254 Application of insolvency law to foreign company
(1) The Secretary of State may by order provide for a provision of the Insolvency Act 1986 to apply (with or without modification) in relation to a company incorporated outside Great Britain.
(2) An order under this section—
(a) may make provision generally or for a specified purpose only,
(b) may make different provision for different purposes, and
(c) may make transitional, consequential or incidental provision.
(3) An order under this section—
(a) must be made by statutory instrument, and
(b) shall be subject to annulment in pursuance of a resolution of either House of Parliament.
255 Application of law about company arrangement or administration to non-company
(1) The Treasury may with the concurrence of the Secretary of State by order provide for a company arrangement or administration provision to apply (with or without modification) in relation to—
(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b) a society registered under section 7(1)(b), (c), (d), (e) or (f) of the Friendly Societies Act 1974 (c. 46),
(c) a friendly society within the meaning of the Friendly Societies Act 1992 (c. 40), or
(d) an unregistered friendly society.
(2) In subsection (1) “company arrangement or administration provision” means—
(a) a provision of Part I of the Insolvency Act 1986 (company voluntary arrangements),
(b) a provision of Part II of that Act (administration), ...
(c) Part 26 of the Companies Act 2006 (c. 6) (compromise or arrangement with creditors), and
(d) Part 26A of that Act (compromise or arrangement with creditors where company in financial difficulty).
(3) An order under this section may not provide for a company arrangement or administration provision to apply in relation to a society which is —
(a) a private registered provider of social housing, or
(b) registered as a social landlord under Part I of the Housing Act 1996 (c. 52) or under Part 2 of the Housing (Scotland) Act 2010 (asp 17) .
(4) An order under this section—
(a) may make provision generally or for a specified purpose only,
(b) may make different provision for different purposes, and
(c) may make transitional, consequential or incidental provision.
(5) Provision by virtue of subsection (4)(c) may, in particular—
(a) apply an enactment (with or without modification);
(b) amend an enactment.
(6) An order under this section—
(a) must be made by statutory instrument, and
(b) shall be subject to annulment in pursuance of a resolution of either House of Parliament.
(1) The following shall be substituted for section 279 of the Insolvency Act 1986 (c. 45) (duration of bankruptcy)—
Duration
279 (1) A bankrupt is discharged from bankruptcy at the end of the period of one year beginning with the date on which the bankruptcy commences.
(2) If before the end of that period the official receiver files with the court a notice stating that investigation of the conduct and affairs of the bankrupt under section 289 is unnecessary or concluded, the bankrupt is discharged when the notice is filed.
(3) On the application of the official receiver or the trustee of a bankrupt’s estate, the court may order that the period specified in subsection (1) shall cease to run until—
(a) the end of a specified period, or
(b) the fulfilment of a specified condition.
(4) The court may make an order under subsection (3) only if satisfied that the bankrupt has failed or is failing to comply with an obligation under this Part.
(5) In subsection (3)(b) “condition” includes a condition requiring that the court be satisfied of something.
(6) In the case of an individual who is adjudged bankrupt on a petition under section 264(1)(d)—
(a) subsections (1) to (5) shall not apply, and
(b) the bankrupt is discharged from bankruptcy by an order of the court under section 280.
(7) This section is without prejudice to any power of the court to annul a bankruptcy order.
(2) Schedule 19 (which makes transitional provision in relation to this section)—
(a) shall have effect, and
(b) is without prejudice to the generality of section 276.
(1) The following shall be inserted after section 281 of the Insolvency Act 1986 (c. 45) (bankruptcy: effect of discharge)—
Post-discharge restrictions
281A Schedule 4A to this Act (bankruptcy restrictions order and bankruptcy restrictions undertaking) shall have effect.
(2) The Schedule 4A set out in Schedule 20 to this Act shall be inserted after Schedule 4 to the Insolvency Act 1986.
(3) The amendments set out in Schedule 21 (which specify the effect of a bankruptcy restrictions order or undertaking) shall have effect.
The following shall be substituted for section 289 of the Insolvency Act 1986 (official receiver’s duty to investigate)—
Investigatory duties of official receiver
289 (1) The official receiver shall—
(a) investigate the conduct and affairs of each bankrupt (including his conduct and affairs before the making of the bankruptcy order), and
(b) make such report (if any) to the court as the official receiver thinks fit.
(2) Subsection (1) shall not apply to a case in which the official receiver thinks an investigation under that subsection unnecessary.
(3) Where a bankrupt makes an application for discharge under section 280—
(a) the official receiver shall make a report to the court about such matters as may be prescribed, and
(b) the court shall consider the report before determining the application.
(4) A report by the official receiver under this section shall in any proceedings be prima facie evidence of the facts stated in it.
(1) Section 310 of the Insolvency Act 1986 (income payments order) shall be amended as follows.
(2) In subsection (1) omit “, on the application of the trustee,”.
(3) After subsection (1) insert—
(1A) An income payments order may be made only on an application instituted—
(a) by the trustee, and
(b) before the discharge of the bankrupt.
(4) For subsection (6) substitute—
(6) An income payments order must specify the period during which it is to have effect; and that period—
(a) may end after the discharge of the bankrupt, but
(b) may not end after the period of three years beginning with the date on which the order is made.
(6A) An income payments order may (subject to subsection (6)(b)) be varied on the application of the trustee or the bankrupt (whether before or after discharge).
The following shall be inserted after section 310 of the Insolvency Act 1986 (c. 45) (income payments order)—
Income payments agreement
310A (1) In this section “income payments agreement” means a written agreement between a bankrupt and his trustee or between a bankrupt and the official receiver which provides—
(a) that the bankrupt is to pay to the trustee or the official receiver an amount equal to a specified part or proportion of the bankrupt’s income for a specified period, or
(b) that a third person is to pay to the trustee or the official receiver a specified proportion of money due to the bankrupt by way of income for a specified period.
(2) A provision of an income payments agreement of a kind specified in subsection (1)(a) or (b) may be enforced as if it were a provision of an income payments order.
(3) While an income payments agreement is in force the court may, on the application of the bankrupt, his trustee or the official receiver, discharge or vary an attachment of earnings order that is for the time being in force to secure payments by the bankrupt.
(4) The following provisions of section 310 shall apply to an income payments agreement as they apply to an income payments order—
(a) subsection (5) (receipts to form part of estate), and
(b) subsections (7) to (9) (meaning of income).
(5) An income payments agreement must specify the period during which it is to have effect; and that period—
(a) may end after the discharge of the bankrupt, but
(b) may not end after the period of three years beginning with the date on which the agreement is made.
(6) An income payments agreement may (subject to subsection (5)(b)) be varied—
(a) by written agreement between the parties, or
(b) by the court on an application made by the bankrupt, the trustee or the official receiver.
(7) The court—
(a) may not vary an income payments agreement so as to include provision of a kind which could not be included in an income payments order, and
(b) shall grant an application to vary an income payments agreement if and to the extent that the court thinks variation necessary to avoid the effect mentioned in section 310(2).
(1) The following shall be inserted after section 283 of the Insolvency Act 1986 (definition of bankrupt’s estate)—
Bankrupt’s home ceasing to form part of estate
283A (1) This section applies where property comprised in the bankrupt’s estate consists of an interest in a dwelling-house which at the date of the bankruptcy was the sole or principal residence of—
(a) the bankrupt,
(b) the bankrupt’s spouse, or
(c) a former spouse of the bankrupt.
(2) At the end of the period of three years beginning with the date of the bankruptcy the interest mentioned in subsection (1) shall—
(a) cease to be comprised in the bankrupt’s estate, and
(b) vest in the bankrupt (without conveyance, assignment or transfer).
(3) Subsection (2) shall not apply if during the period mentioned in that subsection—
(a) the trustee realises the interest mentioned in subsection (1),
(b) the trustee applies for an order for sale in respect of the dwelling-house,
(c) the trustee applies for an order for possession of the dwelling-house,
(d) the trustee applies for an order under section 313 in Chapter IV in respect of that interest, or
(e) the trustee and the bankrupt agree that the bankrupt shall incur a specified liability to his estate (with or without the addition of interest from the date of the agreement) in consideration of which the interest mentioned in subsection (1) shall cease to form part of the estate.
(4) Where an application of a kind described in subsection (3)(b) to (d) is made during the period mentioned in subsection (2) and is dismissed, unless the court orders otherwise the interest to which the application relates shall on the dismissal of the application—
(a) cease to be comprised in the bankrupt’s estate, and
(b) vest in the bankrupt (without conveyance, assignment or transfer).
(5) If the bankrupt does not inform the trustee or the official receiver of his interest in a property before the end of the period of three months beginning with the date of the bankruptcy, the period of three years mentioned in subsection (2)—
(a) shall not begin with the date of the bankruptcy, but
(b) shall begin with the date on which the trustee or official receiver becomes aware of the bankrupt’s interest.
(6) The court may substitute for the period of three years mentioned in subsection (2) a longer period—
(a) in prescribed circumstances, and
(b) in such other circumstances as the court thinks appropriate.
(7) The rules may make provision for this section to have effect with the substitution of a shorter period for the period of three years mentioned in subsection (2) in specified circumstances (which may be described by reference to action to be taken by a trustee in bankruptcy).
(8) The rules may also, in particular, make provision—
(a) requiring or enabling the trustee of a bankrupt’s estate to give notice that this section applies or does not apply;
(b) about the effect of a notice under paragraph (a);
(c) requiring the trustee of a bankrupt’s estate to make an application to the Chief Land Registrar.
(9) Rules under subsection (8)(b) may, in particular—
(a) disapply this section;
(b) enable a court to disapply this section;
(c) make provision in consequence of a disapplication of this section;
(d) enable a court to make provision in consequence of a disapplication of this section;
(e) make provision (which may include provision conferring jurisdiction on a court or tribunal) about compensation.
(2) Section 313 of the Insolvency Act 1986 (c. 45) (charge on bankrupt’s home) shall be amended as follows—
(a) in subsection (2) for “, up to the value from time to time of the property secured,” substitute “ , up to the charged value from time to time, ”,
(b) after subsection (2) insert—
(2A) In subsection (2) the charged value means—
(a) the amount specified in the charging order as the value of the bankrupt’s interest in the property at the date of the order, plus
(b) interest on that amount from the date of the charging order at the prescribed rate.
(2B) In determining the value of an interest for the purposes of this section the court shall disregard any matter which it is required to disregard by the rules.
,
and
(c) at the end insert—
(5) But an order under section 3(5) of that Act may not vary a charged value.
(3) The following shall be inserted after section 313 of that Act—
Low value home: application for sale, possession or charge
313A (1) This section applies where—
(a) property comprised in the bankrupt’s estate consists of an interest in a dwelling-house which at the date of the bankruptcy was the sole or principal residence of—
(i) the bankrupt,
(ii) the bankrupt’s spouse, or
(iii) a former spouse of the bankrupt, and
(b) the trustee applies for an order for the sale of the property, for an order for possession of the property or for an order under section 313 in respect of the property.
(2) The court shall dismiss the application if the value of the interest is below the amount prescribed for the purposes of this subsection.
(3) In determining the value of an interest for the purposes of this section the court shall disregard any matter which it is required to disregard by the order which prescribes the amount for the purposes of subsection (2).
(4) The following shall be inserted after section 307(2)(a) of the Insolvency Act 1986 (c. 45) (after-acquired property: exclusions)—
(aa) any property vesting in the bankrupt by virtue of section 283A in Chapter II,
.
(5) In section 384(2) of that Act (prescribed amounts) after “section 273;” insert—
section 313A;
.
(6) In section 418(1) of that Act (monetary limits in bankruptcy) after the entry for section 273 insert—
section 313A (value of property below which application for sale, possession or charge to be dismissed);
.
(7) In subsection (8)—
(a) “pre-commencement bankrupt” means an individual who is adjudged bankrupt on a petition presented before subsection (1) above comes into force, and
(b) “the transitional period” is the period of three years beginning with the date on which subsection (1) above comes into force.
(8) If a pre-commencement bankrupt’s estate includes an interest in a dwelling-house which at the date of the bankruptcy was the sole or principal residence of him, his spouse or a former spouse of his, at the end of the transitional period that interest shall—
(a) cease to be comprised in the estate, and
(b) vest in the bankrupt (without conveyance, assignment or transfer).
(9) But subsection (8) shall not apply if before or during the transitional period—
(a) any of the events mentioned in section 283A(3) of the Insolvency Act 1986 (c. 45) (inserted by subsection (1) above) occurs in relation to the interest or the dwelling-house, or
(b) the trustee obtains any order of a court, or makes any agreement with the bankrupt, in respect of the interest or the dwelling-house.
(10) Subsections 283A(4) to (9) of that Act shall have effect, with any necessary modifications, in relation to the provision made by subsections (7) to (9) above; in particular—
(a) a reference to the period mentioned in section 283A(2) shall be construed as a reference to the transitional period,
(b) in the application of section 283A(5) a reference to the date of the bankruptcy shall be construed as a reference to the date on which subsection (1) above comes into force, and
(c) a reference to the rules is a reference to rules made under section 412 of the Insolvency Act 1986 (for which purpose this section shall be treated as forming part of Parts VIII to XI of that Act).
The following shall be inserted in Part I of Schedule 5 to the Insolvency Act 1986 (powers of trustee in bankruptcy: powers exercisable only with sanction) after paragraph 2—
2A Power to bring legal proceedings under section 339, 340 or 423.
The following sections of the Insolvency Act 1986 shall cease to have effect—
(a) section 361 (offence of failure to keep proper accounting records), and
(b) section 362 (offence of gambling and speculation).
(1) The following shall be inserted before section 427 of the Insolvency Act 1986 (c. 45) (the title to which becomes “ Disqualification from Parliament (Scotland and Northern Ireland) ”)—
Disqualification from Parliament (England and Wales)
426A (1) A person in respect of whom a bankruptcy restrictions order has effect shall be disqualified—
(a) from membership of the House of Commons,
(b) from sitting or voting in the House of Lords, and
(c) from sitting or voting in a committee of the House of Lords or a joint committee of both Houses.
(2) If a member of the House of Commons becomes disqualified under this section, his seat shall be vacated.
(3) If a person who is disqualified under this section is returned as a member of the House of Commons, his return shall be void.
(4) No writ of summons shall be issued to a member of the House of Lords who is disqualified under this section.
(5) If a court makes a bankruptcy restrictions order or interim order in respect of a member of the House of Commons or the House of Lords the court shall notify the Speaker of that House.
(6) If the Secretary of State accepts a bankruptcy restrictions undertaking made by a member of the House of Commons or the House of Lords, the Secretary of State shall notify the Speaker of that House.
Devolution
426B (1) If a court makes a bankruptcy restrictions order or interim order in respect of a member of the Scottish Parliament, the Northern Ireland Assembly or the National Assembly for Wales, the court shall notify the presiding officer of that body.
(2) If the Secretary of State accepts a bankruptcy restrictions undertaking made by a member of the Scottish Parliament, the Northern Ireland Assembly or the National Assembly for Wales, the Secretary of State shall notify the presiding officer of that body.
Irrelevance of privilege
426C (1) An enactment about insolvency applies in relation to a member of the House of Commons or the House of Lords irrespective of any Parliamentary privilege.
(2) In this section “enactment” includes a provision made by or under—
(a) an Act of the Scottish Parliament, or
(b) Northern Ireland legislation.
(2) In section 427 of the Insolvency Act 1986 the following shall cease to have effect—
(a) in subsection (1), the words “England and Wales or”, and
(b) subsection (7).
(3) The Secretary of State may by order—
(a) provide for section 426A or 426B of that Act (as inserted by subsection (1) above) to have effect in relation to orders made or undertakings accepted in Scotland or Northern Ireland under a system which appears to the Secretary of State to be equivalent to the system operating under Schedule 4A to that Act (as inserted by section 257 of this Act);
(b) make consequential amendment of section 426A or 426B of that Act (as inserted by subsection (1) above);
(c) make other consequential amendment of an enactment.
(4) An order under this section may make transitional, consequential or incidental provision.
(5) An order under this section—
(a) must be made by statutory instrument, and
(b) may not be made unless a draft has been laid before and approved by resolution of each House of Parliament.
267 Disqualification from office: local government
(1) The following shall be substituted for section 80(1)(b) of the Local Government Act 1972 (c. 70) (disqualification for membership of local authority: bankrupt)—
(b) is the subject of a bankruptcy restrictions order or interim order;
.
(2) Section 81(1) and (2) of that Act (which amplify the provision substituted by subsection (1) above) shall cease to have effect.
(1) The Secretary of State may make an order under this section in relation to a disqualification provision.
(2) A “disqualification provision” is a provision which disqualifies (whether permanently or temporarily and whether absolutely or conditionally) a bankrupt or a class of bankrupts from—
(a) being elected or appointed to an office or position,
(b) holding an office or position, or
(c) becoming or remaining a member of a body or group.
(3) In subsection (2) the reference to a provision which disqualifies a person conditionally includes a reference to a provision which enables him to be dismissed.
(4) An order under subsection (1) may repeal or revoke the disqualification provision.
(5) An order under subsection (1) may amend, or modify the effect of, the disqualification provision—
(a) so as to reduce the class of bankrupts to whom the disqualification provision applies;
(b) so as to extend the disqualification provision to some or all individuals who are subject to a bankruptcy restrictions regime;
(c) so that the disqualification provision applies only to some or all individuals who are subject to a bankruptcy restrictions regime;
(d) so as to make the application of the disqualification provision wholly or partly subject to the discretion of a specified person, body or group.
(6) An order by virtue of subsection (5)(d) may provide for a discretion to be subject to—
(a) the approval of a specified person or body;
(b) appeal to a specified person or body.
(7) An order by virtue of subsection (5)(d). . . may provide for a discretion to be subject to appeal to a specified court or tribunal ; but any such order must—
(a) if it relates to England and Wales, be made with the concurrence of the Lord Chief Justice of England and Wales;
(b) if it relates to Northern Ireland, be made with the concurrence of the Lord Chief Justice of Northern Ireland
.
(8) The Secretary of State may specify himself for the purposes of subsection (5)(d) or (6)(a) or (b).
(9) In this section “bankrupt” means an individual—
(a) who has been made bankrupt (under Part 9 of the Insolvency Act 1986),
(aa) who has been adjudged bankrupt by a court in Northern Ireland,
(b) whose estate has been sequestrated by a court in Scotland, or
(c) who has made an agreement with creditors of his for a composition of debts, for a scheme of arrangement of affairs, for the grant of a trust deed or for some other kind of settlement or arrangement.
(10) In this section “bankruptcy restrictions regime” means an order or undertaking—
(a) under Schedule 4A to the Insolvency Act 1986 (c. 45) (bankruptcy restrictions orders), or
(b) under any system operating in Scotland or Northern Ireland which appears to the Secretary of State to be equivalent to the system operating under that Schedule.
(11) In this section—
“body” includes Parliament and any other legislative body, and
“provision” means—
a provision made by an Act of Parliament passed before or in the same Session as this Act, and
a provision made, before or in the same Session as this Act, under an Act of Parliament.
(12) An order under this section—
(a) may make provision generally or for a specified purpose only,
(b) may make different provision for different purposes, and
(c) may make transitional, consequential or incidental provision.
(13) An order under this section—
(a) must be made by statutory instrument, and
(b) may not be made unless a draft has been laid before and approved by resolution of each House of Parliament.
(14) A reference in this section to the Secretary of State shall be treated as a reference to the National Assembly for Wales in so far as it relates to a disqualification provision which—
(a) is made by the National Assembly for Wales, or
(b) relates to a function of the National Assembly.
(15) Provision made by virtue of subsection (7) is subject to any order of the Lord Chancellor under section 56(1) of the Access to Justice Act 1999 (c. 22) (appeals: jurisdiction).
