Application for approval of a Corporate Manager / Owner within a licensed body

Transcription

1 Application for approval of a Corporate Manager / Owner within a licensed body This form is to make an application to IPReg by either an applicant firm or an existing firm for the approval of the following roles: Corporate manager of a licensed body Corporate owner of a licensed body Corporate Manager Name (if applicable) Corporate Owner Name (if applicable) Registered Body/Licensed Body/Applicant Firm Name Name of authorised person 1 completing this form Role of authorised person Is the corporate body applying for a role as a Manager 2 / owner: as part of an application for a new Licensed Body/Registered Body? or within an existing Licensed Body/Registered Body? 1 Authorised persons are essentially "lawyers" and law firms, including registered patent attorneys, registered trade mark attorneys, solicitors, barristers, registered European lawyers, IPReg-regulated law firms, SRA-regulated law firms, licensed conveyancers and legal executives. For the full definition of authorised persons please see section 18 of the Legal Services Act The term Manager generally means directors of a company, members of an LLP or partners in a partnership. Please see section 207 of the Legal Services Act

2 SECTION 1 This section covers the role of the corporate body within the applicant firm or existing firm. 2

3 SECTION 1 ROLE OF THE CORPORATE BODY ROLE OF THE CORPORATE BODY Is this application for a: Please tick all that apply Corporate manager of a licensed body? Corporate owner of a licensed body? Name of corporate manager (if applicable) Name of corporate owner (if applicable) If the corporate body is an owner please indicate the nature of its interest holding Please confirm the owner s percentage shareholding if 10% or more (if applicable) If the owner s percentage shareholding is less than 10% please confirm the owner s percentage shareholding and the reason(s) why approval is necessary (if applicable) 3 Will the corporate body hold these shares as a nominee? (if applicable) Yes No If YES, please provide details 4 3 For example, is the owner able to exercise significant influence (whether by entitlement or, in your opinion, de facto and whether alone or on an associated basis) over the management of the applicant firm/parent undertaking by their shareholding, voting rights, voting power, ability to impose directions, right to appoint or remove majority of directors, right of veto etc.? 4 Please note that the corporate body can only hold shares for someone who would be capable of holding the shares in their own right. Any beneficial share owner may also require approval. The definition of a beneficial owner is the person for whose benefit the asset in question is owned: The ultimate beneficial owner would therefore be the individual holding the final benefit of that asset without holding it for the benefit of any other party. 3

4 SECTION 1 ROLE OF THE CORPORATE BODY (CONTINUED) ROLE OF THE CORPORATE BODY (CONTINUED) Please provide a copy of the governance structure of the corporate body. Please provide a copy of the corporate structure of the applicant/existing firm (highlighting the position of the corporate body in the structure). 5 5 This should be in the same form as the corporate structure form submitted with the applicant/existing firm s application. 4

5 SECTION 2 This section requests details of the corporate manager / owner. 5

6 SECTION 2 CORPORATE MANAGERS AND/OR CORPORATE OWNERS Please list the names of the individual Managers of the corporate body (indicating the number of individual forms completed and attached for each Manager) 6 : What is the corporate body s principal business? If the corporate body is incorporated please provide the Companies House registration number, country of registration or incorporation and date of incorporation or registration: CONTACT DETAILS Main/Registered Address Postcode Country Telephone No address 6 Please note you will need to complete and submit individual forms for approval for each individual who will require approval to be a Manager of a corporate manager or a Manager of a corporate owner. 6

7 SECTION 3 This section covers information required by the regulator to assess the suitability of the corporate body as a Manager or owner. 7

8 SECTION 3 REGULATORY INFORMATION REGULATORY INFORMATION If not regulated by IPReg, does the corporate body hold, or has the corporate body held, authorisation with any regulatory body in the UK or any other country? Yes No If YES, please provide details of the regulator(s) including any registration number and the length of time the corporate body has been regulated by such regulator(s) Has the corporate body been censured, suspended or the subject of any other disciplinary activity by a professional or regulatory body or is the corporate body currently under investigation by such a body? Yes No Has the corporate body previously been made the subject of disciplinary sanction by, or refused registration with, or authorisation by, another approved regulator, professional or regulatory tribunal, or regulatory authority, whether in England and Wales or elsewhere? Yes No If you have answered YES to either of the above questions, please provide details. 8

