the essential factual matters in their affidavits in response. The liquidators, in their evidence should equally distinguish clearly between the facts bringing the case before the … Continue reading Secretary of State for Trade and Industry v Carter and Others: ChD 14 Aug 1997

Secretary of State for Trade and Industry v Crane and Another: ChD 4 Jun 2001

Outside of any statutory limitations, there was nothing to prevent a prosecutor making use of helpful ideas disclosed in civil proceedings in his case against a defendant. Questions about a defendant’s right of silence in criminal proceedings did not apply in civil matters. Judges in either court had powers to control their proceedings to prevent … Continue reading Secretary of State for Trade and Industry v Crane and Another: ChD 4 Jun 2001

Secretary of State for Trade and Industry v Ivens and Another: ChD 24 Sep 1997

Evidence of activities of director in non-insolvent but associated company admissible in disqualification proceedings. Citations: Times 24-Sep-1997 Statutes: Company Directors Disqualification Act 1986 6 Jurisdiction: England and Wales Cited by: Cited – The Secretary of State for Trade and Industry v Goldberg, Mcavoy ChD 26-Nov-2003 The Secretary of State sought a disqualification order. The director … Continue reading Secretary of State for Trade and Industry v Ivens and Another: ChD 24 Sep 1997

In re Pantmaenog Timber Co Ltd: CA 25 Jul 2001

The Official Receiver could not use the powers given to him for the purposes of his insolvency duties to require production of documents form solicitors and accountants, to satisfy duties placed on him by the Secretary of State for the purpose of company director disqualification proceedings. The secretary of state could not ask the Official … Continue reading In re Pantmaenog Timber Co Ltd: CA 25 Jul 2001

In Re Pamstock Ltd: ChD 5 Jan 1993

A failure to file his company’s accounts is a serious default, and is sufficient to warrant the disqualification of a company secretary from acting as a company director. The filing of accounts is a substantial protection for those trading with limited companies. Citations: Times 05-Jan-1993 Statutes: Company Directors Disqualification Act 1986, Companies Act 1985 Jurisdiction: … Continue reading In Re Pamstock Ltd: ChD 5 Jan 1993

Re Southbourne Sheet Metal Co Ltd: CA 9 Sep 1992

The Secretary of State for Trade and Industry had sought orders of disqualification against the director and a co-director under the provisions of the Company Directors Disqualification Act 1986. The Secretary of State’s summons was supported by an affidavit from one of the receivers of the company. Held: The director’s appeal succeeded. A discontinuance by … Continue reading Re Southbourne Sheet Metal Co Ltd: CA 9 Sep 1992

Secretary of State for Trade and Industry v Lewis and Another: ChD 19 Jul 2001

Where the sole substantial issue was that the court of first instance had failed to give reasons for its decision, it would normally be wrong for an appellate court to order a rehearing rather than a review. This might be appropriate if the court below had been asked and had refused to give reasons, or … Continue reading Secretary of State for Trade and Industry v Lewis and Another: ChD 19 Jul 2001

Official Receiver v Stern and Another: CA 20 Nov 2001

The director appealed against a 12 year disqualification. The basis of the disqualification was unlawful trading to the detriment of creditors, and taking excess drawings. The Vice-Chancellor, Lord Justice Buxton, And, Lady Justice Arden [2004] BCC 581, [2002] 1 BCLC 119, [2000] 1 WLR 2230, [2001] EWCA Civ 1787 Bailii Company Directors Disqualification Act 1986 … Continue reading Official Receiver v Stern and Another: CA 20 Nov 2001

Spencer Michael v The Official Receiver, Secretary of State for Business, Innovation and Skills: ChD 15 Jul 2010

Application pursuant to section 4(2) of the Human Rights Act 1998 for a declaration that Schedule 4A paragraph 5(2) of the Insolvency Act 1986 and section 11 of the Company Directors Disqualification Act 1986 are incompatible with Article 6 of the European Convention on Human Rights. Mr Justice Arnold [2010] EWHC 2246 (Ch) Bailii Human … Continue reading Spencer Michael v The Official Receiver, Secretary of State for Business, Innovation and Skills: ChD 15 Jul 2010

Re Probe Data Systems Ltd (No.3): CA 1992

An appeal from a director disqualification is to be under the Insolvency Rules. [1992] BCC 110 Company Directors Disqualification Act 1986 6 England and Wales Cited by: Cited – Secretary of State for Trade and Industry v Paulin ChD 13-May-2005 The director sought to appeal an order disqualifying him form acting as a company director. … Continue reading Re Probe Data Systems Ltd (No.3): CA 1992

Secretary of State for Trade and Industry v Hall and Nuttall: ChD 28 Jul 2006

The Secretary sought disqualification of the defendants. The second defendant had not been a director of the company, but director of another company which in turn held a directorship in the defaulting company. Held: The claim failed: ‘i) As I have already pointed out the purposes of section 6 of the CDDA and section 214 … Continue reading Secretary of State for Trade and Industry v Hall and Nuttall: ChD 28 Jul 2006