(16) The Lord Chief Justice may nominate a judicial office holder (as defined in section 109(4) of the Constitutional Reform Act 2005) to exercise his functions under subsection (7).
(17) The Lord Chief Justice of Northern Ireland may nominate any of the following to exercise his functions under subsection (7)—
(a) the holder of one of the offices listed in Schedule 1 to the Justice (Northern Ireland) Act 2002;
(b) a Lord Justice of Appeal (as defined in section 88 of that Act).
(1) The following shall be inserted after section 415 of the Insolvency Act 1986 (c. 45) (fees orders: individual insolvency)—
Fees orders (general)
415A (1) The Secretary of State—
(a) may by order require a body to pay a fee in connection with the grant or maintenance of recognition of the body under section 391, and
(b) may refuse recognition, or revoke an order of recognition under section 391(1) by a further order, where a fee is not paid.
(2) The Secretary of State—
(a) may by order require a person to pay a fee in connection with the grant or maintenance of authorisation of the person under section 393, and
(b) may disregard an application or withdraw an authorisation where a fee is not paid.
(3) The Secretary of State may by order require the payment of fees in respect of—
(a) the operation of the Insolvency Services Account;
(b) payments into and out of that Account.
(4) The following provisions of section 414 apply to fees under this section as they apply to fees under that section—
(a) subsection (3) (manner of payment),
(b) subsection (5) (additional provision),
(c) subsection (6) (statutory instrument),
(d) subsection (7) (payment into Consolidated Fund), and
(e) subsection (9) (saving for rules of court).
(2) An order made by virtue of subsection (1) may relate to the maintenance of recognition or authorisation granted before this section comes into force.
(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(4) In section 440(2)(c) of that Act (provisions not extending to Scotland) after “415,” there shall be inserted “ 415A(3), ”.
(1) The following shall be inserted after paragraph 16 of Schedule 8 to the Insolvency Act 1986 (company insolvency rules: money)—
16A Provision enabling the Secretary of State to set the rate of interest paid on sums which have been paid into the Insolvency Services Account.
(2) The following shall be inserted after paragraph 21 of Schedule 9 to the Insolvency Act 1986 (individual insolvency rules: money)—
21A Provision enabling the Secretary of State to set the rate of interest paid on sums which have been paid into the Insolvency Services Account.
(1) Section 405 of the Insolvency Act 1986 (operation of Investment Account) shall cease to have effect.
(2) The following shall be substituted for section 408 of that Act (recourse to Consolidated Fund)—
Adjustment of balances
408 (1) The Treasury may direct the payment out of the Consolidated Fund of sums into—
(a) the Insolvency Services Account;
(b) the Investment Account.
(2) The Treasury shall certify to the House of Commons the reason for any payment under subsection (1).
(3) The Secretary of State may pay sums out of the Insolvency Services Account into the Consolidated Fund.
(4) The National Debt Commissioners may pay sums out of the Investment Account into the Consolidated Fund.
In this Act—
“the 1973 Act” means the Fair Trading Act 1973 (c. 41);
“the 1998 Act” means the Competition Act 1998 (c. 41);
“the CMA” means the Competition and Markets Authority;
“the Director” means the Director General of Fair Trading; and
...
274 Provision of financial assistance for consumer purposes
The Secretary of State may give financial assistance to any person for the purpose of assisting—
(a) activities which the Secretary of State considers are of benefit to consumers; or
(b) the provision of—
(i) advice or information about consumer matters;
(ii) educational materials relating to consumer matters; or
(iii) advice or information to the Secretary of State in connection with the formulation of policy in respect of consumer matters.
There shall be paid out of money provided by Parliament—
(a) any expenditure incurred by the OFT, the Secretary of State, any other Minister of the Crown or a government department by virtue of this Act; and
(b) any increase attributable to this Act in the sums payable out of money so provided by virtue of any other Act.
276 Transitional or transitory provision and savings
(1) Schedule 24 (which makes transitional and transitory provisions and savings) has effect.
(2) The Secretary of State may by order made by statutory instrument make such transitional or transitory provisions and savings as he considers appropriate in connection with the coming into force of any provision of this Act.
(3) An order under subsection (2) may modify any Act or subordinate legislation.
(4) Schedule 24 does not restrict the power under subsection (2) to make other transitional or transitory provisions and savings.
(1) The Secretary of State may by order make such supplementary, incidental or consequential provision as he thinks appropriate—
(a) for the general purposes, or any particular purpose, of this Act; or
(b) in consequence of any provision made by or under this Act or for giving full effect to it.
(2) An order under this section may—
(a) modify any Act or subordinate legislation (including this Act);
(b) make incidental, supplementary, consequential, transitional, transitory or saving provision.
(3) The power to make an order under this section is exercisable by statutory instrument subject to annulment in pursuance of a resolution of either House of Parliament.
(4) The power conferred by this section is not restricted by any other provision of this Act.
The preceding provisions of this Act shall come into force on such day as the Secretary of State may by order made by statutory instrument appoint; and different days may be appointed for different purposes.
(1) Sections 256 to 265, 267, 269 and 272 extend only to England and Wales.
(2) Sections 204, 248 to 255 and 270 extend only to England and Wales and Scotland (but subsection (3) of section 415A as inserted by section 270 extends only to England and Wales).
(3) Any other modifications by this Act of an enactment have the same extent as the enactment being modified.
(4) Otherwise, this Act extends to England and Wales, Scotland and Northern Ireland.
Section 12
Appointment, etc. of President and chairmen
1 (1) A person is not eligible for appointment as President unless—
(a) he satisfies the judicial-appointment eligibility condition on a 7-year basis;
(b) he is an advocate or solicitor in Scotland of at least 7 years’ standing; or
(c) he is a member of the Bar of Northern Ireland or solicitor of the Court of Judicature of Northern Ireland of at least 7 years’ standing;
and he appears to the Lord Chancellor to have appropriate experience and knowledge of competition law and practice.
(2) A person is not eligible for appointment as a chairman unless—
(a) he satisfies the judicial-appointment eligibility condition on a 5-year basis;
(b) he is an advocate or solicitor in Scotland of at least 5 years’ standing; or
(c) he is a member of the Bar of Northern Ireland or solicitor of the Court of Judicature of Northern Ireland of at least 5 years’ standing;
and he appears to the Lord Chancellor to have appropriate experience and knowledge (either of competition law and practice or any other relevant law and practice).
(3) Before appointing an advocate or solicitor in Scotland under this paragraph, the Lord Chancellor must consult the Lord President of the Court of Session.
(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2 (1) The members appointed as President or as chairmen shall hold and vacate office in accordance with their terms of appointment, subject to the following provisions.
(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3) The President and the chairmen may resign their offices by notice in writing to the Lord Chancellor.
(4) The Lord Chancellor may remove a person from office as President or chairman on the ground of incapacity or misbehaviour.
(5) The Lord Chancellor may remove a person from office as President under sub-paragraph (4) only with the concurrence of all of the following—
(a) the Lord Chief Justice of England and Wales;
(b) the Lord President of the Court of Session;
(c) the Lord Chief Justice of Northern Ireland.
(6) The Lord Chancellor may remove a person from office as chairman under sub-paragraph (4) only with the concurrence of the appropriate senior judge.
(7) The appropriate senior judge is the Lord Chief Justice of England and Wales, unless—
(a) the person to be removed exercises functions wholly or mainly in Scotland, in which case it is the Lord President of the Court of Session, or
(b) the person to be removed exercises functions wholly or mainly in Northern Ireland, in which case it is the Lord Chief Justice of Northern Ireland.
3 If the President is absent or otherwise unable to act the Lord Chancellor may appoint as acting President any person qualified for appointment as a chairman.
Appointment, etc. of ordinary members
4 (1) Ordinary members shall hold and vacate office in accordance with their terms of appointment, subject to the following provisions.
(2) A person may not be an ordinary member for more than 8 years (but this does not prevent a temporary re-appointment for the purpose of continuing to act as a member of the Tribunal as constituted for the purposes of any proceedings instituted before the end of his term of office).
(3) An ordinary member may resign his office by notice in writing to the Secretary of State.
(4) The Secretary of State may remove a person from office as an ordinary member on the ground of incapacity or misbehaviour.
Remuneration etc. for members
5 (1) The Competition Service shall pay to the President, the chairmen and the ordinary members such remuneration (whether by way of salaries or fees), and such allowances, as the Secretary of State may determine.
(2) The Competition Service shall, if required to do so by the Secretary of State—
(a) pay such pension, allowances or gratuities as may be determined by the Secretary of State to or in respect of a person who holds or has held office as President, a chairman or an ordinary member; or
(b) make such payments as may be so determined towards provision for the payment of a pension, allowance or gratuities to or in respect of such a person.
Compensation for loss of office
6 If, where any person ceases to hold office as President, a chairman or ordinary member, the Secretary of State determines that there are special circumstances which make it right that he should receive compensation, the Competition Service shall pay to him such amount by way of compensation as the Secretary of State may determine.
Staff, accommodation and property
7 Any staff, office accommodation or equipment required for the Tribunal shall be provided by the Competition Service.
Miscellaneous
8 The President must arrange such training for members of the Tribunal as he considers appropriate.
9 In this Schedule “chairman” and “ordinary member” mean respectively a member of the panel of chairmen, or a member of the panel of ordinary members, appointed under section 12.
10 In Part 2 of Schedule 1 to the House of Commons Disqualification Act 1975 (bodies of which all members are disqualified), there is inserted at the appropriate place—
The Competition Appeal Tribunal.
11 In Part 2 of Schedule 1 to the Northern Ireland Assembly Disqualification Act 1975 (bodies of which all members are disqualified), there is inserted at the appropriate place—
The Competition Appeal Tribunal.
Section 13
Part 1 Constitution etc.
Membership of the Service
1 (1) The Service shall consist of—
(a) the President of the Competition Appeal Tribunal;
(b) the Registrar of the Competition Appeal Tribunal; and
(c) one or more appointed members.
(2) An appointed member shall be appointed by the Secretary of State after consulting the President.
Chairman of Service
2 (1) Subject to sub-paragraph (2), the members shall choose one of their number to be chairman of the Service.
(2) The Secretary of State shall designate one of the members to be the first chairman of the Service for such period as the Secretary of State may determine.
Appointed members
3 An appointed member shall hold and vacate office in accordance with the terms of his appointment (and is eligible for re-appointment).
Allowances, etc. for members
4 (1) The Service shall pay—
(a) such travelling and other allowances to its members, and
(b) such remuneration to any appointed member,
as may be determined by the Secretary of State.
(2) The Service shall, if required to do so by the Secretary of State—
(a) pay such pension, allowances or gratuities as may be determined by the Secretary of State to or in respect of a person who holds or has held office as an appointed member; or
(b) make such payments as may be so determined towards provision for the payment of a pension, allowances or gratuities to or in respect of such a person.
5 If, where any person ceases to hold office as an appointed member, the Secretary of State determines that there are special circumstances which make it right that he should receive compensation, the Service shall pay to him such amount by way of compensation as the Secretary of State may determine.
Staff
6 (1) The Service may, with the approval of the Secretary of State as to numbers and terms and conditions of service, appoint such staff as it may determine.
(2) The persons to whom section 1 of the Superannuation Act 1972 (c. 11) (persons to or in respect of whom benefits may be provided by schemes under that section) applies shall include the staff of the Service.
(3) The Service shall pay to the Minister for the Civil Service, at such times as he may direct, such sums as he may determine in respect of any increase attributable to sub-paragraph (2) in the sums payable out of money provided by Parliament under the Superannuation Act 1972.
Procedure
7 (1) The Service may regulate its own procedure (including quorum).
(2) The validity of anything done by the Service is not affected by a vacancy among its members or by a defect in the appointment of a member.
8 (1) The application of the seal of the Service shall be authenticated by the signature of—
(a) any member; or
(b) some other person who has been authorised for that purpose by the Service, whether generally or specially.
(2) Sub-paragraph (1) does not apply in relation to any document which is, or is to be, signed in accordance with the law of Scotland.
9 A document purporting to be duly executed under the seal of the Service, or signed on its behalf, shall be received in evidence and, unless the contrary is proved, be taken to be so executed or signed.
The Service’s powers
10 The Service has power to do anything which is calculated to facilitate, or is conducive or incidental to, the performance of its functions.
Accounts
11 (1) The Service shall keep proper accounts and proper records in relation to its accounts.
(2) In performing that duty the Service shall, in addition to accounts and records relating to its own activities (including the services provided to the Tribunal), keep separate accounts and separate records in relation to the activities of the Tribunal.
12 (1) The Service shall—
(a) prepare a statement of accounts in respect of each of its financial years; and
(b) prepare a statement of accounts for the Tribunal for each of its financial years.
(2) The Service must send copies of the accounts required by sub-paragraph (1) to the Secretary of State and to the Comptroller and Auditor General before the end of August following the financial year to which they relate.
(3) Those accounts must comply with any directions given by the Secretary of State with the approval of the Treasury as to—
(a) the information to be contained in them;
(b) the manner in which that information is to be presented; and
(c) the methods and principles according to which they are to be prepared.
(4) The Comptroller and Auditor General shall—
(a) examine, certify and report on each statement of accounts received by him; and
(b) lay copies of each statement before Parliament.
(5) In this paragraph “financial year” means the period of 12 months ending with 31st March.
Part 3 Miscellaneous
17 In Part 2 of Schedule 1 to the House of Commons Disqualification Act 1975 (bodies of which all members are disqualified), there is inserted at the appropriate place—
The Competition Service.
18 In Part 2 of Schedule 1 to the Northern Ireland Assembly Disqualification Act 1975 (bodies of which all members are disqualified), there is inserted at the appropriate place—
The Competition Service.
Sections 14 and 15
Part 1 General
Decisions of the Tribunal
1 (1) A decision of the Tribunal in any proceedings before it must—
(a) state the reasons for the decision;
(aa) state whether the decision was unanimous or taken by a majority or, where proceedings are heard by a chairman only, state that fact;
(b) be recorded in a document signed and dated by the chairman of the Tribunal dealing with the proceedings.
(2) In preparing that document the Tribunal shall have regard to the need for excluding, so far as practicable—
(a) information the disclosure of which would in its opinion be contrary to the public interest;
(b) commercial information the disclosure of which would or might, in its opinion, significantly harm the legitimate business interests of the undertaking to which it relates;
(c) information relating to the private affairs of an individual the disclosure of which would, or might, in its opinion, significantly harm his interests.
(3) But the Tribunal shall also have regard to the extent to which any disclosure mentioned in sub-paragraph (2) is necessary for the purpose of explaining the reasons for the decision.
(4) The President shall make such arrangements for the publication of the decisions of the Tribunal as he considers appropriate.
Enforcement of injunctions in England and Wales and Northern Ireland
1A (1) Where a person (“A”) fails to comply with an injunction granted by the Tribunal in relevant proceedings, the Tribunal may certify the matter to the High Court.
(2) The High Court may enquire into the matter.
(3) If, after hearing any witnesses who may be produced against or on behalf of A, and any statement made by or on behalf of A, the High Court is satisfied that A would have been in contempt of court if the injunction had been granted by the High Court, the High Court may deal with A as if A were in contempt.
(4) For the purposes of this paragraph, “relevant proceedings” means proceedings under—
(a) section 47A or 47B of the 1998 Act;
(b) section 101 of the Digital Markets, Competition and Consumers Act 2024;
(c) paragraph 7 of Schedule 9 to the Football Governance Act 2025.
Enforcement of decisions in Great Britain
2 If a decision of the Tribunal is registered in England and Wales in accordance with rules of court or any practice direction—
(a) payment of damages which are awarded by the decision;
(b) costs or expenses awarded by the decision; and
(c) any direction given as a result of the decision,
may be enforced by the High Court as if the damages, costs or expenses were an amount due in pursuance of a judgment or order of the High Court, or as if the direction were an order of the High Court.
3 If a decision of the Tribunal awards damages, costs or expenses, or results in any direction being given, the decision may be recorded for execution in the Books of Council and Session and shall be enforceable accordingly.
4 Subject to rules of court or any practice direction, a decision of the Tribunal may be registered or recorded for execution—
(a) for the purpose of enforcing a direction given as a result of the decision, by the Registrar of the Tribunal or a person who was a party to the proceedings;
(b) for the purpose of enforcing a decision to award damages, costs or expenses (other than a decision to which paragraph (c) applies), by the person to whom the sum concerned was awarded; and
(c) for the purpose of enforcing a decision to award damages which is the subject of an order under section 47C(3) or (4) of the 1998 Act, by the representative in the proceedings under section 47B of that Act.
Enforcement of decisions in Northern Ireland
5 (1) A decision of the Tribunal may be enforced in Northern Ireland with the leave of the High Court in Northern Ireland—
(a) in the case of a direction given as a result of the decision, by the Registrar of the Tribunal or a person who was a party to the proceedings;
(b) for the purpose of enforcing a decision to award damages, costs or expenses (other than a decision to which paragraph (c) applies), by the person to whom the sum concerned was awarded; and
(c) for the purpose of enforcing a decision to award damages which is the subject of an order under section 47C(3) or (4) of the 1998 Act, by the representative in the proceedings under section 47B of that Act.
(2) For the purpose of enforcing in Northern Ireland a decision to award damages, costs or expenses—
(a) payment may be enforced as if the damages, costs or expenses were an amount due in pursuance of a judgment or order of the High Court in Northern Ireland; and
(b) a sum equal to the amount of damages, costs or expenses shall be deemed to be payable under a money judgment within the meaning of Article 2(2) of the Judgments Enforcement (Northern Ireland) Order 1981 (S.I. 1981/226 (N.I. 6)) (and the provisions of that Order apply accordingly).
(3) For the purpose of enforcing in Northern Ireland a direction given as a result of a decision of the Tribunal, the direction may be enforced as if it were an order of the High Court in Northern Ireland.
Miscellaneous
6 A decision of the Tribunal in proceedings under section 47B of the 1998 Act which—
(a) awards damages to a person in respect of a claim made or continued on behalf of that person (but is not the subject of an order under section 47C(3) or (4) of that Act); or
(b) awards costs or expenses to a person in respect of proceedings in respect of a claim made under section 47A of that Act prior to its being continued on behalf of that person in the proceedings under section 47B,
may only be enforced by the person concerned with the permission of the High Court or Court of Session.
7 An award of costs or expenses against a representative in proceedings under section 47B of the 1998 Act may not be enforced against any person on whose behalf a claim was made or continued in those proceedings.
8 In this Part of this Schedule any reference to damages includes a reference to any sum of money (other than costs or expenses) which may be awarded in respect of a claim made under section 47A of the 1998 Act or included in proceedings under section 47B of that Act.
Part 2 Tribunal rules
General
9 (1) In this Schedule “the Tribunal”, in relation to any proceedings before it, means the Tribunal as constituted (in accordance with section 14) for the purposes of those proceedings.
(2) In this Schedule, where a paragraph is capable of applying to proceedings relating to the approval of a collective settlement under section 49A or 49B of the 1998 Act, any reference in that paragraph to “proceedings” includes a reference to those proceedings.
10 Tribunal rules may make different provision for different kinds of proceedings.
Institution of proceedings
10A (1) Tribunal rules may make provision as to proceedings on an application for a relevant warrant or section 75 of the Digital Markets, Competition and Consumers Act 2024, including provision—
(a) for the Tribunal dealing with the proceedings to consist only of the President or a member of the panel of chairmen;
(b) as to the manner in which the proceedings are to be conducted, including provision—
(i) for such applications to be determined without a hearing;
(ii) in cases where there is a hearing, for it to be held in private if the Tribunal considers it appropriate because it is considering information of a kind mentioned in paragraph 1(2);
(c) as to the persons entitled to be heard in such proceedings (where there is a hearing);
(d) for requiring persons to attend to give evidence and produce documents, and for authorising the administration of oaths to witnesses;
(e) as to the evidence which may be required or admitted and the extent to which it should be oral or written;
(f) allowing the Tribunal to fix time-limits with respect to any aspect of the proceedings and to extend any time-limit (before or after its expiry).
