Regulatory Compliance & Registration

Question 1

RC & R

Section 42

Answer 1

Directing a charity to change its name.

Auth by: Head of Function

Question 2

RC & R

Section 52

Answer 2

Information gathering.

Auth by: Where the Order is to a bank and relates to a charity account - Case Manager (PB4).
Where the Order is to a bank and is unrelated to a charity account - Head of Function All other s.52 Orders - Senior Case Manager (PB5)

Question 3

RC & R

Section 85

Answer 3

Directing application of property.

Auth by: Head of Function

Question 4

RC & R

Section 96

Answer 4

Common Investment Funds.

Auth by: Director of Legal Services or with Director of Legal Services authority

Question 5

RC & R

Section 100

Answer 5

Common Deposit Funds.

Auth by: Board

Question 6

RC & R

Section 105-Litigation

Answer 6

Order authorising litigation costs only (not other s.105 Orders).

Auth by: With written legal advice

Question 7

RC & R

Section 105-Payment of board

Answer 7

Order authorising payment of half, or more than half, of a charity’s trustee board for serving as trustee (not other s.105 Orders)

Auth by: With Head of Function advice

Question 8

RC & R

Section 106

Answer 8

Ex-gratia payments.

Auth by: With Legal SMT advice (and, if it is likely that payment should not be made, with Director of Legal Services’ agreement)

Question 9

RC & R

Section 110

Answer 9

Advice regarding reimbursement of litigation costs only, not other s.110 advice.

Auth by: With written legal advice

Question 10

RC & R

Section 111

Answer 10

Determining membership.

Auth by: Head of Function

Question 11

RC & R

Section 114

Answer 11

Taking of legal proceedings and compromising claims.

Auth by: Case held by Legal Services; decision taken by Director of Legal Services with the agreement of the Attorney General

Question 12

RC & R

Section 115

Answer 12

Authorising charity proceedings.

Auth by: With written legal advice

Question 13

RC & R

Section 181

Answer 13

Power to waive trustee disqualification.

Auth by: Head of Function (or as delegated locally by Head of Function)

Question 14

RC & R

Section 181A

Answer 14

Power to disqualify from being a trustee.

Auth by: Orders must be made by a PB4 or above and authorised by a PB5 or above. Written legal advice must be taken before using the power

Question 15

RC & R

Section 191

Answer 15

Power to relieve trustees etc from liability

Auth by: With legal advice, decision taken by Head of Legal Compliance, with Director of Legal Services’ agreement

Question 16

RC & R

Section 198

Answer 16

Consent to a regulated alteration that allows a charitable company to pay half, or more than half, of the charity’s trustee board for serving as trustee (not other s.198 consents).

Auth by: With Head of Function advice

Question 17

RC & R

Section 226

Answer 17

Consent to a regulated alteration that allows a CIO to pay half, or more than half, of the charity’s trustee board for serving as trustee (not other s.226 consents).

Auth by: With Head of Function advice