The Secretary of State for Business, Innovation and Skills v Weston and Another: ChD 5 Sep 2014

The Secretary of State sought company director disqualification orders against the defendants saying they had been convicted of making false instruments. The Insolvency service had decided against such proceedings, and the Crown Court judge, when sentencing them had considered and rejected orders. The defendants now argued that the instant proceedings were an abuse of process. … Continue reading The Secretary of State for Business, Innovation and Skills v Weston and Another: ChD 5 Sep 2014

Pressdram Ltd v Whyte: ChD 30 May 2012

The respondent had been involved in company director disqualification proceedings some 12 years earlier. The claimant, publisher of Private Eye sought disclosure of the associated court papers. Held: The applicant had provided appropriate details of the papers required. The basic principle of open justice applied, and the papers were required for a proper jurnalistic purpose.The … Continue reading Pressdram Ltd v Whyte: ChD 30 May 2012

In re Sevenoaks Stationers (Retail) Ltd: CA 1990

The court gave guidelines for the periods of disqualification to be applied for company directors under the Act. The maximum period of ten years should be reserved for only the most serious of cases. Periods of two to five years should apply to cases at the bottom end, and the middle bracket of 6 to … Continue reading In re Sevenoaks Stationers (Retail) Ltd: CA 1990

Secretary of State for Business Innovation and Skills v Aaron and Others: ChD 10 Dec 2009

The claimant sought a disqualification after the defendants had been directors of a company mis-selling Structured Capital at Risk products. The FSA had reported that they had been negligent. Held: ‘I do not have to decide whether or not the defendants were negligent. The question is whether their risk ratings were so flawed that they … Continue reading Secretary of State for Business Innovation and Skills v Aaron and Others: ChD 10 Dec 2009

Re Kaytech International plc; Secretary of State for Trade and Industry v Kaczer and others: CA 1999

Robert Walker LJ said that the expression ‘de facto director’ had been in use for a long time, and commented on the failure to distinguish in pleadings between pleas that someone was a shadow or a de facto director. The two different labels were not necessarily mutually exclusive. He said: ‘However the two concepts do … Continue reading Re Kaytech International plc; Secretary of State for Trade and Industry v Kaczer and others: CA 1999

Perinpanathan, Regina (on The Application of) v City of Westminster Magistrates Court and Another: CA 4 Feb 2010

The appellant’s daughter had been stopped entering the country with andpound;150,000 in cash. The police sought an order for its forfeiture, suspecting a link with terrorism. The magistrates found no evidence of such, and declined to make the order, but equally refused to award the defendant her costs. She now appealed against the refusal to … Continue reading Perinpanathan, Regina (on The Application of) v City of Westminster Magistrates Court and Another: CA 4 Feb 2010

In Re Cedarwood Productions Ltd; In Re Inter City Print and Finishing Ltd; Secretary of State for Trade and Industry v Rayna and Another: ChD 3 Apr 2001

S6 of the 1986 Act proceedings had been stayed pending criminal proceedings in which the defendant was eventually convicted of conspiracy to defraud, sentenced to imprisonment and given a two year disqualification order under s2 by the trial judge, at the invitation of the defendants own counsel. The Secretary of State then applied to restore … Continue reading In Re Cedarwood Productions Ltd; In Re Inter City Print and Finishing Ltd; Secretary of State for Trade and Industry v Rayna and Another: ChD 3 Apr 2001

Cathie and Another v Secretary of State for Business, Innovation and Skills: CA 1 Jun 2012

The directors appealed against disqualification orders made against them under the 1986 Act. Their company had become insolvent, owing substantial arrears of PAYE and NI contributions. The revenue had said that they had paid other creditors first. Held: When considering appeals to avoid disqualification, a court would be better guided by the use of the … Continue reading Cathie and Another v Secretary of State for Business, Innovation and Skills: CA 1 Jun 2012

Harris v Secretary of State for Business, Innovation and Skills: ChD 9 Aug 2013

The claimant had offered an undertaking not to act as a company director for a period of time, to avoid applications for his disqualification. He now sought leave to act. Held: The applicant had: ‘put forward ample evidence to justify a finding that he is skilled and experienced at marketing and sales and would be … Continue reading Harris v Secretary of State for Business, Innovation and Skills: ChD 9 Aug 2013

Secretary of State for Business Enterprise and Regulatory Reform v Sullman and Another: ChD 19 Dec 2008

An application was made to disqualify as a company director a former director of Claims Direct Limited. He had been accused of several actions which might justify a disqualification. Held: The court found misconduct but delayed a decision on whether it was sufficient to found a disqualification. The court should look at such matters properly … Continue reading Secretary of State for Business Enterprise and Regulatory Reform v Sullman and Another: ChD 19 Dec 2008

In re British and Commonwealth Holdings plc (Nos 1 and 2): HL 1993

Section 236 extended the power of a liquidator to require from the company’s officers all the documents he would reasonably need in order to fulfil his duties under the Act.Lord Slynn said: ‘The protection for the person called upon to produce documents lies, thus, not in a limitation by category of documents (‘reconstituting the company’s … Continue reading In re British and Commonwealth Holdings plc (Nos 1 and 2): HL 1993