(2) Paragraphs 2 to 8, and 11 to 17, of this Schedule do not apply in relation to the institution or conduct of proceedings for a relevant warrant.
(3) For the purposes of this paragraph, “relevant warrant” means a warrant under—
(a) section 194 of this Act;
(b) section 28, 28A, 62, 62A, 63, 65G or 65H of the 1998 Act;
(c) section 74 of the Digital Markets, Competition and Consumers Act 2024;
(d) paragraph 3 of Schedule 8 to the Football Governance Act 2025.
11 (1) Tribunal rules may make provision as to the period within which and the manner in which proceedings are to be brought.
(2) That provision may, in particular—
(a) make further provision as to procedural aspects of the operation of the limitation or prescriptive periods in relation to claims which may be made in proceedings under section 47A of the 1998 Act, as set out in paragraph 23 of Schedule 8A to that Act;
(b) provide for the Tribunal to extend the period in which any particular proceedings may be brought; and
(c) provide for the form, contents, amendment and acknowledgement of the documents by which proceedings are to be instituted.
12 Tribunal rules may provide for the Tribunal to reject any proceedings (other than proceedings under section 47A or 47B of the 1998 Act) if it considers that—
(a) the person instituting them does not have a sufficient interest in the decision with respect to which the proceedings are brought; or
(b) the document by which he institutes them discloses no valid grounds for bringing them.
13 (1) Tribunal rules may provide for the Tribunal—
(a) to reject a claim made under section 47A of the 1998 Act or a section 47B claim if it considers that there are no reasonable grounds for making it;
(b) to reject a section 47B claim if—
(i) the Tribunal declines to make a collective proceedings order in respect of the proceedings under section 47B of the 1998 Act,
(ii) the Tribunal makes a collective proceedings order in respect of the proceedings, but the order does not provide that the claim in question is eligible for inclusion in the proceedings,
(iii) the Tribunal revokes the collective proceedings order in respect of the proceedings, or
(iv) the Tribunal varies the collective proceedings order in such a way that the claim in question is no longer included in the proceedings;
(c) to reject a section 47B claim if the claim had been previously made in proceedings under section 47A of the 1998 Act by a person who has not consented to its being continued in proceedings under section 47B of that Act.
(2) In this paragraph, “a section 47B claim” means a claim made in proceedings under section 47B of the 1998 Act at the commencement of those proceedings.
14 Tribunal rules may provide for the Tribunal to reject any proceedings if it is satisfied that the person instituting the proceedings has habitually and persistently and without any reasonable ground—
(a) instituted vexatious proceedings (whether against the same person or against different persons); or
(b) made vexatious applications in any proceedings.
15 Tribunal rules must ensure that no proceedings are rejected without giving the parties the opportunity to be heard.
Fast-track procedure
15A (1) Tribunal rules may make provision in relation to a fast-track procedure for claims made in proceedings under section 47A of the 1998 Act, including describing the factors relevant to determining whether a claim is suitable to be dealt with according to that procedure.
(2) Tribunal rules may make different provision for claims in proceedings under section 47A of the 1998 Act which are and which are not subject to the fast-track procedure.
(3) Tribunal rules may, in particular, provide for the Tribunal to—
(a) grant an interim injunction on a claim in proceedings under section 47A of the 1998 Act which is subject to the fast-track procedure to a person who has not given an undertaking as to damages, or
(b) impose a cap on the amount that a person may be required to pay under an undertaking as to damages given on the granting of such an interim injunction.
(4) In sub-paragraph (3) “an undertaking as to damages” means an undertaking to pay damages which a person sustains as a result of the interim injunction and which the Tribunal considers the person to whom the injunction is granted should pay.
Collective proceedings
15B (1) Tribunal rules may make provision in relation to collective proceedings under section 47B of the 1998 Act.
(2) Rules under sub-paragraph (1) must in particular make provision as to the following matters—
(a) the procedure governing an application for a collective proceedings order;
(b) the factors which the Tribunal must take into account in deciding whether a claim is suitable to be brought in collective proceedings (but rules need not make provision in connection with the determination as to whether claims raise the same, similar or related issues of fact or law);
(c) the factors which the Tribunal must take into account in deciding whether to authorise a person to act as a representative in collective proceedings;
(d) the procedure by which the Tribunal is to reach a decision as to whether to make a collective proceedings order;
(e) the procedure by which a person may opt in or opt out of collective proceedings;
(f) the factors which the Tribunal must take into account in deciding whether to vary or revoke a collective proceedings order;
(g) the assessment of damages in collective proceedings;
(h) the payment of damages in collective proceedings, including the procedure for publicising an award of damages;
(i) the effect of judgments and orders in collective proceedings.
Collective settlements
15C (1) Tribunal rules may make provision in relation to collective settlements under sections 49A and 49B of the 1998 Act.
(2) Rules under sub-paragraph (1) must in particular make provision as to the following matters—
(a) the procedure governing an application for approval of a proposed collective settlement;
(b) where section 49B applies, the factors which the Tribunal must take into account in deciding whether to make a collective settlement order (but rules need not make provision in connection with the determination as to whether claims raise the same, similar or related issues of fact or law);
(c) where section 49B applies, the factors which the Tribunal must take into account in deciding whether to authorise a person to act as a settlement representative in relation to a collective settlement;
(d) where section 49B applies, the procedure by which the Tribunal is to reach a decision as to whether to make a collective settlement order;
(e) the factors which the Tribunal must take into account in deciding whether to approve a proposed collective settlement;
(f) the procedure by which the Tribunal is to reach a decision as to whether to approve a collective settlement;
(g) the procedure by which a person may opt in or opt out of a collective settlement;
(h) the payment of compensation under a collective settlement, including the procedure for publicising a compensation award.
Pre-hearing reviews and preliminary matters
16 (1) Tribunal rules may make provision for the carrying out by the Tribunal of a preliminary consideration of proceedings (a “pre-hearing review”).
(2) That provision may include—
(a) provision enabling such powers to be exercised on a pre-hearing review as may be specified in the rules;
(b) provision for security and supplemental provision relating to security.
(3) For the purposes of sub-paragraph (2)(b)—
(a) “provision for security” means provision authorising the Tribunal, in specified circumstances, to order a party to the proceedings, if he wishes to continue to participate in them, to pay a deposit not exceeding such sum as may be specified or calculated in a specified manner; and
(b) “supplemental provision”, in relation to security, means provision as to—
(i) the manner in which the amount of a deposit is to be determined;
(ii) the consequences of non-payment of a deposit;
(iii) the circumstances in which the deposit, or any part of it, may be refunded to the person who paid it or paid to another party to the proceedings.
Conduct of the hearing
17 (1) Tribunal rules may make provision—
(a) as to the manner in which proceedings are to be conducted, including provision for any hearing to be held in private if the Tribunal considers it appropriate because it is considering information of a kind mentioned in paragraph 1(2);
(b) as to the persons entitled to appear on behalf of the parties;
(c) for requiring persons to attend to give evidence and produce documents, and for authorising the administration of oaths to witnesses;
(d) as to the evidence which may be required or admitted and the extent to which it should be oral or written;
(e) allowing the Tribunal to fix time limits with respect to any aspect of proceedings and to extend any time limit (before or after its expiry);
(f) enabling the Tribunal, on the application of any party or on its own initiative, to order—
(i) the disclosure between, or the production by, the parties of documents or classes of documents; or
(ii) such recovery or inspection of documents as might be ordered by a sheriff;
(g) for the appointment of experts for the purposes of proceedings;
(h) for the award of costs or expenses, including allowances payable to persons in connection with attendance before the Tribunal;
(ha) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(i) for taxing or otherwise settling any costs or expenses awarded by the Tribunal or for the enforcement of any order awarding costs or expenses.
(2) Rules under sub-paragraph (1)(h) may provide, in relation to a claim made under section 47A of the 1998 Act which is continued on behalf of a person in proceedings under section 47B of that Act, for costs or expenses to be awarded to or against that person in respect of proceedings on that claim which took place before it was included in the proceedings under section 47B of that Act.
(2A) Rules under sub-paragraph (1)(h) may provide for costs or expenses to be awarded to or against a person on whose behalf a claim is made or continued in proceedings under section 47B of the 1998 Act in respect of an application in the proceedings made by that person (where that application is not made by the representative in the proceedings on that person's behalf).
(3) Otherwise Tribunal rules may not provide for costs or expenses to be awarded to or against a person on whose behalf a claim is made or continued in proceedings under section 47B of the 1998 Act.
(4) Tribunal rules may make provision enabling the Tribunal to refer any matter arising in any proceedings (other than proceedings under section 47A or 47B of the 1998 Act) back to the authority that made the decision to which the proceedings relate, if it appears that the matter has not been adequately investigated.
(5) A person who without reasonable excuse fails to comply with—
(a) any requirement imposed by virtue of sub-paragraph (1)(c); or
(b) any requirement with respect to the disclosure, production, recovery or inspection of documents which is imposed by virtue of sub-paragraph (1)(f),
is guilty of an offence and liable on summary conviction to a fine not exceeding level 3 on the standard scale.
Quorum
18 (1) Tribunal rules may make provision as to the consequences of a member of the Tribunal being unable to continue after part of any proceedings have been heard.
(2) The rules may allow the Tribunal to consist of the remaining members for the rest of the proceedings.
(3) The rules may enable the President, if it is the chairman of the Tribunal who is unable to continue—
(a) to appoint either of the remaining members to chair the Tribunal; and
(b) if that person is not a judge within any of paragraphs (aa) to (ac) of section 12(2) or a member of the panel of chairmen, to appoint himself or some other suitably qualified person to attend the proceedings and advise the remaining members on any questions of law arising.
(4) For the purpose of sub-paragraph (3) a person is “suitably qualified” if he is, or is qualified for appointment as, a member of the panel of chairmen.
Interest
19 (1) Tribunal rules may make provision allowing the Tribunal to order that interest is payable on any sum awarded by the Tribunal or on any fees ordered to be paid under paragraph 20.
(2) That provision may include provision—
(a) as to the circumstances in which such an order may be made;
(b) as to the manner in which, and the periods in respect of which, interest is to be calculated and paid.
Fees
20 (1) Tribunal rules may provide—
(a) for fees to be chargeable in respect of specified costs of proceedings; and
(b) for the amount of such costs to be determined by the Tribunal.
(2) Any sums received in respect of such fees shall be paid into the Consolidated Fund.
Stay or sist of proceedings
20A (1) In relation to proceedings in England and Wales or Northern Ireland under section 47A or 47B of the 1998 Act, Tribunal rules may make provision as to the stay of the proceedings, including as to—
(a) the circumstances in which a stay may be ordered or removed at the request of a party to the proceedings,
(b) the circumstances in which the proceedings may be stayed at the instance of the Tribunal, and
(c) the procedure to be followed.
(2) In relation to proceedings in Scotland under section 47A or 47B of the 1998 Act, Tribunal rules may make provision as to the sist of the proceedings, including as to—
(a) the circumstances in which a sist may be granted or recalled at the request of a party to the proceedings,
(b) the circumstances in which the proceedings may be sisted at the instance of the Tribunal, and
(c) the procedure to be followed.
(3) Rules under sub-paragraph (1) or (2) may in particular make provision in relation to the stay or sist of proceedings under section 47A or 47B which relate to a claim in respect of an infringement decision (as defined in section 47A(6)) which has not become final (see section 58A of the 1998 Act).
Withdrawal of proceedings
21 (1) Tribunal rules may make provision—
(a) preventing a party who has instituted proceedings from withdrawing them without the permission of the Tribunal or, in specified circumstances, the President or the Registrar;
(b) for the Tribunal to grant permission to withdraw proceedings on such conditions as it considers appropriate;
(c) enabling the Tribunal to publish any decision which it would have made in any proceedings, had the proceedings not been withdrawn;
(d) as to the effect of withdrawal of proceedings; and
(e) as to the procedure to be followed if parties to proceedings agree to settle.
(2) Tribunal rules may make, in relation to a claim included in proceedings under section 47B of the 1998 Act, any provision which may be made under sub-paragraph (1) in relation to the whole proceedings.
Injunctions
21A Tribunal rules may make provision in relation to the grant of injunctions (including interim injunctions) in proceedings under section 47A or 47B of the 1998 Act.
Declarations and declarators
21B Tribunal rules may make provision in relation to the grant of declarations or declarators (including interim declarations or interim declarators) in proceedings under section 47A or 47B of the 1998 Act.
Interim orders
22 (1) Tribunal rules may provide for the Tribunal to make an order, on an interim basis—
(a) suspending the effect of any decision which is the subject matter of proceedings before it;
(b) in the case of an appeal under section 46 or 47 of the 1998 Act, varying the conditions or obligations attached to an exemption;
(c) granting any remedy which the Tribunal would have had power to grant in its final decision.
(2) Tribunal rules may also make provision giving the Tribunal powers similar to those given to the CMA by section 35 of the 1998 Act.
Miscellaneous
23 (1) Tribunal rules may make provision enabling the Tribunal to decide where to sit for the purposes of, or of any part of, any proceedings before it.
(2) Tribunal rules may make provision enabling the Tribunal to decide that any proceedings before it are to be treated, for purposes connected with—
(a) any appeal from a decision of the Tribunal made in those proceedings; and
(b) any other matter connected with those proceedings,
as proceedings in England and Wales, Scotland or Northern Ireland (regardless of the decision made for the purposes of sub-paragraph (1)).
(3) For the purposes of sub-paragraph (2), Tribunal rules may provide for each claim made or continued on behalf of a person in proceedings under section 47B of the 1998 Act to be treated as separate proceedings.
24 Tribunal rules may make provision—
(a) for a person who is not a party to be joined in any proceedings;
(b) for hearing a person who is not a party where, in any proceedings, it is proposed to make an order or give a direction in relation to that person;
(c) for proceedings to be consolidated on such terms as the Tribunal thinks appropriate in such circumstances as may be specified.
25 Tribunal rules may make provision for the Tribunal to transfer all or any part of a claim made in proceedings under section 47A of the 1998 Act to—
(a) the High Court or the county court in England and Wales or the High Court or a county court in Northern Ireland; or
(b) the Court of Session or a sheriff court in Scotland.
26 Tribunal rules may make provision in connection with the transfer of any proceedings from a court mentioned in paragraph 25 to the Tribunal under section 16.
SCHEDULE 5 Proceedings under Part 1 of the 1998 Act
Section 21
1 Part 1 of the 1998 Act is amended as follows.
2 In section 46 (appealable decisions)—
(a) in subsections (1) and (2), for “the Competition Commission” there is substituted “ the Tribunal ”;
(b) in subsection (3) (in the full-out words), after “other decision” there is inserted “ under this Part ”;
(c) subsection (3)(h) shall cease to have effect.
3 Section 48 (appeal tribunals) shall cease to have effect.
4 For section 49 there is substituted—
Further appeals
49 (1) An appeal lies to the appropriate court—
(a) from a decision of the Tribunal as to the amount of a penalty under section 36;
(b) from a decision of the Tribunal as to the award of damages or other sum in respect of a claim made in proceedings under section 47A or included in proceedings under section 47B (other than a decision on costs or expenses) or as to the amount of any such damages or other sum; and
(c) on a point of law arising from any other decision of the Tribunal on an appeal under section 46 or 47.
(2) An appeal under this section—
(a) may be brought by a party to the proceedings before the Tribunal or by a person who has a sufficient interest in the matter; and
(b) requires the permission of the Tribunal or the appropriate court.
(3) In this section “the appropriate court” means the Court of Appeal or, in the case of an appeal from Tribunal proceedings in Scotland, the Court of Session.
5 In section 58(1) (findings of fact by director)—
(a) in paragraph (a), after “appeal” there is inserted “ under section 46 or 47 ”; and
(b) in paragraph (b), for “an appeal tribunal” there is substituted “ the Tribunal ”.
6 In section 59(1) (interpretation of Part 1)—
(a) the definition of “appeal tribunal” shall cease to have effect;
(b) after the definition of “the Treaty” there is inserted—
“the Tribunal” means the Competition Appeal Tribunal;
“Tribunal rules” means rules under section 15 of the Enterprise Act 2002.
7 (1) Schedule 7 (the Competition Commission) is amended as follows.
(2) In paragraph 1 (interpretation)—
(a) the definitions of “appeal panel member” and “the President” shall cease to have effect; and
(b) in the definition of “general functions”, paragraph (a) and the word “or” after it shall cease to have effect.
(3) In paragraph 2 (membership), sub-paragraphs (1)(a), (3)(a) and (4) shall cease to have effect.
(4) Paragraph 4 (the President) shall cease to have effect.
(5) In paragraph 5 (the Council)—
(a) sub-paragraph (2)(b), and
(b) in sub-paragraph (3), the words “and paragraph 5 of Schedule 8”,
shall cease to have effect.
(6) Part 3 (appeals) shall cease to have effect.
8 (1) Schedule 8 (appeals) is amended as follows.
(2) Paragraph 1 shall cease to have effect.
(3) In paragraph 2 (general procedure for appeals under Part 1)—
(a) in sub-paragraph (1), for the words from “Competition” to “Commission” (in the second place it appears) there is substituted “ Tribunal under section 46 or 47 must be made by sending a notice of appeal to it ”;
(b) in sub-paragraph (3), for “tribunal” there is substituted “ Tribunal ”; and
(c) after sub-paragraph (3) there is inserted—
(4) In this paragraph references to the Tribunal are to the Tribunal as constituted (in accordance with section 14 of the Enterprise Act 2002) for the purposes of the proceedings in question.
(5) Nothing in this paragraph restricts the power under section 15 of the Enterprise Act 2002 (Tribunal rules) to make provision as to the manner of instituting proceedings before the Tribunal.
(4) In paragraph 3, for “tribunal” (in each place) there is substituted “ Tribunal ”.
(5) Paragraphs 4 to 14 shall cease to have effect.
SCHEDULE 5A Energy network mergers affecting comparative regulation: modification of Chapter 1 of Part 3
Section 68F
General modifications
1 (1) Chapter 1 (other than sections 22 and 33) has effect as if—
(a) references to a reference or possible reference under section 22 were references to a reference or possible reference under section 68B, and
(b) references to a reference or possible reference under section 33 were references to a reference or possible reference under section 68C.
(2) The references in sub-paragraph (1) to a reference under a section include —
(a) a reference made under a subsection of that section;
(b) a reference treated as made under that section.
Meaning of “the decision-making authority”
1A Section 22(7)(a) (meaning of “the decision-making authority”) has effect as if after “section 33” there were inserted “, 68B or 68C”.
Turnover
2 Section 23 (relevant merger situations) has effect as if—
(a) in subsection (1), for paragraph (b) there were substituted—
(b) the value of the turnover in Great Britain of the enterprise being taken over exceeds £100 million.
;
(b) subsections (2) to (8) were omitted.
3 Section 28 (turnover test) has effect as if—
(a) references to the United Kingdom were to Great Britain;
(b) in subsection (5)—
(i) in the words before paragraph (a), for “The CMA shall” there were substituted “The CMA and the Gas and Electricity Markets Authority must each”;
(ii) in paragraph (a), for “the sums for the time being mentioned in section 23(1)(b), (2)(c) and (4E)” there were substituted “the sum for the time being mentioned in section 23(1)(b)”;
(iii) in paragraph (b), for “sums are” there were substituted “sum is”;
(c) in subsection (6)—
(i) for “section 23(1)(b), (2)(c) and (4E)” there were substituted “paragraph 2(a) of Schedule 5A”;
(ii) for “sums” there were substituted “sum”.