9 SECTION 3 REGULATORY INFORMATION (CONTINUED) ASSESSMENT OF SUITABILITY All material information relating to the corporate body s application must be disclosed. Failure to disclose material information will be treated as prima facie evidence of dishonest behaviour. The corporate body must disclose any matters that have occurred in the UK and/or overseas. An authorised individual of the corporate body has read and understood the above statement Has the corporate body been the subject of a winding up order, an administration order or administrative receivership or entered into a voluntary arrangement under the Insolvency Act 1986 or has been otherwise wound up or put into administration in circumstances of insolvency? Yes No Are there any matters that may call into question the fitness and propriety of the corporate body as a corporate Manager or owner? Yes No If you have answered YES to any of the above questions, please provide details. 9

10 SECTION 4 This section covers the confirmation and declaration. 10

11 SECTION 4 CONFIRMATION AND DECLARATION DECLARATION This section is to be completed by an authorised person Knowingly or recklessly giving IPReg information which is false or misleading, or failing to inform IPReg of significant information may lead to: the application for licensing or registration being rejected; the application for approval for an authorised role holder being rejected; licensing or registration being revoked; approval being withdrawn; and/or disciplinary action being taken by IPReg. You are required to ensure that all information is correct and complete and to notify IPReg as soon as you become aware or have information that reasonably suggests that you have or may have provided IPReg with information, which was or may have been false, misleading, incomplete or inaccurate, or has or may have been changed. The submission of this portable document form constitutes a proper application and the act of submission is evidence of a binding signature. When a HOLP or HOFA is responsible for reporting matters to IPReg, as set out in the IPReg Registered Bodies Regulations 2015, failing to inform IPReg in accordance with these rules is a breach. It should not be assumed that information is known to IPReg merely because it is in the public domain or has previously been disclosed to IPReg or another regulatory body. If there is any doubt about the relevance of information it should be included. For the purposes of complying with the Data Protection Act 1998, any personal information provided in this application may be used by IPReg to discharge its statutory functions under the Legal Services Act 2007, the Copyright Designs and Patents Act 1988 and Trade Mark Act 1994 and any other relevant legislation. IPReg may make such enquiries, and seek further information as it considers appropriate, in the course of verifying information about this application and about any individual or body associated with this application to ensure compliance with the IPReg Registered Bodies Regulations In performing these checks, personal information given in the application may be disclosed to registered Credit Reference Agencies, who may keep a record of that information. IPReg reserves the right to request original documentation. In making this application: I confirm that the information in this application about me and the applicant/existing firm is correct and complete to the best of my knowledge and belief. I confirm that I understand the regulatory responsibilities of my proposed role as set out in the Legal Services Act 2007, the Registered Bodies Regulations 2015 and the Rules of Conduct for Patent Attorneys, Trade Mark Attorneys and Other Regulated Persons and agree to be subject to and bound by the regulatory arrangements of IPReg. I will provide all necessary consents for information to be given to IPReg to enable it to discharge its functions in accordance with its regulatory arrangements. I confirm that IPReg will be notified as soon as any information provided in this application has changed. I authorise IPReg to make such enquiries and seek such further information, as it considers appropriate in the course of verifying information about this application. I agree that the information I give, or which becomes known because of this application, and any consent given by me may be disclosed to the firm. I agree that information about any approval as an authorised role holder, including any conditions, will be published in accordance with the IPReg publication policy. I agree that whilst resident or working in the UK, I will hold the appropriate and valid documentation necessary to comply with Immigration Regulations and statutes. In making this application I confirm, on the basis of due and diligent enquiry, that I am a fit and proper person. I am satisfied that I will be able to fully discharge my responsibilities as set out in the Registered Bodies Regulations 2015 and the Rules of Conduct for Patent Attorneys, Trade Mark Attorneys and Other Regulated Persons. 11

12 SECTION 4 CONFIRMATION AND DECLARATION (CONTINUED) DECLARATION (continued from page 11) This section is to be completed by an authorised person Please provide details of the authorised person making this declaration: Title Forename(s) Surname Role Contact Signature Date If completed electronically please tick to say you confirm the declaration Please return the completed application form to: Intellectual Property Regulation Board Fifth Floor, Outer Temple Strand London WC2R 1BA 12