Missing 'RecordType' enumeration values in the ‘baseTypes-v3-2’ schema

1

The ‘baseTypes-v3-2’ schema has the following element:

xs:element name=“RecordType”>
xs:simpleType>
xs:restriction base=“xs:string”>
xs:enumeration value=“MEMBER”/>
xs:enumeration value=“DIR”/>
xs:enumeration value=“DIRCONTRACT”/>
xs:enumeration value=“DIRINDEM”/>
xs:enumeration value=“SEC”/>
xs:enumeration value=“RESMEET”/>
xs:enumeration value=“DEB”/>
xs:enumeration value=“CHARGEEWNI”/>
xs:enumeration value=“CHARGESC”/>
xs:enumeration value=“OWNSHRPURCH”/>
xs:enumeration value=“OWNSHRCAP”/>
xs:enumeration value=“INVEST”/>
xs:enumeration value=“INTEREST”/>
xs:enumeration value=“LLPMEMBERS”/>
xs:enumeration value=“PSC”/>
xs:restriction>
xs:simpleType>
xs:element>

When electronically filing an AD03 form, the following items may be sent in the XML:

• Historic register of people with significant control
• Historic register of members

As these are not in the ‘RecordType’ element in the ‘baseTypes-v3-2’ schema, could you please provide the XML enumeration values for these items ?

2

You are correct in that historic items are currently missing.

This is one of a number of “post Small Business Act” enhancements still to be actuated.

Discussions are ongoing as to whether we will still develop these elements, as the numbers of companies that will use them are very small, and will not be an issue going forward.

I will update the forum once a decision has been made.

SDN

3

Hi Simon,

Does it remain the position today that changes to the following are not supported on the electronic AD03/LLAD03/AD04/LLAD04?

  • Historic register of people with significant control
  • Historic register of members

Many thanks,
PJ

4

Good morning PJ,

As far as I can recall they are not supported - however, I will check and get back to you.

SDN

5

Yes PJ, these still need to be paper filed.

Thanks
SDN

6

Hi Simon,

Just picking up this previous thread to ask does it still remain the position today that changes to the following are not supported on the electronic AD03/LLAD03/AD04/LLAD04?

  • Historic register of people with significant control
  • Historic register of members

If so, are there any plans to change this?

Many thanks,
PJ

7

Good afternoon PJ,

We have no plans to make these enhancements.

Apologies.

SDN

8

Apologies to necropost this thread but this was the first result that turned up for me.

With respect to the AD03 XML Schema (RecordChangeofLocation) there’s a reference to ‘RecordType’ which comes from the baseTypes XML Schema.

The current baseTypes XML Schema (3.6) provides us with the following ‘RecordType’ values:

“MEMBER” | “DIR” | “DIRCONTRACT” | “DIRINDEM” | “SEC” | “RESMEET” | “DEB” | “CHARGEEWNI” | “CHARGESC” | “OWNSHRPURCH” | “OWNSHRCAP” | “INVEST” | “INTEREST” | “LLPMEMBERS” | “PSC”

There’s just two things I’d like clarification on if possible:

  1. Is my assumption that these RecordTypes relate directly to the options listed on the physical AD03 Form as follows, though I can’t seem to find direct confirmation of this:
  • Register of people with significant control → “PSC”
  • Register of members → “MEMBER” | “LLPMEMBERS” (LLAD03 Only)
  • Register of directors → “DIR”
  • Directors’ service contracts → “DIRCONTRACT”
  • Register of secretaries → “SEC”
  • Records of resolutions etc. → “RESMEET”
  • Contracts relating to purchase of own shares → “OWNSHRPURCH”
  • Documents relating to redemption or purchase of own share out of capital
    by private company → “OWNSHRCAP”
  • Register of debenture holders → “DEB”
  • Report to members of outcome of investigation by public company into
    interests in its shares → “INVEST”
  • Register of interests in shares disclosed to public company → “INTEREST”
  • Instruments creating charges and register of charges: England and Wales
    or Northern Ireland → “CHARGEEWNI”
  • Instruments creating charges and register of charges: Scotland → “CHARGESC”

I’m aware from posts earlier in this thread that historic register options are not supported which makes sense

  1. In the released baseTypes XML Schema(3.7) the “PSC” type has been dropped. Does this mean the Register of people with significant control will either not be able to be held at a SAIL Address or that Companies House already retains enough information to satisfy the PSC Register obligation?

Thanks!

9

Hi,

Sorry for the delay.

The filing requirements (which are legislative) are identical for paper and electronic submissions, so the options should indeed be the same.

The new legislation that we are in the process of implementing, removes the option for companies to hold registers at Companies House, so the change to base types v3.7 may be connected - I will check on this for you.

SDN

10

As expected: The PSC register held and maintained by companies will not longer exist - so no requirement to be held at SAIL. The following types have also been removed for same reason - DIR, SEC, LLPMEMBERS.

SDN

11

Great, thanks very much for the confirmation!