Relevant customer benefits
4 Section 30 (relevant customer benefits) has effect as if—
(a) in subsection (1)(a)(i), for “lessening of competition concerned” there were substituted “prejudice to the Gas and Electricity Markets Authority”;
(b) in subsections (2)(b) and (3)(b), for “a similar lessening of competition” there were substituted “a similar prejudice to the Gas and Electricity Markets Authority”.
Time limits for decisions about references
5 Section 34ZA (time-limits for decisions about references) has effect as if—
(a) in subsection (1)(a)—
(i) the reference to section 22(2) were to section 68B(2);
(ii) the reference to section 22(3) were to section 68B(3);
(iii) the reference to section 33(2) were to section 68C(2);
(iv) the reference to section 33(3) were to section 68C(3);
(b) section (1A) were omitted.
5A Chapter 1 has effect as if sections 34ZD to 34ZF (fast-track reference requests) were omitted.
Questions to be decided in relation to completed mergers
6 Section 35 (questions to be decided in relation to completed mergers) has effect as if—
(a) in subsection (1)(a), after “situation” there were inserted “involving an energy network merger”;
(b) in subsection (1)(b), for the words from “has resulted” to the end there were substituted “has caused, or may be expected to cause, substantial prejudice to the ability of the Gas and Electricity Markets Authority to make comparisons between energy network enterprises of the type involved in the energy network merger”;
(c) for subsection (2) there were substituted—
(2) For the purposes of this section there is a prejudicial outcome if there is a situation described in subsection (1)(a) which has, or may be expected to have, the effect described in subsection (1)(b).
;
(d) in subsection (3), for “an anti-competitive outcome (within the meaning given by subsection (2)(a))” there were substituted “a prejudicial outcome”;
(e) in subsections (3)(a) and (b) and (4), for “lessening of competition” (in each place it appears) there were substituted “prejudice”.
Questions to be decided in relation to anticipated mergers
7 Section 36 (questions to be decided in relation to anticipated mergers) has effect as if—
(a) in subsection (1)(a), after “situation” there were inserted “involving an energy network merger”;
(b) in subsection (1)(b), for the words from “result” to the end there were substituted “cause substantial prejudice to the ability of the Gas and Electricity Markets Authority to make comparisons between energy network enterprises of the type involved in the energy network merger”;
(c) after subsection (1) there were inserted—
(1A) For the purposes of this section there is a prejudicial outcome if there are arrangements described in subsection (1)(a) which may be expected to have the effect described in subsection (1)(b).
;
(d) in subsection (2), for “an anti-competitive outcome (within the meaning given by section 35(2)(b))” there were substituted “a prejudicial outcome”;
(e) in subsections (2)(a) and (b) and (3), for “lessening of competition” (in each place it appears) there were substituted “prejudice”.
Time-limits for investigations and reports
7A Section 39 (time-limits for investigations and reports) has effect as if subsection (3A) were omitted.
Duty to remedy effects of completed or anticipated mergers
8 Section 41 (duty to remedy effects of completed or anticipated mergers) has effect as if—
(a) in subsection (1), for “an anti-competitive outcome” there were substituted “a prejudicial outcome (within the meaning of section 35(2) or 36(1A))”;
(b) in subsection (2)(a) and (b), for “lessening of competition” there were substituted “prejudice”;
(c) in subsection (4), for “lessening of competition” there were substituted “prejudice”.
SCHEDULE 6 Schedule to be inserted in the Water Industry Act 1991
Section 70
SCHEDULE 4ZA
Application of provisions of Enterprise Act 2002 to mergers of water enterprises
Section 34
1 Part 3 of the 2002 Act (and any other provisions of that Act so far as relating to that Part) shall apply, with such prescribed modifications as the Secretary of State considers to be necessary or expedient, in relation to water mergers and merger references under section 32 of this Act as it applies in relation to relevant merger situations and references under Part 3 of that Act.
2 The modifications made by virtue of paragraph 1 above shall include modifications to give effect to paragraphs 3 to 6 below.
3 (1) The first questions to be decided by the Competition Commission on a merger reference under section 32(a) of this Act shall be—
(a) whether arrangements are in progress which, if carried into effect, will result in a water merger; and
(b) if so, whether that merger may be expected to prejudice the ability of the Director, in carrying out his functions by virtue of this Act, to make comparisons between different water enterprises.
(2) The first questions to be decided by the Competition Commission on a merger reference under section 32(b) of this Act shall be—
(a) whether a water merger has taken place; and
(b) if so, whether that merger has prejudiced, or may be expected to prejudice, the ability of the Director, in carrying out his functions by virtue of this Act, to make comparisons between different water enterprises.
(3) Any decision of the Competition Commission on a merger reference under section 32(a) of this Act that arrangements are in progress which, if carried into effect, will result in a water merger shall be treated as a decision that no arrangements are in progress which, if carried into effect, will result in a water merger if the decision is not that of at least two-thirds of the members of the group constituted in connection with the reference in pursuance of paragraph 15 of Schedule 7 to the Competition Act 1998 (c. 41).
(4) Any decision of the Competition Commission on a merger reference under section 32(a) of this Act that a water merger may be expected to prejudice the ability of the Director, in carrying out his functions by virtue of this Act, to make comparisons between different water enterprises shall be treated as a decision that the water merger may be expected not to prejudice that ability of the Director if the decision is not that of at least two-thirds of the members of the group constituted in connection with the reference in pursuance of paragraph 15 of Schedule 7 to the Competition Act 1998.
(5) Any decision of the Competition Commission on a merger reference under section 32(b) of this Act that a water merger has taken place shall be treated as a decision that no water merger has taken place if the decision is not that of at least two-thirds of the members of the group constituted in connection with the reference in pursuance of paragraph 15 of Schedule 7 to the Competition Act 1998.
(6) Any decision of the Competition Commission on a merger reference under section 32(b) of this Act that a water merger has prejudiced, or may be expected to prejudice, the ability of the Director, in carrying out his functions by virtue of this Act, to make comparisons between different water enterprises shall be treated as a decision that the water merger has not prejudiced, or may be expected not to prejudice, that ability of the Director if the decision is not that of at least two-thirds of the members of the group constituted in connection with the reference in pursuance of paragraph 15 of Schedule 7 to the Competition Act 1998.
4 (1) In deciding, on a merger reference under section 32(a) of this Act whether to take action for the purpose of remedying, mitigating or preventing the prejudice to the Director or any adverse effect which may be expected to result from the prejudice to the Director and, if so, what action should be taken, the Competition Commission may, in particular, have regard to the effect of any such action on any relevant customer benefits in relation to the merger concerned provided that—
(a) a consideration of those benefits would not prevent a solution to the prejudice concerned; or
(b) the benefits which may be expected to accrue are substantially more important than the prejudice concerned.
(2) In deciding, on a merger reference under section 32(b) of this Act whether to take action for the purpose of remedying, mitigating or preventing the prejudice to the Director or any adverse effect which has resulted from, or may be expected to result from, the prejudice to the Director and, if so, what action should be taken, the Competition Commission may, in particular, have regard to the effect of any such action on any relevant customer benefits in relation to the merger concerned provided that—
(a) a consideration of those benefits would not prevent a solution to the prejudice concerned; or
(b) the benefits which have accrued, or may be expected to accrue, are substantially more important than the prejudice concerned.
(3) This paragraph is without prejudice to the power of the Secretary of State to provide in regulations made under paragraph 1 above for other matters to which the Competition Commission may or must have regard in deciding the questions as mentioned in sub-paragraph (1) or (2) above (including matters which are to take priority over the effect of action on relevant customer benefits).
5 (1) No enforcement action shall be taken on a merger reference under section 32(b) of this Act in respect of an actual merger unless the reference was made within the period of four months beginning with whichever is the later of—
(a) the day on which the merger took place; and
(b) the day on which the material facts about the transactions which resulted in the merger first came to the attention of the OFT or were made public (within the meaning given by section 24(3) of the 2002 Act).
(2) This paragraph is without prejudice to the power of the Secretary of State to provide in regulations made under paragraph 1 above for extensions of the four month period; and, if any such provision is made in such regulations, the provision which is to be made in regulations under paragraph 1 above by virtue of sub-paragraph (1) above or paragraph 6 below may be adjusted accordingly.
6 If, on a merger reference under section 32(b) of this Act, the Competition Commission are satisfied that the reference was not made within the period of four months mentioned in paragraph 5 above, its report on the reference shall state that fact.
7 (1) For the purposes of this Schedule a benefit is a relevant customer benefit if—
(a) it is a benefit to relevant customers in the form of—
(i) lower prices, higher quality or greater choice of goods or services in any market in the United Kingdom; or
(ii) greater innovation in relation to such goods or services; and
(b) the Competition Commission believes—
(i) in the case of a merger reference under section 32(a) of this Act, as mentioned in sub-paragraph (2) below; and
(ii) in the case of a merger reference under section 32(b) of this Act, as mentioned in sub-paragraph (3) below.
(2) The belief, in the case of a merger reference under section 32(a) of this Act, is that—
(a) the benefit may be expected to accrue within a reasonable period as a result of the merger concerned; and
(b) the benefit is unlikely to accrue without the merger concerned or a similar prejudice to the Director.
(3) The belief, in the case of a merger reference under section 32(b) of this Act is that—
(a) the benefit has accrued as a result of the merger concerned or may be expected to accrue within a reasonable period as a result of the merger concerned; and
(b) the benefit was, or is, unlikely to accrue without the merger concerned or a similar prejudice to the Director.
(4) In sub-paragraph (1) above “relevant customers” means—
(a) customers of any person carrying on an enterprise which, in the merger concerned, has ceased to be, or (as the case may be) will cease to be, a distinct enterprise;
(b) customers of such customers; and
(c) any other customers in a chain of customers beginning with the customers mentioned in paragraph (a);
and in this sub-paragraph “customers” includes future customers.
8 In this Schedule—
“customers”, “goods”, “market in the United Kingdom”, “services” and “relevant merger situation” have the same meanings as in Part 3 of the 2002 Act; and
“water merger” means a merger of any two or more water enterprises.
Schedule 6A Determination of when a foreign state newspaper merger situation has been created
Section 70A
Application of sections 23 to 29
1 (1) Sections 23 to 29 apply for the purposes of Chapter 3A of Part 1, subject to the following modifications.
(2) Section 23 is to be read as if—
(a) in subsection (1), for the amount in paragraph (b), there were substituted “£2 million”;
(b) in subsection (9), for paragraphs (a) and (b), there were substituted—
(a) in relation to the giving of a foreign state intervention notice, the time when the notice is given;
(b) in relation to the giving of a report by the CMA under section 70B, the time of the giving of the report.
(3) Section 24 is to be read as if—
(a) for subsection (1)(a) there were substituted—
(a) the two or more enterprises ceased to be distinct enterprises before the day on which—
(i) in a case to which section 23(9)(a) applies, the foreign state intervention notice relating to them is given, or
(ii) in a case to which section 23(9)(b) applies, the CMA gives its report relating to them under section 70B,
and did so not more than four months before that day; or
;
(b) in subsection (1)(b), after “distinct enterprises” there were inserted “, including facts about whether or the extent to which a foreign power is able to control or influence the policy of a person carrying on a newspaper enterprise as a result of the enterprises ceasing to be distinct enterprises,”;
(c) the reference to the CMA in subsection (2)(a) included a reference to the Secretary of State;
(d) for subsection (2)(b) there were substituted—
(b) it is given to the Secretary of State or the CMA more than four months before the day on which—
(i) in a case to which section 23(9)(a) applies, the foreign state intervention notice relating to them is given, or
(ii) in a case to which section 23(9)(b) applies, the CMA gives its report relating to them under section 70B; or
(c) the facts are made public more than four months before the day on which—
(i) in a case to which section 23(9)(a) applies, the foreign state intervention notice relating to them is given, or
(ii) in a case to which section 23(9)(b) applies, the CMA gives its report relating to them under section 70B.
.
(4) Section 25 is to be read as if—
(a) subsections (4) and (5) were omitted;
(b) the powers to extend time-limits under section 25 were not exercisable by the CMA before the giving of a foreign state intervention notice by the Secretary of State.
(5) Section 26 is to be read as if—
(a) in subsection (3)—
(i) “materially” were omitted;
(ii) for “may, for the purposes of subsections (1) and (2), be treated” there were substituted “is to be treated, for the purposes of subsections (1) and (2),”;
(b) for subsection (4) there were substituted—
(4) For the purposes of subsection (1), in so far as it relates to bringing two or more enterprises under common control, where a foreign power is already able to control or influence the policy of a person carrying on a newspaper enterprise to some extent, the foreign power is to be treated as bringing the newspaper enterprise under its control if anything is done which results in the foreign power being able to control or influence the policy of that person to a greater extent (whether by virtue of acquiring more shares or voting rights in the person, directly or indirectly, or otherwise).
(6) Section 27 is to be read as if—
(a) references to the “decision-making authority” were to “the CMA or the Secretary of State”;
(b) in subsection (5), for “a reference” there were substituted “deciding whether or when a foreign state newspaper merger situation has been created”.
(7) Section 28 is to be read as if, in subsection (4), the reference to the “decision-making authority” were to “the CMA or the Secretary of State”.
(8) Section 29 is to be read as if—
(a) in subsection (1)—
(i) the reference to the “decision-making authority” were to “the CMA or the Secretary of State”;
(ii) for “a reference” there were substituted “deciding whether or when a foreign state newspaper merger situation has been created”;
(b) in subsection (2)(a)(i) “materially” were omitted;
(c) in subsection (2)(a)(ii), for “degree” there were substituted “extent”;
(d) subsection (2)(b) and (3) were omitted.
Application of the Enterprise Act 2002 (Anticipated Mergers) Order 2003 (S.I. 2003/1595)
2 (1) The Enterprise Act 2002 (Anticipated Mergers) Order 2003 applies for the purposes of Chapter 3A of Part 1, subject to the following modifications.
(2) In Article 3, the words before paragraph (a) are to be read as if, for “in relation to references and notices”, there were substituted “for the purposes of Chapter 3A of Part 1 of the Act”.
(3) Article 3(a) is to be read as if—
(a) in the substituted version of section 27(5), for “a reference” there were substituted “deciding whether or when a foreign state news paper merger situation will be created”;
(b) the substituted version of section 27(6)(a)(i), for “the reference” there were substituted “the foreign state intervention notice relating to the situation”.
(4) Article 3(b) is to be read as if—
(a) in the substituted section 29(2)(a)(i), “materially” were omitted;
(b) in the substituted section 29(2)(a)(ii), for “degree” there were substituted “extent”;
(c) in the substituted section 29(4), for “the reference” there were substituted “the foreign state intervention notice”.
Schedule 6B Control or influence of a person by a foreign power
Section 70A
Part 1 Conditions for control or influence
1 (1) A foreign power is able to control or influence the policy of a person for the purposes of section 70A if one or more of the following conditions is met.
(2) Condition 1 is that the foreign power holds, directly or indirectly, any of the shares in the person.
(3) Condition 2 is that the foreign power holds, directly or indirectly, any of the voting rights in the person.
(4) Condition 3 is that the foreign power holds the right, directly or indirectly, to appoint or remove an officer of the person.
(5) Condition 4 is that the foreign power has the right or ability to direct, control or influence to any extent, the person’s policy or activities (in whole or in part, and whether directly or indirectly), despite not meeting condition 1, 2 or 3.
(6) Condition 5 is that—
(a) the trustees of a trust, or the members of a partnership, unincorporated association or other entity, that is not a legal person under the law by which it is governed, would, if they were a foreign power, meet one or more of conditions 1 to 4 (in their capacity as such) in relation to the person, and
(b) the foreign power has the right or ability to direct, control or influence to any extent the activities of that trust or entity (in whole or in part, and whether directly or indirectly), or has any other interest in, or right over or in relation to, the trust or entity, or any of the trustees of the trust or the members of the entity, whether directly or indirectly.
(7) This paragraph is subject to Part 1A.
2 In this Schedule, “officer”—
(a) in relation to a body corporate, means a director, member of the committee of management, chief executive, manager, secretary or other similar officer of the body, or a person purporting to act in any such capacity;
(b) in relation to a partnership, means a partner, a person purporting to act as a partner or a person concerned in the management or control of the partnership or who purports to act in the capacity of a person so concerned;
(c) in relation to an unincorporated association other than a partnership, means a person who is concerned in the management or control of the association or purports to act in the capacity of a person so concerned.
Part 1A Exceptions
Introduction
2A This Part applies where a foreign power would (apart from this Part of this Schedule) be able to control or influence the policy of a person (a “newspaper owner”) carrying on a newspaper enterprise for the purposes of section 70A by virtue of condition 1 or condition 2 in paragraph 1 (respectively, “the shares condition” and “the voting rights condition”).
State owned investors
2B (1) A foreign power (“the main foreign power”) is not able to control or influence the policy of a newspaper owner by virtue of the shares condition or the voting rights condition where—
(a) all of the shares or voting rights that the main foreign power holds in the newspaper owner are held by the foreign power, indirectly, via a state owned investor acting on behalf of the foreign power,
(b) where the state owned investor holds, directly, more than 5% but no more than 15% of the shares or voting rights in the newspaper owner, the condition in sub-paragraph (1A) is met, and
(c) the total holdings of shares or voting rights in the newspaper owner held, directly or indirectly, by state owned investors acting on behalf of any foreign power of any country or territory is no more than 15% of the shares or voting rights in the newspaper owner (subject to sub-paragraph (1D)).
(1A) The condition is that, before the end of the period of 14 days beginning with the acquisition date, the state owned investor—
(a) gives the Secretary of State a qualifying notification, and
(b) publishes on a website the information in sub-paragraph (1C).
(1B) For the purposes of sub-paragraph (1A)—
(a) a qualifying notification is a notification that the state owned investor has acquired, or proposes to acquire, shares or voting rights in the newspaper owner, with the result that the state owned investor holds, or will hold, directly, more than 5% of the shares or voting rights in the newspaper owner, and
(b) the acquisition date is the date on which the state owned investor acquires shares or voting rights in the newspaper owner, with the result that the state owned investor holds, directly, more than 5% of the shares or voting rights in the newspaper owner.
(1C) The information is—
(a) the name of the state owned investor,
(b) the foreign country or territory of the foreign power on whose behalf the state owned investor is acting,
(c) the name of the newspaper owner, and
(d) the percentage of shares or voting rights that it holds or proposes to hold in the newspaper owner as a consequence of an acquisition which has resulted or would result in the state owned investor holding, directly, more than 5% of the shares or voting rights in the newspaper owner.
(1D) For the purposes of sub-paragraph (1)(c), holdings of a state owned investor acting on behalf of a foreign power of a country or territory other than the country or territory of the main foreign power are to be ignored where they comprise no more than 5% of the shares or voting rights in a quoted company within the meaning given by section 385(2) of the Companies Act 2006.
(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2C (1) For the purposes of paragraph 2B, a person is a state owned investor acting on behalf of a foreign power where—
(a) condition 1 or 2 is met, and
(b) conditions 3 to 5 are met.
(2) Condition 1 is that the foreign power holds, directly or indirectly—
(a) 100% of the shares in the person,
(b) 100% of the voting rights in the person, or
(c) the right to appoint or remove a majority of the officers of the person.
(3) Condition 2 is that—
(a) the trustees of a trust, or the members of a partnership, unincorporated association or other entity, that is not a legal person under the law by which it is governed meet one or more of the requirements set out in sub-paragraph (4), in their capacity as such, in relation to the person, and
(b) the foreign power directs or controls the activities of that trust or entity (in whole or in part).
(4) The requirements are that the trustees or members—
(a) have the right to direct or control, or actually direct or control, the person’s activities (in whole or in part);
(b) hold, directly or indirectly, 100% of the shares in the person;
(c) hold, directly or indirectly, 100% of the voting rights in the person;
(d) hold the right, directly or indirectly, to appoint or remove a majority of the officers of the person.