Coulthard, Ashton Shuttleworth, and Dawes v Neville Russell (a Firm): CA 27 Nov 1997

Auditors who were in a position to advise a company’s directors as to the legality of them making loan payments to a shell company which was acquiring there shares had a duty so to advise. The directors of a company sued them for failing to warn them that a loan made by the company might … Continue reading Coulthard, Ashton Shuttleworth, and Dawes v Neville Russell (a Firm): CA 27 Nov 1997

West Mercia Safetywear Ltd v Dodds: CA 1988

If a company continues to trade whilst insolvent but in the expectation that it would return to profitability, it should be regarded as trading not for the benefit of the shareholders, but for the creditors also. If there is a possibility of insolvency, even a written consent will not totally safeguard against a claim from … Continue reading West Mercia Safetywear Ltd v Dodds: CA 1988

Secretary of State for Trade and Industry v Vohora and Another: ChD 15 Nov 2007

The directors complained that the disqualification proceedings had been brought out of time. The court had received the papers, but had not processed them within the applicable time limits. Held: The requirement was that the claim be brought within the limit. That was satisfied by the filing if the papers even if the proceedings were … Continue reading Secretary of State for Trade and Industry v Vohora and Another: ChD 15 Nov 2007

Cabvision Ltd v Feetum and others: CA 20 Dec 2005

The company challenged the appointment of administrative receivers, saying there had been no insolvency. Held: No question arises of a derivative action arose here. The claimant had standing to apply for declaratory relief since they were directly affected by the appointment. As to the appointment itself ‘it is inconceivable that in enacting the relevant provisions … Continue reading Cabvision Ltd v Feetum and others: CA 20 Dec 2005

Quickson (South and West) Limited v Stephen Mark Katz, John Stephen Kelmanson (As Joint Liquidators of Buildlead Limited): ChD 25 Aug 2004

Various applications were made in the insolvency, including for removal of the liquidators and declarations that certain payments were a fraudulent preference on the creditors. Held: No prejudice had been shown by any procedural irregularity. Other creditors should be able to see that there is a proper investigation of relevant matters relating to inter-company transfers, … Continue reading Quickson (South and West) Limited v Stephen Mark Katz, John Stephen Kelmanson (As Joint Liquidators of Buildlead Limited): ChD 25 Aug 2004

Re Moonlight Foods Ltd , Secretary of State for Trade and Industry v Hickling: 1996

The Secretary of State, when presenting an application for the disqualification of a company director is obliged to present a balanced picture. ‘It is accepted that these are not ordinary adversarial proceedings but have an element of public interest and may entail penal consequences. It follows that there is a duty on the applicant to … Continue reading Re Moonlight Foods Ltd , Secretary of State for Trade and Industry v Hickling: 1996

In Re Carecraft Construction Co Ltd: ChD 13 Oct 1993

A court must hear evidence before disqualifying directors. Though the Director and the Secretary of State might reach an agreement as to what should happen, they could not displace the court in deciding what order should be made, and in making that order. The court approved the submission by the parties to the Court an … Continue reading In Re Carecraft Construction Co Ltd: ChD 13 Oct 1993

In re Polly Peck International plc, Ex parte the joint administrators: ChD 1994

The purposes of a liquidation, or administration or receivership of a company must include the gathering of information as to the conduct of the affairs of the company, and those who had conducted them so that the office-holder can report to the Secretary of State as he is required to do by section 7(3) of … Continue reading In re Polly Peck International plc, Ex parte the joint administrators: ChD 1994

Fassihim, Liddiardrams, International Ltd, Isograph Ltd v Item Software (UK) Ltd: CA 30 Sep 2004

The first defendant (F) had been employed by a company involved in a distribution agreement. He had sought to set up a competing arrangement whilst a director of the claimant, and diverted a contract to his new company. Held: A company director has additional, fiduciary duties over and above those of an employee. The duties … Continue reading Fassihim, Liddiardrams, International Ltd, Isograph Ltd v Item Software (UK) Ltd: CA 30 Sep 2004

Holland v Revenue and Customs and Another: CA 2 Jul 2009

The appellant supported IT workers. Through his own company, he set up companies in which his company was a director, and which companies in turn employed the IT workers securing substantial savings in higher rate Corporation Tax. Held: The defendant’s appeal succeeded. Though the appellant was not himself a director in the companies, his company … Continue reading Holland v Revenue and Customs and Another: CA 2 Jul 2009

Holland v Revenue and Customs and Another: SC 24 Nov 2010

The Revenue sought an order under section 212 of the 1986 Act, for payment of the tax debts of the insolvent company by a de facto director. H had organised a scheme under which IT contractors had worked through companies created by him under a composite company scheme, and in each of which he retained … Continue reading Holland v Revenue and Customs and Another: SC 24 Nov 2010