(5) Condition 3 is that—
(a) the principal activity of the person is to make or manage investments, and
(b) the activities of the person include making or managing investments in countries or territories other than the country or territory of the foreign power (“the overseas investments”).
(6) Condition 4 is that the principal source of the funds for the overseas investments is the foreign power or another foreign power of the same country or territory as the foreign power.
(7) Condition 5 is that the sole purpose of the overseas investments is to benefit—
(a) the foreign power or the public or a section of the public of the country or territory of the foreign power, or
(b) where the overseas investments are made or managed for the purposes of a public pension fund of the country or territory of the foreign power, the beneficiaries of that fund.
Associated persons
2D (1) A foreign power is not able to control or influence the policy of a newspaper owner by virtue of the shares condition or the voting rights condition where—
(a) the foreign power holds shares or, as the case may be, voting rights in the newspaper owner as a result of those shares or voting rights being held by a person who is associated with the foreign power by virtue of being within section 127(4)(a), (b) or (c) (relatives, trustees etc), and
(b) the person within section 127(4)(a), (b) or (c) holds no more than 0.1% of the shares or, as the case may be, the voting rights in the newspaper owner.
(2) A foreign power is not able to control or influence the policy of a newspaper owner by virtue of the shares condition where—
(a) the foreign power holds shares in the newspaper owner as a result of those shares being held by a person who is associated with the foreign power by virtue of being within section 127(4)(a), (b) or (c), and
(b) the person within section 127(4)(a), (b) or (c) holds those shares via an investment fund which meets the genuine diversity of ownership condition.
(3) For the purposes of sub-paragraph (2)(b)—
(a) “investment fund” means—
(i) an investment fund within the meaning given by section 236(1) of the Finance (No. 2) Act 2023 (investment funds and investment entities),
(ii) arrangements that amount to a collective investment scheme (see section 235 of the Financial Services and Markets Act 2000), or
(iii) a collective investment undertaking within the meaning of regulation 3 of the Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), and
(b) an investment fund meets the genuine diversity of ownership condition where—
(i) it meets conditions A to C in regulation 75 of the Offshore Funds (Tax) Regulations 2009 (S.I. 2009/3001) (read with regulation 76 of those Regulations), or
(ii) paragraph (5) of that regulation applies to it.
Part 2 Interpretation
Interpretation
3 This Part makes provision about the interpretation of this Schedule.
Joint interests
4 If a foreign power holds a share or right jointly with another person (whether or not a foreign power), each of those persons is to be taken to hold that share or right.
Joint arrangements
5 (1) If shares or rights held by a foreign power and shares or rights held by another person (whether or not a foreign power) are the subject of a joint arrangement between those persons, each of those persons is to be taken to hold the combined shares or rights of both persons.
(2) A “joint arrangement” is an arrangement between the holders of shares (or rights) that they will exercise all or substantially all the rights conferred by their respective shares (or rights) jointly in a way that is pre-determined by the arrangement.
(3) For the meaning of “arrangement”, see paragraph 12.
Calculating shareholdings
6 (1) In relation to a person that has a share capital, a reference to holding any of the shares in that person is to holding any shares comprised in the issued share capital of that person.
(2) In relation to a person that does not have a share capital, a reference to holding any of the shares in that person is to holding a right to share to any extent in the capital or, as the case may be, profits of that person.
Voting rights
7 (1) A reference to the voting rights in a person is to the rights conferred on shareholders in respect of their shares (or, in the case of a person not having a share capital, on members) to vote at general meetings of the person on all or substantially all matters.
(2) In relation to a person that does not have general meetings at which matters are decided by the exercise of voting rights, a reference to exercising voting rights in the person is to be read as a reference to exercising rights in relation to the person that are equivalent to those of a person entitled to exercise voting rights in a company.
8 In applying this Schedule, voting rights in a person held by the person itself are to be disregarded.
Shares or rights held “indirectly”
9 (1) A foreign power holds a share “indirectly” if the foreign power has any stake in a person and that person—
(a) holds the share in question, or
(b) is part of a chain of persons—
(i) each of which (other than the last) has any stake in the person immediately below it in the chain, and
(ii) the last of which holds the share.
(2) A foreign power holds a right “indirectly” if the foreign power has any stake in a person and that person—
(a) holds that right, or
(b) is part of a chain of persons—
(i) each of which (other than the last) has any stake in the person immediately below it in the chain, and
(ii) the last of which holds that right.
(3) For the purposes of sub-paragraphs (1) and (2), a person (“A”) has “any stake” in another person (“B”) if—
(a) A holds any shares or voting rights in B,
(b) A is a member of B and has the right to appoint or remove an officer of B,
(c) A is a member of B and controls alone, or pursuant to an agreement with other shareholders or members, any of the voting rights in B, or
(d) A has the right or ability to control or influence B to any extent, despite not being within paragraph (a), (b) or (c).
Shares held by nominees
10 A share held by a person as a nominee for another is to be treated as held by the other (and not by the nominee).
Rights treated as held by person who is able to control their exercise
11 (1) Where a person controls a right, the right is to be treated as held by that person (and not by the person who in fact holds the right, unless that person also controls it).
(2) A person “controls” a right if, by virtue of any arrangement between that person and others, the right is exercisable only—
(a) by that person,
(b) in accordance with that person’s directions or instructions, or
(c) with that person’s consent or concurrence.
Arrangements
12 (1) For the purposes of this Schedule, “arrangement” includes—
(a) any scheme, agreement or understanding, whether or not it is legally enforceable, and
(b) any convention, custom or practice of any kind.
(2) But something does not count as an arrangement unless there is at least some degree of stability about it (whether by its nature or terms, the time it has been in existence or otherwise).
Rights exercisable only in certain circumstances etc
13 (1) Rights that are exercisable only in certain circumstances are to be taken into account only—
(a) where the circumstances have arisen, and for so long as they continue to obtain, or
(b) when the circumstances are within the control of the person having the rights.
(2) But rights that are exercisable by an administrator or by creditors while a person is in relevant insolvency proceedings are not to be taken into account even while the person is in those proceedings.
(3) “Relevant insolvency proceedings” means—
(a) administration within the meaning of the Insolvency Act 1986,
(b) administration within the meaning of the Insolvency (Northern Ireland) Order 1989 (S.I. 1989/2405 (N.I. 19)), or
(c) proceedings under the insolvency law of another country or territory during which a person’s assets and affairs are subject to the control or supervision of a third party or creditor.
(4) Rights that are normally exercisable but are temporarily incapable of exercise are to continue to be taken into account.
Rights attached to shares held by way of security
14 Rights attached to shares held by way of security provided by a person are to be treated for the purposes of this Schedule as held by that person—
(a) where apart from the right to exercise them for the purpose of preserving the value of the security, or of realising it, the rights are exercisable only in accordance with that person’s instructions, and
(b) where the shares are held in connection with the granting of loans as part of normal business activities and apart from the right to exercise them for the purpose of preserving the value of the security, or of realising it, the rights are exercisable only in that person’s interests.
Part 3 Power to amend circumstances in which there is control or influence
15 (1) The Secretary of State may by regulations make provision—
(a) to change (by increasing or decreasing) the proportion of shares or rights which a foreign power must hold in a person carrying on a newspaper enterprise, whether directly or indirectly, in order for the foreign power to be able to control or influence the policy of a person for the purposes of section 70A;
(b) to change (by increasing or decreasing) the proportion of shares or rights which is to be held by persons in a chain of persons for the purposes of determining whether shares or rights are held indirectly;
(c) about assumptions which are to be made when determining whether a foreign power is able to control or influence the policy of a person, including assumptions framed by reference to the ownership of shares or voting rights by any person;
(d) about the extent to which a foreign power needs to be able to control or influence the policy of a person in order to control or influence that policy for the purposes of section 70A, including provision about a foreign power that is already able to control or influence the policy of a person to some extent being able to control or influence that policy to a greater extent;
(e) to change or supplement Part 1 of this Schedule so as to include circumstances (for example, circumstances involving more complex structures) that give a foreign power a level of control or influence in relation to the policy of a person broadly similar to the level of control or influence given by the conditions in paragraph 1;
(f) in consequence of any provision made by virtue of paragraph (e), to change or supplement Part 2 of this Schedule so that circumstances specified in that Part in which a person is to be regarded as holding an interest in another person correspond to any of the conditions in paragraph 1, or would do so but for the extent of the interest.
(2) The provision that may be made under this paragraph, read with section 124(2)(a), includes—
(a) different provision for different descriptions of foreign power, and
(b) different provision for different persons or descriptions of person in a chain of persons.
(3) Regulations under this paragraph may, among other things—
(a) confer a discretion on the CMA;
(b) make provision having effect on or after 13 March 2024.
SCHEDULE 7 Enforcement regime for public interest and special public interest cases
Section 85
Pre-emptive undertakings and orders
1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2 (1) Sub-paragraph (2) applies where an intervention notice or special intervention notice is in force.
(2) The Secretary of State or the CMA may by order, for the purpose of preventing pre-emptive action—
(a) prohibit or restrict the doing of things which the Secretary of State or (as the case may be) the CMA considers would constitute pre-emptive action;
(b) impose on any person concerned obligations as to the carrying on of any activities or the safeguarding of any assets;
(c) provide for the carrying on of any activities or the safeguarding of any assets either by the appointment of a person to conduct or supervise the conduct of any activities (on such terms and with such powers as may be specified or described in the order) or in any other manner;
(d) do anything which may be done by virtue of paragraph 19 of Schedule 8.
(2A) Sub-paragraph (2B) applies where—
(a) an intervention notice or special intervention notice is in force, and
(b) the Secretary of State or the CMA has reasonable grounds for suspecting that pre-emptive action has or may have been taken.
(2B) The Secretary of State or (as the case may be) the CMA may by order, for the purpose of restoring the position to what it would have been had the pre-emptive action not been taken or otherwise for the purpose of mitigating its effects—
(a) do anything mentioned in sub-paragraph (2)(b) to (d);
(b) impose such other obligations, prohibitions or restrictions as it considers appropriate for that purpose.
(2C) A person may, with the consent of the Secretary of State or (as the case may be) the CMA, take action or action of a particular description where the action would otherwise constitute a contravention of an order under this paragraph by the Secretary of State or (as the case may be) the CMA.
(3) Sub-paragraph (4) applies where an intervention notice is in force.
(4) The Secretary of State ... may, for the purpose of preventing pre-emptive action, adopt an order made by the CMA under section 72 if the order is still in force when the Secretary of State ... adopts it.
(5) An order adopted under sub-paragraph (4)—
(a) shall continue in force, in accordance with its terms, when adopted; and
(b) may be varied or revoked by an order under this paragraph.
(6) Any other order under this paragraph—
(a) shall come into force at such time as is determined by or under the order; and
(b) may be varied or revoked by another order.
(7) References in this Part to orders under this paragraph shall, unless the context otherwise requires, include references to orders adopted under this paragraph; and references to the making of orders under this paragraph shall be construed accordingly.
(8) An order which is in force under this paragraph in relation to a reference or possible reference under section 45 or (as the case may be) 62 shall cease to be in force if an undertaking under paragraph ... 3 comes into force in relation to that reference.
(9) An order under this paragraph shall, if it has not previously ceased to be in force, cease to be in force when the intervention notice concerned or (as the case may be) special intervention notice concerned ceases to be in force.
(10) No order shall be made by the Secretary of State or the CMA under this paragraph before the making of a reference under section 45 or (as the case may be) 62 unless—
(a) the Secretary of State or (as the case may be) the CMA has reasonable grounds for suspecting that it is or may be the case that two or more enterprises have ceased to be distinct or that arrangements are in progress or in contemplation which, if carried into effect, will result in two or more enterprises ceasing to be distinct; or
(b) the order relates to a special merger situation which has been, or may have been, created.
(11) The Secretary of State or (as the case may be) the CMA shall, as soon as reasonably practicable, consider any representations received by that person in relation to varying or revoking an order under this paragraph.
(12) In this paragraph “pre-emptive action” means action which might prejudice the reference or possible reference concerned under section 45 or (as the case may be) 62 or impede the taking of any action under this Part which may be justified by the Secretary of State's decisions on the reference.
Undertakings in lieu of reference under section 45 or 62
3 (1) Sub-paragraph (2) applies if the Secretary of State has power to make a reference to the Commission under section 45 or 62 and otherwise intends to make such a reference.
(2) The Secretary of State may, instead of making such a reference and for the purpose of remedying, mitigating or preventing any of the effects adverse to the public interest which have or may have resulted, or which may be expected to result, from the creation of the relevant merger situation concerned or (as the case may be) the special merger situation concerned, accept from such of the parties concerned as he considers appropriate undertakings to take such action as he considers appropriate.
(3) In proceeding under sub-paragraph (2), the Secretary of State shall, in particular—
(a) accept the decisions of the CMA included in its report under section 44 so far as they relate to the matters mentioned in subsections (4) and (5) of that section; or
(b) (as the case may be) accept the decisions of the CMA included in its report under section 61 so far as they relate to the matters mentioned in subsections (3)(a) and (4) of that section.
(4) In proceeding under sub-paragraph (2) in relation to an anti-competitive outcome, the Secretary of State may, in particular, have regard to the effect of any action on any relevant customer benefits in relation to the creation of the relevant merger situation concerned.
(5) No undertaking shall be accepted by the Secretary of State under this paragraph in connection with a possible reference under section 45 if a public interest consideration mentioned in the intervention notice concerned has not been finalised and the period of 24 weeks beginning with the giving of that notice has not expired.
(6) The Secretary of State may delay making a decision as to whether to accept any such undertaking (and any related decision as to whether to make a reference under section 45) if he considers that there is a realistic prospect of the public interest consideration being finalised within the period of 24 weeks beginning with the giving of the intervention notice concerned.
(7) A delay under sub-paragraph (6) shall not extend beyond—
(a) the time when the public interest consideration is finalised; or
(b) if earlier, the expiry of the period of 24 weeks mentioned in that sub-paragraph.
(8) An undertaking under this paragraph—
(a) shall come into force when accepted;
(b) may be varied or superseded by another undertaking; or
(c) may be released by the Secretary of State.
(9) An undertaking under this paragraph which is in force in relation to a relevant merger situation or (as the case may be) a special merger situation shall cease to be in force if an order comes into force under paragraph 5 or 6 in relation to that undertaking.
(10) The Secretary of State shall, as soon as reasonably practicable, consider any representations received by him in relation to varying or releasing an undertaking under this section.
(11) In sub-paragraphs (8) and (10), “Secretary of State” includes the Chancellor of the Duchy of Lancaster.
4 (1) The relevant authority shall not make a reference under section 22, 33 , 45, 68B or 68C in relation to the creation of a relevant merger situation or (as the case may be) a reference under section 62 in relation to the creation of a special merger situation if—
(a) the Secretary of State has accepted an undertaking or group of undertakings under paragraph 3; and
(b) the relevant merger situation or (as the case may be) the special merger situation is the situation by reference to which the undertaking or group of undertakings was accepted.
(2) In sub-paragraph (1) “the relevant authority” means—
(a) in relation to a possible reference under section 22 , 33, 68B or 68C, the CMA; and
(b) in relation to a possible reference under section 45 or 62, the Secretary of State.
(3) Sub-paragraph (1) does not prevent the making of a reference if material facts about relevant arrangements or transactions, or relevant proposed arrangements or transactions, were not notified (whether in writing or otherwise) to the Secretary of State or the CMA or made public before any undertaking concerned was accepted.
(4) For the purposes of sub-paragraph (3) arrangements or transactions, or proposed arrangements or transactions, are relevant if they are the ones in consequence of which the enterprises concerned ceased or may have ceased, or may cease, to be distinct enterprises.
(5) In sub-paragraph (3) “made public” means so publicised as to be generally known or readily ascertainable.
5 (1) Sub-paragraph (2) applies where the Secretary of State considers that—
(a) an undertaking accepted ... under paragraph 3 has not been, is not being or will not be fulfilled; or
(b) in relation to an undertaking accepted ... under that paragraph, information which was false or misleading in a material respect was given to the Secretary of State or the CMA by the person giving the undertaking before he decided to accept the undertaking.
(2) The Secretary of State may, for any of the purposes mentioned in paragraph 3(2), make an order under this paragraph.
(3) Sub-paragraphs (3) and (4) of paragraph 3 shall apply for the purposes of sub-paragraph (2) above as they apply for the purposes of sub-paragraph (2) of that paragraph.
(4) An order under this paragraph may contain—
(a) anything permitted by Schedule 8; and
(b) such supplementary, consequential or incidental provision as the Secretary of State considers appropriate.
(5) An order under this paragraph
(a) shall come into force at such time as is determined by or under the order; and
(b) may contain provision which is different from the provision contained in the undertaking concerned.
(6) No order shall be varied or revoked under this paragraph unless the CMA advises that such a variation or revocation is appropriate by reason of a change of circumstances.
(7) In this paragraph, “Secretary of State” includes the Chancellor of the Duchy of Lancaster.
6 (1) Sub-paragraph (2) applies where—
(a) the Secretary of State has the power to make an order under paragraph 5 in relation to a particular undertaking and intends to make such an order; or
(b) the Secretary of State has the power to make an order under paragraph 10 in relation to a particular undertaking and intends to make such an order.
(2) The Secretary of State may, for the purpose of preventing any action which might prejudice the making of that order, make an order under this paragraph.
(3) No order shall be made under sub-paragraph (2) unless the Secretary of State has reasonable grounds for suspecting that it is or may be the case that action which might prejudice the making of the order under paragraph 5 or (as the case may be) 10 is in progress or in contemplation.
(4) An order under sub-paragraph (2) may—
(a) prohibit or restrict the doing of things which the Secretary of State considers would prejudice the making of the order under paragraph 5 or 10;
(b) impose on any person concerned obligations as to the carrying on of any activities or the safeguarding of any assets;
(c) provide for the carrying on of any activities or the safeguarding of any assets either by the appointment of a person to conduct or supervise the conduct of any activities (on such terms and with such powers as may be specified or described in the order) or in any other manner;
(d) do anything which may be done by virtue of paragraph 19 of Schedule 8.
(5) An order under this paragraph shall come into force at such time as is determined by or under the order.
(6) An order under this paragraph shall, if it has not previously ceased to be in force, cease to be in force on—
(a) the coming into force of an order under paragraph 5 or (as the case may be) 10 in relation to the undertaking concerned; or
(b) the making of the decision not to proceed with such an order.
(7) The Secretary of State shall, as soon as reasonably practicable, consider any representations received by him in relation to varying or revoking an order under this paragraph.
(8) In this paragraph, “Secretary of State” includes the Chancellor of the Duchy of Lancaster.
Statutory restrictions following reference under section 45 or 62
7 (1) Sub-paragraphs (2) and (3) apply where—
(a) a reference has been made under section 45(2) or (3) or 62(2) but not finally determined; and
(b) no orders under paragraph 2 are in force in relation to the relevant merger situation concerned or (as the case may be) the special merger situation concerned.
(2) No relevant person shall, without the consent of the Secretary of State—
(a) complete any outstanding matters in connection with any arrangements which have resulted in the enterprises concerned ceasing to be distinct enterprises;
(b) make any further arrangements in consequence of that result (other than arrangements which reverse that result); or
(c) transfer the ownership or control of any enterprises to which the reference relates.
(3) No relevant person shall, without the consent of the Secretary of State, assist in any of the activities mentioned in paragraphs (a) to (c) of sub-paragraph (2).
(4) The prohibitions in sub-paragraphs (2) and (3) do not apply in relation to anything which the person concerned is required to do by virtue of any enactment.
(5) The consent of the Secretary of State under sub-paragraph (2) or (3)—
(a) may be general or specific;
(b) may be revoked by the Secretary of State; and
(c) shall be published in such manner as the Secretary of State considers appropriate for bringing it to the attention of any person entitled to the benefit of it.
(6) Paragraph (c) of sub-paragraph (5) shall not apply if the Secretary of State considers that publication is not necessary for the purpose mentioned in that paragraph.
(7) Sub-paragraphs (2) and (3) shall apply to a person’s conduct outside the United Kingdom if (and only if) he is—
(a) a United Kingdom national;
(b) a body incorporated under the law of the United Kingdom or of any part of the United Kingdom; or
(c) a person carrying on business in the United Kingdom.
(8) For the purpose of this paragraph a reference under section 45(2) or (3) is finally determined if—
(a) the time within which the CMA is to prepare a report under section 50 in relation to the reference and give it to the Secretary of State has expired and no such report has been so prepared and given;
(b) the CMA decides to cancel the reference under section 53(1);
(c) the time within which the Secretary of State is to make and publish a decision under section 54(2) has expired and no such decision has been made and published;
(d) the Secretary of State decides under section 54(2) to make no finding at all in the matter;
(e) the Secretary of State otherwise decides under section 54(2) not to make an adverse public interest finding;
(f) the Secretary of State decides under section 54(2) to make an adverse public interest finding but decides neither to accept an undertaking under paragraph 9 of this Schedule nor to make an order under paragraph 11 of this Schedule; or
(g) the Secretary of State decides under section 54(2) to make an adverse public interest finding and accepts an undertaking under paragraph 9 of this Schedule or makes an order under paragraph 11 of this Schedule.
(9) For the purpose of this paragraph a reference under section 62(2) is finally determined if—
(a) the time within which the CMA is to prepare a report under section 65 in relation to the reference and give it to the Secretary of State has expired and no such report has been so prepared and given;
(b) the time within which the Secretary of State is to make and publish a decision under section 66(2) has expired and no such decision has been made and published;
(c) the Secretary of State decides under subsection (2) of section 66 otherwise than as mentioned in subsection (5) of that section;
(d) the Secretary of State decides under subsection (2) of section 66 as mentioned in subsection (5) of that section but decides neither to accept an undertaking under paragraph 9 of this Schedule nor to make an order under paragraph 11 of this Schedule; or
(e) the Secretary of State decides under subsection (2) of section 66 as mentioned in subsection (5) of that section and accepts an undertaking under paragraph 9 of this Schedule or makes an order under paragraph 11 of this Schedule.
(10) For the purposes of this paragraph the time when a reference under section 45(2) or (3) or (as the case may be) 62(2) is finally determined is—
(a) in a case falling within sub-paragraph (8)(a) or (c) or (as the case may be) (9)(a) or (b), the expiry of the time concerned;
(b) in a case falling within sub-paragraph (8)(b), (d) or (e) or (as the case may be) (9)(c), the making of the decision concerned;
(c) in a case falling within sub-paragraph (8)(f) or (as the case may be) (9)(d), the making of the decision neither to accept an undertaking under paragraph 9 of this Schedule nor to make an order under paragraph 11 of this Schedule; and
(d) in a case falling within sub-paragraph (8)(g) or (as the case may be) (9)(e), the acceptance of the undertaking concerned or (as the case may be) the making of the order concerned.
(11) In this paragraph “relevant person” means—
(a) any person who carries on any enterprise to which the reference relates or who has control of any such enterprise;
(b) any subsidiary of any person falling within paragraph (a); or
(c) any person associated with any person falling within paragraph (a) or any subsidiary of any person so associated.
8 (1) Sub-paragraph (2) applies where—
(a) a reference has been made under section 45(4) or (5) or 62(3); and
(b) no orders under paragraph 2 are in force in relation to the relevant merger situation concerned or (as the case may be) the special merger situation concerned.
(2) No relevant person shall, without the consent of the Secretary of State, directly or indirectly acquire during the relevant period an interest in shares in a company if any enterprise to which the reference relates is carried on by or under the control of that company.
(3) The consent of the Secretary of State under sub-paragraph (2)—
(a) may be general or specific;
(b) may be revoked by the Secretary of State; and
(c) shall be published in such manner as the Secretary of State considers appropriate for bringing it to the attention of any person entitled to the benefit of it.
(4) Paragraph (c) of sub-paragraph (3) shall not apply if the Secretary of State considers that publication is not necessary for the purpose mentioned in that paragraph.
(5) Sub-paragraph (2) shall apply to a person’s conduct outside the United Kingdom if (and only if) he is—
(a) a United Kingdom national;
(b) a body incorporated under the law of the United Kingdom or of any part of the United Kingdom; or
(c) a person carrying on business in the United Kingdom.
(6) In this paragraph—
“company” includes any body corporate;
“relevant period” means the period beginning with the publication of the decision of the Secretary of State to make the reference concerned and ending when the reference is finally determined;
“relevant person” means—
any person who carries on any enterprise to which the reference relates or who has control of any such enterprise;
any subsidiary of any person falling within paragraph (a); or
any person associated with any person falling within paragraph (a) or any subsidiary of any person so associated; and
“share” means share in the capital of a company, and includes stock.
(7) For the purposes of the definition of “relevant period” in sub-paragraph (6), a reference under section 45(4) or (5) is finally determined if—
(a) the CMA cancels the reference under section 48(1) or 53(1);
(b) the time within which the CMA is to prepare a report under section 50 in relation to the reference and give it to the Secretary of State has expired and no such report has been so prepared and given;
(c) the time within which the Secretary of State is to make and publish a decision under section 54(2) has expired and no such decision has been made and published;
(d) the Secretary of State decides under section 54(2) to make no finding at all in the matter;
(e) the Secretary of State otherwise decides under section 54(2) not to make an adverse public interest finding;
(f) the Secretary of State decides under section 54(2) to make an adverse public interest finding but decides neither to accept an undertaking under paragraph 9 of this Schedule nor to make an order under paragraph 11 of this Schedule; or
(g) the Secretary of State decides under section 54(2) to make an adverse public interest finding and accepts an undertaking under paragraph 9 of this Schedule or makes an order under paragraph 11 of this Schedule.
(8) For the purposes of the definition of “relevant period” in sub-paragraph (6), a reference under section 62(3) is finally determined if—
(a) the CMA cancels the reference under section 64(1);
(b) the time within which the CMA is to prepare a report under section 65 in relation to the reference and give it to the Secretary of State has expired and no such report has been so prepared and given;
(c) the time within which the Secretary of State is to make and publish a decision under section 66(2) has expired and no such decision has been made and published;
(d) the Secretary of State decides under subsection (2) of section 66 otherwise than as mentioned in subsection (5) of that section;
(e) the Secretary of State decides under subsection (2) of section 66 as mentioned in subsection (5) of that section but decides neither to accept an undertaking under paragraph 9 of this Schedule nor to make an order under paragraph 11 of this Schedule; or
(f) the Secretary of State decides under subsection (2) of section 66 as mentioned in subsection (5) of that section and accepts an undertaking under paragraph 9 of this Schedule or makes an order under paragraph 11 of this Schedule.
(9) For the purposes of the definition of “relevant period” in sub-paragraph (6) above, the time when a reference under section 45(4) or (5) or (as the case may be) 62(3) is finally determined is—
(a) in a case falling within sub-paragraph (7)(a), (d) or (e) or (as the case may be) (8)(a) or (d), the making of the decision concerned;
(b) in a case falling within sub-paragraph (7)(b) or (c) or (as the case may be) (8)(b) or (c), the expiry of the time concerned;
(c) in a case falling within sub-paragraph (7)(f) or (as the case may be) (8)(e), the making of the decision neither to accept an undertaking under paragraph 9 of this Schedule nor to make an order under paragraph 11 of this Schedule; and
(d) in a case falling within sub-paragraph (7)(g) or (as the case may be) (8)(f), the acceptance of the undertaking concerned or (as the case may be) the making of the order concerned.
(10) Section 79 shall apply for the purposes of paragraph 7 and this paragraph in relation to a reference under section 45 or 62 as it applies for the purposes of sections 77 and 78 in relation to a reference under section 22 or 33.
(11) In its application by virtue of sub-paragraph (10) section 79 shall have effect as if—
(a) subsections (1) and (2) were omitted; and
(b) for the reference in subsection (4) to the CMA there were substituted a reference to the Secretary of State.
Final undertakings and orders
9 (1) The Secretary of State may, in accordance with section 55 or (as the case may be) 66(5) to (7), accept, from such persons as he considers appropriate, undertakings to take action specified or described in the undertakings.
(2) An undertaking under this paragraph—
(a) shall come into force when accepted;
(b) may be varied or superseded by another undertaking; and
(c) may be released by the Secretary of State.
(3) An undertaking which is in force under this paragraph in relation to a reference under section 45 or 62 shall cease to be in force if an order under paragraph 6(1)(b) or 10 comes into force in relation to the subject-matter of the undertaking.
(4) No undertaking shall be accepted under this paragraph in relation to a reference under section 45 or 62 if an order has been made under—
(a) paragraph 6(1)(b) or 10 in relation to the subject-matter of the undertaking; or
(b) paragraph 11 in relation to that reference.
(5) The Secretary of State shall, as soon as reasonably practicable, consider any representations received by him in relation to varying or releasing an undertaking under this section.
10 (1) Sub-paragraph (2) applies where the Secretary of State considers that—
(a) an undertaking accepted by him under paragraph 9 has not been, is not being or will not be fulfilled; or
(b) in relation to an undertaking accepted by him under that paragraph, information which was false or misleading in a material respect was given to him or the CMA by the person giving the undertaking before he decided to accept the undertaking.
(2) The Secretary of State may, for any purpose mentioned in section 55(2) or (as the case may be) 66(6), make an order under this paragraph.
(3) Subsections (3) and (4) of section 55 or (as the case may be) subsection (7) of section 66 shall apply for the purposes of sub-paragraph (2) above as they or it applies for the purposes of section 55(2) or (as the case may be) 66(6).
(4) An order under this paragraph may contain—
(a) anything permitted by Schedule 8; and
(b) such supplementary, consequential or incidental provision as the Secretary of State considers appropriate.
(5) An order under this paragraph—
(a) shall come into force at such time as is determined by or under the order; and
(b) may contain provision which is different from the provision contained in the undertaking concerned.
(6) No order shall be varied or revoked under this paragraph unless the CMA advises that such a variation or revocation is appropriate by reason of a change of circumstances.
11 (1) The Secretary of State may, in accordance with section 55 or (as the case may be) 66(5) to (7), make an order under this paragraph.
(2) An order under this paragraph may contain—
(a) anything permitted by Schedule 8; and
(b) such supplementary, consequential or incidental provision as the Secretary of State considers appropriate.
(3) An order under this paragraph shall come into force at such time as is determined by or under the order.
(4) No order shall be made under this paragraph in relation to a reference under section 45 or (as the case may be) 62 if an undertaking has been accepted under paragraph 9 in relation to that reference.
(5) No order shall be varied or revoked under this paragraph unless the CMA advises that such a variation or revocation is appropriate by reason of a change of circumstances.
SCHEDULE 8 Provision that may be contained in certain enforcement orders
Section 86(4)
Introductory
1 This Schedule applies in relation to such orders, and to such extent, as is provided by this Part and Part 4 and any other enactment; and references in this Schedule to an order shall be construed accordingly.
General restrictions on conduct
2 (1) An order may—
(a) prohibit the making or performance of an agreement;
(b) require any party to an agreement to terminate the agreement.
(2) An order made by virtue of sub-paragraph (1) shall not—
(a) prohibit the making or performance of; or
(b) require any person to terminate,
an agreement so far as, if made, the agreement would relate, or (as the case may be) so far as the agreement relates, to the terms and conditions of employment of any workers or to the physical conditions in which any workers are required to work.
3 (1) An order may prohibit the withholding from any person of—
(a) any goods or services;
(b) any orders for any such goods or services.
(2) References in sub-paragraph (1) to withholding include references to—
(a) agreeing or threatening to withhold; and
(b) procuring others to withhold or to agree or threaten to withhold.
4 An order may prohibit requiring as a condition of the supply of goods or services to any person—
(a) the buying of any goods;
(b) the making of any payment in respect of services other than the goods or services supplied;
(c) the doing of any other such matter or the refraining from doing anything mentioned in paragraph (a) or (b) or any other such matter.
5 An order may prohibit—
(a) discrimination between persons in the prices charged for goods or services;
(b) anything which the relevant authority considers to be such discrimination;
(c) procuring others to do anything which is such discrimination or which the relevant authority considers to be such discrimination.
6 An order may prohibit—
(a) giving, or agreeing to give in other ways, any preference in respect of the supply of goods or services or in respect of the giving of orders for goods or services;
(b) giving, or agreeing to give in other ways, anything which the relevant authority considers to be a preference in respect of the supply of goods or services or in respect of the giving of orders for goods or services;
(c) procuring others to do anything mentioned in paragraph (a) or (b).
7 An order may prohibit—
(a) charging, for goods or services supplied, prices differing from those in any published list or notification;
(b) doing anything which the relevant authority considers to be charging such prices.
8 (1) An order may regulate the prices to be charged for any goods or services.
(2) No order shall be made by virtue of sub-paragraph (1) unless the relevant report in relation to the matter concerned identifies the prices charged for the goods or services as requiring remedial action.
(3) In this paragraph “the relevant report” means the report of the CMA which is required by the enactment concerned before an order can be made under this Schedule.
9 An order may prohibit the exercise of any right to vote exercisable by virtue of the holding of any shares, stock or securities.
General obligations to be performed
10 (1) An order may require a person to supply goods or services or to do anything which the relevant authority considers appropriate to facilitate the provision of goods or services.
(2) An order may require a person who is supplying, or is to supply, goods or services to supply such goods or services to a particular standard or in a particular manner or to do anything which the relevant authority considers appropriate to facilitate the provision of such goods or services to that standard or in that manner.
11 An order may require any activities to be carried on separately from any other activities.
Acquisitions and divisions
12 (1) An order may prohibit or restrict—
(a) the acquisition by any person of the whole or part of the undertaking or assets of another person’s business;
(b) the doing of anything which will or may result in two or more bodies corporate becoming interconnected bodies corporate.
(2) An order may require that if—
(a) an acquisition of the kind mentioned in sub-paragraph (1)(a) is made; or
(b) anything is done which results in two or more bodies corporate becoming interconnected bodies corporate;
the persons concerned or any of them shall observe any prohibitions or restrictions imposed by or under the order.
(3) This paragraph shall also apply to any result consisting in two or more enterprises ceasing to be distinct enterprises (other than any result consisting in two or more bodies corporate becoming interconnected bodies corporate).
13 (1) An order may provide for—
(a) the division of any business (whether by the sale of any part of the undertaking or assets or otherwise);
(b) the division of any group of interconnected bodies corporate.
(2) For the purposes of sub-paragraph (1)(a) all the activities carried on by way of business by any one person or by any two or more interconnected bodies corporate may be treated as a single business.
(3) An order made by virtue of this paragraph may contain such provision as the relevant authority considers appropriate to effect or take account of the division, including, in particular, provision as to—
(a) the transfer or creation of property, rights, liabilities or obligations;
(b) the number of persons to whom the property, rights, liabilities or obligations are to be transferred or in whom they are to be vested;
(c) the time within which the property, rights, liabilities or obligations are to be transferred or vested;
(d) the adjustment of contracts (whether by discharge or reduction of any liability or obligation or otherwise);
(e) the creation, allotment, surrender or cancellation of any shares, stock or securities;
(f) the formation or winding up of any company or other body of persons corporate or unincorporate;
(g) the amendment of the articles or other instruments regulating any such company or other body of persons;
(h) the extent to which, and the circumstances in which, provisions of the order affecting a company or other body of persons corporate or unincorporate in its share capital, constitution or other matters may be altered by the company or other body of persons concerned;
(i) the registration of the order under any enactment by a company or other body of persons corporate or unincorporate which is affected by it as mentioned in paragraph (h);
(j) the continuation, with any necessary change of parties, of any legal proceedings;
(k) the approval by the relevant authority or another person of anything required by virtue of the order to be done or of any person to whom anything is to be transferred, or in whom anything is to be vested, by virtue of the order; or
(l) the appointment of trustees or other persons to do anything on behalf of another person which is required of that person by virtue of the order or to monitor the doing by that person of any such thing.
14 The references in paragraph 13 to the division of a business as mentioned in sub-paragraph (1)(a) of that paragraph shall, in the case of an order under section 75, 83, 84, 160 or 161, or an order under paragraph 5, 10 or 11 of Schedule 7, be construed as including references to the separation, by the sale of any part of any undertaking or assets concerned or other means, of enterprises which are under common control (within the meaning of section 26) otherwise than by reason of their being enterprises of interconnected bodies corporate.
Supply and publication of information
15 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
16 An order may prohibit any person from notifying (whether by publication or otherwise) to persons supplying goods or services prices recommended or suggested as appropriate to be charged by those persons for those goods or services.
17 (1) An order may require a person supplying goods or services to publish or otherwise notify —
(a) accounting information in relation to the supply of the goods or services;
(b) information in relation to the quantities of goods or services supplied;
(c) information in relation to the geographical areas in which they are supplied.
(d) information in relation to prices of the goods or services supplied;
(e) such other information in relation to the goods or services supplied as the relevant authority considers appropriate.
(1A) An order may prohibit the publication or other notification of information falling within sub-paragraph (1)(a) to (e) by a person supplying goods or services.
(2) In sub-paragraph (1) “accounting information”, in relation to a supply of goods or services, means information as to—
(a) the costs of the supply, including fixed costs and overheads;
(b) the manner in which fixed costs and overheads are calculated and apportioned for accounting purposes of the supplier; and
(c) the income attributable to the supply.
18 An order made by virtue of paragraph ... 17 may provide for the manner in which information is to be published or otherwise notified.
19 An order may—
(a) require any person to supply information to the relevant authority;
(b) where the CMA is not the relevant authority, require any person to supply information to the CMA;
(c) provide for the publication, by the person who has received information by virtue of paragraph (a) or (b), of that information.
National security
20 (1) An order may make such provision as the person making the order considers to be appropriate in the interests of national security ... .
(2) Such provision may, in particular, include provision requiring a person to do, or not to do, particular things.
News media mergers
20A (1) This paragraph applies in relation to any order—
(a) which is to be made following the giving of—
(i) an intervention notice which mentions a news media public interest consideration;
(ii) an intervention notice which mentions any other media public interest consideration in relation to a relevant merger situation in which one of the enterprises ceasing to be distinct is a news media enterprise;
(iii) a special intervention notice which mentions a consideration specified in section 58(2A) or (2B); or
(iv) a special intervention notice which, in relation to a special merger situation in which one of the enterprises ceasing to be distinct is a news media enterprise, mentions a consideration specified in section 58(2C); and
(b) to which the consideration concerned is still relevant.
(1A) This paragraph also applies in relation to an order under section 70C(2) (order to prevent foreign control of a newspaper enterprise).
(2) The order may make such provision as the person making the order considers to be appropriate in all circumstances of the case.
(3) Such provision may, in particular, include provision requiring a person to do, or not to do, particular things.
(4) Provision made by virtue of this paragraph may, in particular, include provision—
(a) altering the constitution of a body corporate (whether in connection with the appointment of directors, the establishment of an editorial board or otherwise);
(b) requiring the agreement of the relevant authority or another person before the taking of particular action (including the appointment or dismissal of an editor, journalists or directors or acting as a shadow director);
(c) attaching conditions to the operation of a news media enterprise;
(d) prohibiting consultation or co-operation between subsidiaries.
(5) In this paragraph “news media public interest consideration” means a media public interest consideration other than one which is such a consideration—
(a) by virtue of section 58(2C); or
(b) by virtue of having been, in the opinion of the Secretary of State, concerned with broadcasting (other than the broadcasting of news programmes) and a consideration that ought to have been specified in section 58.
(5A) In this paragraph, “news media enterprise” means—
(a) a newspaper enterprise; or
(b) an enterprise consisting in or involving the broadcasting of news programmes.
(6) This paragraph is without prejudice to the operation of the other paragraphs of this Schedule in relation to the order concerned.
Maintaining the stability of the UK financial system
20B. (1) This paragraph applies for the purposes of a relevant order under paragraph 5, 10 or 11 of Schedule 7 (enforcement orders in cases relating to the stability of the UK financial system) but not for any other purposes of Part 3 or 4 or any other enactment.
(2) The order may make such provision as the person making the order considers to be appropriate in the interest of maintaining the stability of the UK financial system.
(3) Such provision may, in particular, include provision requiring a person to do, or not to do, particular things.
(4) This paragraph is without prejudice to the operation of the other paragraphs of this Schedule in relation to the order.
(5) In this paragraph “relevant order” means an order—
(a) which is to be made following the giving of an intervention notice or special intervention notice which mentions the consideration specified in section 58(2D) (including, in the case of a notice given before the consideration was so specified, an intervention notice which mentions the consideration as a consideration which ought to be specified in section 58); and
(b) to which the consideration is still relevant.
Maintaining the capability to combat etc public health emergencies
20BA. (1) This paragraph applies for the purposes of a relevant order under paragraph 5, 10 or 11 of Schedule 7 (enforcement orders in cases relating to maintaining the capability to combat etc public health emergencies) but not for any other purposes of this Part or Part 4 or any other enactment.
(2) The order may make such provision as the person making the order considers to be appropriate for the purpose of maintaining in the United Kingdom the capability to combat, or to mitigate the effects of, public health emergencies.
(3) Such provision may, in particular, include provision requiring a person to do, or not to do, particular things.
(4) This paragraph is without prejudice to the operation of the other paragraphs of this Schedule in relation to the order.
(5) In this paragraph “relevant order” means an order—
(a) which is to be made following the giving of an intervention notice or special intervention notice which mentions the consideration specified in section 58(2E); and
(b) to which the consideration is still relevant.
Maintaining the continuity of the supply of telecommunications services
20BB (1) This paragraph applies for the purposes of a relevant order under paragraph 5, 10 or 11 of Schedule 7 (enforcement orders in cases relating to maintaining the continuity of the supply of telecommunications services etc) but not for any other purposes of this Part or Part 4 or any other enactment.
(2) The order may make such provision as the person making the order considers to be appropriate in order to maintain in the United Kingdom the continuity of the supply of telecommunications services for the purposes specified in section 58(2EA).
(3) Such provision may, in particular, include provision requiring a person to do, or not to do, particular things.
(4) This paragraph is without prejudice to the operation of the other paragraphs of this Schedule in relation to the order.
(5) In this paragraph “relevant order” means an order—
(a) which is to be made following the giving of an intervention notice or special intervention notice which mentions the consideration specified in section 58(2EA); and
(b) to which the consideration is still relevant.
Monitoring of compliance and determination of disputes
20C (1) An order may provide for the appointment of one or more than one person (referred to in this paragraph as an “appointee”) by the relevant authority or by such other persons as may be specified or described in the order to—
(a) monitor compliance with such terms of the order as are so specified or described or terms of any directions given under the order;
(b) determine any dispute between persons who are subject to the order about what is required by any such terms.
(2) An order made by virtue of this paragraph must make provision as to the terms of an appointee's appointment.
(3) A determination made by virtue of an order under this paragraph is binding on—
(a) any person who is subject to the order;
(b) the relevant authority; and
(c) in the case where the relevant authority is the Secretary of State or the Chancellor of the Duchy of Lancaster, the CMA.
Supplementary
21 (1) An order, as well as making provision in relation to all cases to which it may extend, may make provision in relation to—
(a) those cases subject to specified exceptions; or
(b) any particular case or class of case.
(2) An order may, in relation to the cases in relation to which it applies, make the full provision which may be made by it or any less provision (whether by way of exception or otherwise).
(3) An order may make provision for matters to be determined under the order.
(4) An order may—
(a) make different provision for different cases or classes of case or different purposes;
(b) make such transitional, transitory or saving provision as the person making it considers appropriate.
22 (1) An order which may prohibit the doing of anything (or the refraining from doing anything) may in particular by virtue of paragraph 21(2) prohibit the doing of that thing (or the refraining from doing of it) except to such extent and in such circumstances as may be provided by or under the order.
(2) Any such order may, in particular, prohibit the doing of that thing (or the refraining from doing of it)—
(a) without the agreement of the relevant authority or another person; or
(b) by or in relation to a person who has not been approved by the relevant authority or another person.
Interpretation
23 References in this Schedule to the notification of prices or other information are not limited to the notification in writing of prices or other information.
24 In this Schedule “the relevant authority” means—
(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b) in the case of an order to be made by the CMA, the CMA; ...
(c) in the case of an order to be made by the Secretary of State, the Secretary of State ; and
(d) in the case of an order to be made by the Chancellor of the Duchy of Lancaster, the Chancellor of the Duchy of Lancaster.
SCHEDULE 9 Certain amendments of sectoral enactments
Sections 86(5), 164(2) and 168(9)
Part 1 Power of enforcement orders to amend licence conditions etc.
Telecommunications Act 1984 (c. 12)
1 (1) Section 95 of the Telecommunications Act 1984 (modification of licence conditions by order) shall be amended as follows.
(2) For subsections (1) and (2) there shall be substituted—
(1) Where the Office of Fair Trading, the Commission or (as the case may be) the Secretary of State (in this section “the relevant authority”) makes a relevant order, the order may also provide for the revocation or modification of licences granted under section 7 above to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.
(2) In subsection (1) above, “relevant order” means—
(a) an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the Enterprise Act 2002 where—
(i) one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was engaged in the carrying on of a commercial activity connected with telecommunications; or
(ii) one or more than one of the enterprises which will or may cease to be distinct enterprises is engaged in the carrying on of a commercial activity connected with telecommunications; or
(b) an order under section 160 or 161 of that Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition relates to commercial activities connected with telecommunications.
(3) For subsection (3) there shall be substituted—
(3) Expressions used in subsection (2) above and in Part 3 or (as the case may be) Part 4 of the Enterprise Act 2002 have the same meanings in that subsection as in that Part.
Airports Act 1986 (c. 31)
2 (1) Section 54 of the Airports Act 1986 (modification of certain conditions in force under Part 4 of that Act) shall be amended as follows.
(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3) Subsection (3) shall cease to have effect.
(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Gas Act 1986 (c. 44)
4 (1) Section 27 of the Gas Act 1986 (modification of licence conditions by order) shall be amended as follows.
(2) For subsection (1) there shall be substituted—
(1) Where the Office of Fair Trading, the Competition Commission or (as the case may be) the Secretary of State (in this section “the relevant authority”) makes a relevant order, the order may also provide for the modification of—
(a) the conditions of a particular licence; or
(b) the standard conditions of licences under section 7 above, licences under subsection (1) of section 7A above or licences under subsection (2) of that section,
to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.
(1ZA) In subsection (1) above “relevant order” means—
(a) an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the Enterprise Act 2002 where—
(i) one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was engaged in the carrying on of activities authorised or regulated by a licence; or
(ii) one or more than one of the enterprises which will or may cease to be distinct enterprises is engaged in the carrying on of activities authorised or regulated by a licence; or
(b) an order under section 160 or 161 of that Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition relates to—
(i) activities authorised or regulated by a licence; or
(ii) the storage of gas on terms which have been determined by the holder of a licence under section 7 above, or could have been determined by the holder if he had thought fit or had been required to determine them by or under a condition of the licence.
(3) In subsection (2)—
(a) for the words “Secretary of State” there shall be substituted “ relevant authority ”;
(b) for the words “section, he” there shall be substituted “ section, the relevant authority ”; and
(c) for the words “as he considers” there shall be substituted “ as the relevant authority considers ”.
(4) Subsections (3) and (4) shall cease to have effect.
(5) In subsection (5)—
(a) for the words “Secretary of State” there shall be substituted “ relevant authority ”; and
(b) for the words “he”, in both places where they appear, there shall be substituted “ the relevant authority ”.
(6) For subsection (6) there shall be substituted—
(6) Expressions used in subsection (1ZA) above and in Part 3 or (as the case may be) Part 4 of the Enterprise Act 2002 have the same meanings in that subsection as in that Part.
Electricity Act 1989 (c. 29)
5 (1) Section 15 of the Electricity Act 1989 (modification of licence conditions by order) shall be amended as follows.
(2) For subsections (1) and (2) there shall be substituted—
(1) Where the Office of Fair Trading, the Competition Commission or (as the case may be) the Secretary of State (in this section “the relevant authority”) makes a relevant order, the order may also provide for the modification of the conditions of a particular licence, or the standard conditions of licences of any type mentioned in section 6(1), to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.
(2) In subsection (1) above “relevant order” means—
(a) an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the Enterprise Act 2002 where—
(i) one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was engaged in the carrying on of activities authorised or regulated by a licence; or
(ii) one or more than one of the enterprises which will or may cease to be distinct enterprises is engaged in the carrying on of activities authorised or regulated by a licence; or
(b) an order under section 160 or 161 of that Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition relates to the generation, transmission, distribution or supply of electricity.
(3) For subsection (2B) there shall be substituted—
(2B) Where the relevant authority modifies under subsection (1) the standard conditions of licences of any type, the relevant authority—
(a) shall also make (as nearly as may be) the same modifications of those conditions for the purposes of their incorporation in licences of that type granted after that time; and
(b) may, after consultation with the Authority, make such incidental or consequential modifications as the relevant authority considers necessary or expedient of any conditions of any licence of that type granted before that time.
(4) In subsection (2C)—
(a) for the words “Secretary of State” there shall be substituted “ relevant authority ”; and
(b) for the words “he”, in both places where they appear, there shall be substituted “the relevant authority”.
(5) For subsection (3) there shall be substituted—
(3) Expressions used in subsection (2) above and in Part 3 or (as the case may be) Part 4 of the Enterprise Act 2002 have the same meanings in that subsection as in that Part.
Broadcasting Act 1990 (c. 42)
6 For section 193 of the Broadcasting Act 1990 (modification of networking arrangements in consequence of reports under competition legislation) there shall be substituted—
Modification of networking arrangements in consequence of competition legislation
193 (1) Where the Office of Fair Trading, the Competition Commission or (as the case may be) the Secretary of State (in this section “the relevant authority”) makes a relevant order, the order may also provide for the modification of any networking arrangements to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.
(2) In subsection (1) “relevant order” means—
(a) an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the Enterprise Act 2002 where—
(i) one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was engaged in the provision of programmes for broadcasting in regional Channel 3 services; or
(ii) one or more than one of the enterprises which will or may cease to be distinct enterprises is engaged in the provision of such programmes; or
(b) an order under section 160 or 161 of that Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition relates to the provision of programmes for broadcasting in regional Channel 3 services.
(3) Expressions used in subsection (2) and in Part 3 or (as the case may be) Part 4 of the Enterprise Act 2002 have the same meanings in that subsection as in that Part.
(4) In this section —
“networking arrangements” means any such arrangements as are mentioned in section 39(1) above; and
“regional Channel 3 service” has the meaning given by section 14(6) above.
Water Industry Act 1991 (c. 56)
7 (1) Section 17 of the Water Industry Act 1991 (modification of conditions of appointment by order) shall be amended as follows.
(2) For subsections (1) and (2) there shall be substituted—
(1) Where the OFT, the Competition Commission or (as the case may be) the Secretary of State (in this section “the relevant authority”) makes a relevant order, the order may, subject to subsection (3), also provide for the modification of the conditions of a company’s appointment under this Chapter to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.
(2) In subsection (1) above “relevant order” means—
(a) an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the 2002 Act where—
(i) one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was carried on by a relevant undertaker; or
(ii) one or more than one of the enterprises which will or may cease to be distinct enterprises is carried on by a relevant undertaker; or
(b) an order under section 160 or 161 of the 2002 Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition is—
(i) the structure or an aspect of the structure of a market for the supply of goods or services by a relevant undertaker; or
(ii) the conduct of a relevant undertaker or of customers of a relevant undertaker.
(3) For subsection (4) there shall be substituted—
(4) Expressions used in subsection (2) above and in Part 3 or (as the case may be) Part 4 of the 2002 Act have the same meanings in that subsection as in that Part.
8 In section 36(1) of that Act (interpretation of Part 2 of that Act)—
(a) the definition of “the 1973 Act”, and the word “and” at the end of the definition, shall cease to have effect; and
(b) at the end of the subsection there shall be inserted—
“the 2002 Act” means the Enterprise Act 2002;
.
Electricity (Northern Ireland) Order 1992 (S.I. 1992/231 (N.I. 1))
9 For article 18 of the Electricity (Northern Ireland) Order 1992 (modification of licence conditions by order) there shall be substituted—
Modification by order under other statutory provisions
18 (1) Where the Office of Fair Trading, the Competition Commission or (as the case may be) the Secretary of State (in this Article “the relevant authority”) makes a relevant order, the order may also provide for the modification of the conditions of a licence to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.
(2) In paragraph (1) “relevant order” means—
(a) an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the Enterprise Act 2002 where—
(i) one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was engaged in the carrying on of activities authorised or regulated by a licence; or
(ii) one or more than one of the enterprises which will or may cease to be distinct enterprises is engaged in the carrying on of activities authorised or regulated by a licence; or
(b) an order under section 160 or 161 of that Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition relates to the generation, transmission or supply of electricity.
(3) In paragraph (2) expressions which are also used in Part 3 or, as the case may be, Part 4 of the Enterprise Act 2002 have the same meanings as in that Part of that Act.
Railways Act 1993 (c. 43)
10 (1) Section 16 of the Railways Act 1993 (modification of licence conditions by order) shall be amended as follows.
(2) For subsections (1) and (2) there shall be substituted—
(1) Where the OFT, the Competition Commission or (as the case may be) the Secretary of State (in this section “the relevant authority”) makes a relevant order, the order may also provide for the modification of the conditions of a licence to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.
(2) In subsection (1) above “relevant order” means—
(a) an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the Enterprise Act 2002 where—
(i) one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was engaged in the supply of services relating to railways; or
(ii) one or more than one of the enterprises which will or may cease to be distinct enterprises is engaged in the supply of services relating to railways; or
(b) an order under section 160 or 161 of that Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition relates to the supply of services relating to railways.
(3) In subsection (3) for the words “Secretary of State” there shall be substituted “ relevant authority ”.
(4) For subsection (5) there shall be substituted—
(5) Expressions used in subsection (2) above and in Part 3 or (as the case may be) Part 4 of the Enterprise Act 2002 have the same meanings in that subsection as in that Part; and in subsection (2) above “services relating to railways” has the same meaning as in section 67(2A) of this Act.
Airports (Northern Ireland) Order 1994 (S.I. 1994/426 (N.I. 1))
11 (1) Article 45 of the Airports (Northern Ireland) Order 1994 (modification of certain conditions in force under Part 4 of that Order) shall be amended as follows.
(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3) Paragraph (3) shall cease to have effect.
(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
12 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Gas (Northern Ireland) Order 1996 (S.I. 1996/275 (N.I. 2))
13 (1) Article 18 of the Gas (Northern Ireland) Order 1996 (modification of licence conditions by order) shall be amended as follows.
(2) For paragraph (1) there shall be substituted—
(1) Where the Office of Fair Trading, the Competition Commission or (as the case may be) the Secretary of State (in this Article “the relevant authority”) makes a relevant order, the order may also provide for the modification of—
(a) the conditions of a particular licence; or
(b) the standard conditions of licences under sub-paragraph (a), (b) or (c) of Article 8(1),
to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.
(1A) In paragraph (1) “relevant order” means—
(a) an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the Enterprise Act 2002 where—
(i) one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was engaged in the carrying on of activities authorised or regulated by a licence; or
(ii) one or more than one of the enterprises which will or may cease to be distinct enterprises is engaged in the carrying on of activities authorised or regulated by a licence; or
(b) an order under section 160 or 161 of that Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition relates to activities authorised or regulated by a licence.
(3) In paragraph (2)—
(a) for the words “Secretary of State modifies under paragraph (1)(ii)” there shall be substituted “ relevant authority modifies under paragraph (1)(b) ”; and
(b) for the word “he”, in both places where it appears, there shall be substituted “ the relevant authority ”.
(4) Paragraph (3) shall cease to have effect.
(5) In paragraph (4)—
(a) for the words “Secretary of State” there shall be substituted “ relevant authority ”; and
(b) for the word “he”, in both places where it appears, there shall be substituted “ the relevant authority ”.
(6) For paragraph (5) there shall be substituted—
(5) Expressions used in paragraph (1A) above and in Part 3 or (as the case may be) Part 4 of the Enterprise Act 2002 have the same meanings in that paragraph as in that Part.
Postal Services Act 2000 (c. 26)
14 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Transport Act 2000 (c. 38)
15 (1) Section 19 of the Transport Act 2000 (modification of licence conditions by order) shall be amended as follows.
(2) For subsections (1) to (4) there shall be substituted—
(1) Where the Office of Fair Trading, the Competition Commission or (as the case may be) the Secretary of State (in this section “the relevant authority”) makes a relevant order, the order may also provide for the modification of the conditions of a licence to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.
(2) In subsection (1) above “relevant order” means—
(a) an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the 2002 Act where—
(i) one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was engaged in the provision of air traffic services; or
(ii) one or more than one of the enterprises which will or may cease to be distinct enterprises is engaged in the provision of air traffic services; or
(b) an order under section 160 or 161 of that Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition relates to the provision of air traffic services.
(3) In subsection (5) for the words “Secretary of State” there shall be substituted “ relevant authority ”.
(4) For subsection (6) there shall be substituted—
(6) Expressions used in subsection (2) above and in Part 3 or (as the case may be) Part 4 of the 2002 Act have the same meanings in that subsection as in that Part.
(5) In subsection (7) for the words “1973 Act is the Fair Trading Act 1973” there shall be substituted “ 2002 Act is the Enterprise Act 2002 ”.
Part 2 Application of Part 4 of this Act to sectoral regulators
Telecommunications Act 1984 (c. 12)
16 (1) Section 50 of the Telecommunications Act 1984 (application of monopoly provisions etc. to the Director General of Telecommunications) shall be amended as follows.
(2) For subsection (2) (monopoly functions to be exercisable concurrently by the Director General of Telecommunications) there shall be substituted—
(2) The functions to which subsection (2A) below applies shall be concurrent functions of the Director and the Office of Fair Trading.
(2A) This subsection applies to the functions of the Office of Fair Trading under Part 4 of the Enterprise Act 2002 (other than sections 166 and 171) so far as relating to commercial activities connected with telecommunications.
(2B) So far as necessary for the purposes of, or in connection with, subsections (2) and (2A) above, references in Part 4 of the Act of 2002 to the Office of Fair Trading (including references in provisions of that Act applied by that Part) shall be construed as including references to the Director (except in sections 166 and 171 of that Act and in any other provision of that Act where the context otherwise requires).
(3) For subsection (4) there shall be substituted—
(4) Before the Office of Fair Trading or the Director first exercises in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above, that person shall consult the other.
(4A) Neither the Office of Fair Trading nor the Director shall exercise in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above if functions which are so exercisable have been exercised in relation to that matter by the other.
(4) In subsection (6)—
(a) for the words “subsection (2)” there shall be substituted “ subsection (2A) ”;
(b) the words from “or paragraph” to “Act 1994” shall cease to have effect; and
(c) for the words “Part IV or section 86 or 88 of the 1973 Act” there shall be substituted “ Part 4 of the Enterprise Act 2002 ”.
(5) For subsection (6A) there shall be substituted—
(6A) Section 117 of the Enterprise Act 2002 (offences of supplying false or misleading information) as applied by section 180 of that Act shall have effect so far as relating to functions exercisable by the Director by virtue of subsection (2) above as if the references in section 117(1)(a) and (2) to the Office of Fair Trading included references to the Director.
(6) Subsection (7) shall cease to have effect.
Gas Act 1986 (c. 44)
17 (1) Section 36A of the Gas Act 1986 (application of monopoly provisions etc. to the Gas and Electricity Markets Authority) shall be amended as follows.
(2) For subsection (2) (monopoly functions to be exercisable concurrently by the Gas and Electricity Markets Authority) there shall be substituted—
(2) The functions to which subsection (2A) below applies shall be concurrent functions of the Authority and the Office of Fair Trading.
(2A) This subsection applies to the functions of the Office of Fair Trading under Part 4 of the Enterprise Act 2002 (other than sections 166 and 171) so far as relating to commercial activities connected with the carrying on of activities to which this subsection applies.
(2B) So far as necessary for the purposes of, or in connection with, subsections (2) and (2A) above, references in Part 4 of the Act of 2002 to the Office of Fair Trading (including references in provisions of that Act applied by that Part) shall be construed as including references to the Authority (except in sections 166 and 171 of that Act and in any other provision of that Act where the context otherwise requires).
(3) In subsection (4) for the word “(2)” there shall be substituted “ (2A) ”.
(4) For subsection (5) there shall be substituted—
(5) Before the Office of Fair Trading or the Authority first exercises in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above, it shall consult the other.
(5A) Neither the Office of Fair Trading nor the Authority shall exercise in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above if functions which are so exercisable have been exercised in relation to that matter by the other.
(5) In subsection (7) for the words “Part IV or section 86 or 88 of the 1973 Act” there shall be substituted “ Part 4 of the Enterprise Act 2002 ”.
(6) For subsection (8) there shall be substituted—
(8) Section 117 of the Enterprise Act 2002 (offences of supplying false or misleading information) as applied by section 180 of that Act shall have effect so far as relating to functions exercisable by the Authority by virtue of subsection (2) above as if the references in section 117(1)(a) and (2) to the Office of Fair Trading included references to the Authority.
(7) Subsection (9) shall cease to have effect.
(8) In subsection (10) for the words “mentioned in subsection (2) or (3) above” there shall be substituted “ exercisable by the Authority by virtue of subsection (2) or (3) above ”.
Electricity Act 1989 (c. 29)
18 (1) Section 43 of the Electricity Act 1989 (application of monopoly provisions etc. to the Gas and Electricity Markets Authority) shall be amended as follows.
(2) For subsection (2) (monopoly functions to be exercisable concurrently by the Gas and Electricity Markets Authority) there shall be substituted—
(2) The functions to which subsection (2A) below applies shall be concurrent functions of the Authority and the Office of Fair Trading.
(2A) This subsection applies to the functions of the Office of Fair Trading under Part 4 of the Enterprise Act 2002 (other than sections 166 and 171) so far as relating to commercial activities connected with the generation, transmission or supply of electricity.
(2B) So far as necessary for the purposes of, or in connection with, subsections (2) and (2A) above, references in Part 4 of the Act of 2002 to the Office of Fair Trading (including references in provisions of that Act applied by that Part) shall be construed as including references to the Authority (except in sections 166 and 171 of that Act and in any other provision of that Act where the context otherwise requires).
(3) For subsection (4) there shall be substituted—
(4) Before the Office of Fair Trading or the Authority first exercises in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above, it shall consult the other.
(4A) Neither the Office of Fair Trading nor the Authority shall exercise in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above if functions which are so exercisable have been exercised in relation to that matter by the other.
(4) In subsection (6)—
(a) for the word “(2)” there shall be substituted “ (2A) ”;
(b) the words from“or paragraph” to “Act 1994” shall cease to have effect; and
(c) for the words “Part IV or section 86 or 88 of the 1973 Act” there shall be substituted “ Part 4 of the Enterprise Act 2002 ”.
(5) For subsection (6A) there shall be substituted—
(6A) Section 117 of the Enterprise Act 2002 (offences of supplying false or misleading information) as applied by section 180 of that Act shall have effect so far as relating to functions exercisable by the Authority by virtue of subsection (2) above as if the references in section 117(1)(a) and (2) to the Office of Fair Trading included references to the Authority.
(6) Subsection (7) shall cease to have effect.
Water Industry Act 1991 (c. 56)
19 (1) Section 31 of the Water Industry Act 1991 (application of monopoly provisions etc. to the Director General of Water Services) shall be amended as follows.
(2) For subsection (2) (monopoly functions to be exercisable concurrently by the Director General of Water Services) there shall be substituted—
(2) The functions to which subsection (2A) below applies shall be concurrent functions of the Director and the OFT.
(2A) This subsection applies to the functions of the OFT under Part 4 of the 2002 Act (other than sections 166 and 171) so far as relating to commercial activities connected with the supply of water or the provision of sewerage services.
(3) For subsection (4) there shall be substituted—
(4) So far as necessary for the purposes of, or in connection with, subsections (2) and (2A) above, references in Part 4 of the 2002 Act to the OFT (including references in provisions of that Act applied by that Part) shall be construed as including references to the Director (except in sections 166 and 171 of that Act and in any other provision of that Act where the context otherwise requires).
(4) For subsections (5) and (6) there shall be substituted—
(5) Before the OFT or the Director first exercises in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above, that person shall consult the other.
(6) Neither the OFT nor the Director shall exercise in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above if functions which are so exercisable have been exercised in relation to that matter by the other.
(5) In subsection (8)—
(a) the words from “or paragraph” to “Act 1994” shall cease to have effect; and
(b) for the words “Part IV or section 86 or 88 of the 1973 Act” there shall be substituted “ Part 4 of the 2002 Act ”.
(6) For subsection (8A) there shall be substituted—
(8A) Section 117 of the 2002 Act (offences of supplying false or misleading information) as applied by section 180 of that Act shall have effect so far as relating to functions exercisable by the Director by virtue of subsection (2) above as if the references in section 117(1)(a) and (2) to the OFT included references to the Director.
(7) Subsection (9) shall cease to have effect.
Electricity (Northern Ireland) Order 1992 (S.I. 1992/231 (N.I. 1))
20 (1) Article 46 of the Electricity (Northern Ireland) Order 1992 (application of monopoly provisions etc. to the Director General of Electricity Supply for Northern Ireland) shall be amended as follows.
(2) For paragraph (2) (monopoly functions to be exercisable concurrently by the Director) there shall be substituted—
(2) The functions to which paragraph (2A) applies shall be concurrent functions of the Director and the Office of Fair Trading.
(2A) This paragraph applies to the functions of the Office of Fair Trading under Part 4 of the Enterprise Act 2002 (other than sections 166 and 171) so far as relating to commercial activities connected with the generation, transmission or supply of electricity.
(2B) So far as necessary for the purposes of, or in connection with, paragraphs (2) and (2A), references in Part 4 of the Act of 2002 to the Office of Fair Trading (including references in provisions of that Act applied by that Part) shall be construed as including references to the Director (except in sections 166 and 171 of that Act and in any other provision of that Act where the context otherwise requires).
(3) For paragraph (4) there shall be substituted—
(4) Before the Office of Fair Trading or the Director first exercises in relation to any matter functions which are exercisable concurrently by virtue of paragraph (2), it or he shall consult the other.
(4A) Neither the Office of Fair Trading nor the Director shall exercise in relation to any matter functions which are exercisable concurrently by virtue of paragraph (2) if functions which are so exercisable have been exercised in relation to that matter by the other.
(4) In paragraph (6)—
(a) for the words “paragraph (2)” there shall be substituted “ paragraph (2A) ”;
(b) the words from “or paragraph” to “Act 1994” shall cease to have effect; and
(c) for the words “Part IV or section 86 or 88 of the 1973 Act” there shall be substituted “ Part 4 of the Enterprise Act 2002 ”.
(5) For paragraph (6A) there shall be substituted—
(6A) Section 117 of the Enterprise Act 2002 (offences of supplying false or misleading information) as applied by section 180 of that Act shall have effect so far as relating to functions exercisable by the Director by virtue of paragraph (2) as if the references in section 117(1)(a) and (2) to the Office of Fair Trading included references to the Director.
(6) Paragraph (7) shall cease to have effect.
Railways Act 1993 (c. 43)
21 (1) Section 67 of the Railways Act 1993 (application of monopoly provisions etc. to the Rail Regulator) shall be amended as follows.
(2) For subsection (2) (monopoly functions to be exercisable concurrently by the Rail Regulator) there shall be substituted—
(2) The functions to which subsection (2A) below applies shall be concurrent functions of the Regulator and the OFT.
(2A) This subsection applies to the functions of the OFT under Part 4 of the Enterprise Act 2002 (other than sections 166 and 171) so far as relating to the supply of services relating to railways.
(2B) So far as necessary for the purposes of, or in connection with, subsections (2) and (2A) above, references in Part 4 of the Act of 2002 to the OFT (including references in provisions of that Act applied by that Part) shall be construed as including references to the Regulator (except in sections 166 and 171 of that Act and in any other provision of that Act where the context otherwise requires).
(3) In subsection (3ZA) for the words “subsection (3)” there shall be substituted “ subsections (2A) and (3) ”.
(4) For subsection (4) there shall be substituted—
(4) Before the OFT or the Regulator first exercises in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above, that person shall consult the other.
(4A) Neither the OFT nor the Regulator shall exercise in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above if functions which are so exercisable have been exercised in relation to that matter by the other.
(5) In subsection (7)—
(a) for the words “on a monopoly reference” there shall be substituted “ under section 136 or 142 of the Enterprise Act 2002 ”;
(b) the words from “was made” to “that it” shall cease to have effect; and
(c) for the word “him” there shall be substituted “ the Regulator ”.
(6) In subsection (8)—
(a) for the word “(2)” there shall be substituted “ (2A) ”;
(b) the words from “or paragraph” to “Act 1994” shall cease to have effect; and
(c) for the words “Part IV or section 86 or 88 of the 1973 Act” there shall be substituted “ Part 4 of the Enterprise Act 2002 ”.
(7) For subsection (9) there shall be substituted—
(9) Section 117 of the Enterprise Act 2002 (offences of supplying false or misleading information) as applied by section 180 of that Act shall have effect so far as relating to functions exercisable by the Regulator by virtue of subsection (2) above as if the references in section 117(1)(a) and (2) to the OFT included references to the Regulator.
(8) Subsection (10) shall cease to have effect.
Gas (Northern Ireland) Order 1996 (S.I. 1996/275 (N.I. 2))
22 (1) Article 23 of the Gas (Northern Ireland) Order 1996 (application of monopoly provisions etc. to the Director General of Gas for Northern Ireland) shall be amended as follows.
(2) For paragraph (2) (monopoly functions to be exercisable concurrently by the Director) there shall be substituted—
(2) The functions to which paragraph (2A) applies shall be concurrent functions of the Director and the Office of Fair Trading.
(2A) This paragraph applies to the functions of the Office of Fair Trading under Part 4 of the Enterprise Act 2002 (other than sections 166 and 171) so far as relating to commercial activities connected with the conveyance, storage or supply of gas.
(2B) So far as necessary for the purposes of, or in connection with, paragraphs (2) and (2A), references in Part 4 of the Act of 2002 to the Office of Fair Trading (including references in provisions of that Act applied by that Part) shall be construed as including references to the Director (except in sections 166 and 171 of that Act and in any other provision of that Act where the context otherwise requires).
(3) For paragraph (4) there shall be substituted—
(4) Before the Office of Fair Trading or the Director first exercises in relation to any matter functions which are exercisable concurrently by virtue of paragraph (2), it or he shall consult the other.
(4A) Neither the Office of Fair Trading nor the Director shall exercise in relation to any matter functions which are exercisable concurrently by virtue of paragraph (2) if functions which are so exercisable have been exercised in relation to that matter by the other.
(4) In paragraph (6) for the words “Part IV or section 86 or 88 of the 1973 Act” there shall be substituted “ Part 4 of the Enterprise Act 2002 ”.
(5) For paragraph (7) there shall be substituted—
(7) Section 117 of the Enterprise Act 2002 (offences of supplying false or misleading information) as applied by section 180 of that Act shall have effect so far as relating to functions exercisable by the Director by virtue of paragraph (2) as if the references in section 117(1)(a) and (2) to the Office of Fair Trading included references to the Director.
(6) Paragraph (8) shall cease to have effect.
(7) In paragraph (9) for the words “mentioned in paragraph (2) or (3)” there shall be substituted “ exercisable by the Director by virtue of paragraph (2) or (3) ”.
Transport Act 2000 (c. 38)
23 (1) Section 85 of the Transport Act 2000 (interpretation of Chapter V) shall be amended as follows.
(2) In subsection (1) for paragraph (a) there shall be substituted—
(a) the 2002 Act is the Enterprise Act 2002;
.
(3) In subsection (3)—
(a) the words “the 1973 Act or” shall cease to have effect; and
(b) for the words “Act concerned” there shall be substituted “ 1998 Act ”.
24 (1) Section 86 of that Act (functions exercisable by the CAA and the Director) shall be amended as follows.
(2) For subsection (2) there shall be substituted—
(2) This subsection applies to the OFT’s functions under Part 4 of the 2002 Act (other than sections 166 and 171) so far as they relate to the supply of air traffic services.
(3) In subsection (4)(a) for the words from the beginning to “Act” there shall be substituted “ Part 4 of the 2002 Act (except for sections 166 and 171 but including provisions of that Act applied by that Part) ”.
(4) In subsection (7)(a) for the words from the beginning to “Act” there shall be substituted “ Part 4 of the 2002 Act ”.
25 In section 87 of that Act (CAA’s 1973 Act functions) for the word “1973”, wherever it appears, there shall be substituted “ 2002 ”.
26 In section 89 of that Act (carrying out functions) for the word “1973”, wherever it appears, there shall be substituted “ 2002 ”.
SCHEDULE 10 Procedural requirements for certain enforcement undertakings and orders
Section 90
Requirements for accepting undertakings and making orders
1 Paragraph 2 applies in relation to—
(a) any undertaking under section 73 or 82 or paragraph 3 or 9 of Schedule 7 (other than an undertaking under the enactment concerned which varies an undertaking under that enactment but not in any material respect); and
(b) any order under section 70C, 75, 83 or 84 or paragraph 5, 10 or 11 of Schedule 7 (other than an order under the enactment concerned which is a revoking order of the kind dealt with by paragraphs 6 to 8 below).
2 (1) Before accepting an undertaking to which this paragraph applies or making an order to which this paragraph applies, the CMA or (as the case may be) the Secretary of State (in this Schedule “the relevant authority”) shall—
(a) give notice of the proposed undertaking or (as the case may be) order; and
(b) consider any representations made in accordance with the notice and not withdrawn.
(2) A notice under sub-paragraph (1) shall state—
(a) that the relevant authority proposes to accept the undertaking or (as the case may be) make the order;
(b) the purpose and effect of the undertaking or (as the case may be) order;
(c) the situation that the undertaking or (as the case may be) order is seeking to deal with;
(d) any other facts which the relevant authority considers justify the acceptance of the undertaking or (as the case may be) the making of the order;
(e) a means of gaining access to an accurate version of the proposed undertaking or (as the case may be) order at all reasonable times; and
(f) the period (not less than 15 days starting with the date of publication of the notice in the case of an undertaking and not less than 30 days starting with that date in the case of an order) within which representations may be made in relation to the proposed undertaking or (as the case may be) order.
(3) A notice under sub-paragraph (1) shall be given by—
(a) in the case of a proposed order, serving on any person identified in the order as a person on whom a copy of the order should be served a copy of the notice and a copy of the proposed order; and
(b) in every case, publishing the notice.
(4) The relevant authority shall not accept the undertaking with modifications or (as the case may be) make the order with modifications unless the relevant authority—
(a) gives notice of the proposed modifications; and
(b) considers any representations made in accordance with the notice and not withdrawn.
(5) A notice under sub-paragraph (4) shall state—
(a) the proposed modifications;
(b) the reasons for them; and
(c) the period (not less than 7 days starting with the date of the publication of the notice under sub-paragraph (4)) within which representations may be made in relation to the proposed modifications.
(6) A notice under sub-paragraph (4) shall be given by—
(a) in the case of a proposed order, serving a copy of the notice on any person identified in the order as a person on whom a copy of the order should be served; and
(b) in every case, publishing the notice.
3 (1) If, after giving notice under paragraph 2(1) or (4), the relevant authority decides—
(a) not to accept the undertaking concerned or (as the case may be) make the order concerned; and
(b) not to proceed by virtue of paragraph 5;
the relevant authority shall give notice of that decision.
(2) A notice under sub-paragraph (1) shall be given by—
(a) in the case of a proposed order, serving a copy of the notice on any person identified in the order as a person on whom a copy of the order should be served; and
(b) in every case, publishing the notice.
4 As soon as practicable after accepting an undertaking to which paragraph 2 applies or (as the case may be) making an order to which that paragraph applies, the relevant authority shall (except in the case of an order which is a statutory instrument)—
(a) serve a copy of the undertaking on any person by whom it is given or (as the case may be) serve a copy of the order on any person identified in the order as a person on whom a copy of the order should be served; and
(b) publish the undertaking or (as the case may be) the order.
5 (1) The requirements of paragraph 2(4) (and those of paragraph 2(1)) shall not apply if the relevant authority—
(a) has already given notice under paragraph 2(1) but not paragraph 2(4) in relation to the proposed undertaking or order; and
(b) considers that the modifications which are now being proposed are not material in any respect.
(2) The requirements of paragraph 2(4) (and those of paragraph 2(1)) shall not apply if the relevant authority—
(a) has already given notice under paragraphs 2(1) and (4) in relation to the matter concerned; and
(b) considers that the further modifications which are now being proposed do not differ in any material respect from the modifications in relation to which notice was last given under paragraph 2(4).
Termination of undertakings and orders
6 Paragraph 7 applies where the relevant authority is proposing to—
(a) release any undertaking under section 73 or 82 or paragraph 3 or 9 of Schedule 7 (other than in connection with accepting an undertaking under the enactment concerned which varies or supersedes an undertaking under that enactment); or
(b) revoke any order under section 70C, 75, 83 or 84 or paragraph 5, 10 or 11 of Schedule 7 (other than in connection with making an order under the enactment concerned which varies or supersedes an order under that enactment).
7 (1) Before releasing an undertaking to which this paragraph applies or (as the case may be) revoking an order to which this paragraph applies, the relevant authority shall—
(a) give notice of the proposed release or (as the case may be) revocation; and
(b) consider any representations made in accordance with the notice and not withdrawn.
(2) A notice under sub-paragraph (1) shall state—
(a) the fact that a release or (as the case may be) revocation is proposed;
(b) the reasons for it; and
(c) the period (not less than 15 days starting with the date of publication of the notice in the case of an undertaking and not less than 30 days starting with that date in the case of an order) within which representations may be made in relation to the proposed release or (as the case may be) revocation.
(3) If after giving notice under sub-paragraph (1) the relevant authority decides not to proceed with the release or (as the case may be) the revocation, the relevant authority shall give notice of that decision.
(4) A notice under sub-paragraph (1) or (3) shall be given by—
(a) serving a copy of the notice on the person who gave the undertaking which is being released or (as the case may be) on any person identified in the order being revoked as a person on whom a copy of the order should be served; and
(b) publishing the notice.
8 As soon as practicable after releasing the undertaking or making the revoking order, the relevant authority shall (except in the case of an order which is a statutory instrument)—
(a) serve a copy of the release of the undertaking on the person who gave the undertaking or (as the case may be) serve a copy of the revoking order on any person identified in the order being revoked as a person on whom a copy of that order should be served; and
(b) publish the release or (as the case may be) the revoking order.
Power to dispense with the requirements of the Schedule
9 The relevant authority may dispense with any or all of the requirements of this Schedule if the relevant authority considers that the relevant authority has special reasons for doing so.