Practice guide 19: notices, restrictions and the protection of third-party interests in the register

Question 1

1. Introduction

Accepted Answer

1.1 Notices and restrictions

The Land Registration Act 2002 provides 2 types of entry for the protection of third-party interests affecting registered estates and charges: notices and restrictions.

A notice is an entry made in the register in respect of the burden of an interest affecting a registered estate or charge (section 32(1) of the Land Registration Act 2002)
A restriction is an entry in the register that prevents or regulates the making of an entry in the register in respect of any disposition or a disposition of a specified kind (section 40(1) of the Land Registration Act 2002)

This guide explains the nature and effect of notices and restrictions. It gives advice about when they are entered and how to apply for an entry. It also explains how existing notices and restrictions may be cancelled or amended.

The Land Registration Act 1925 also provided for the entry of notices and restrictions to protect third-party interests. Interests could also be protected by entries known as cautions against dealings and inhibitions. The effect of such entries under the transitional provisions of the Land Registration Act 2002 and Land Registration Rules 2003 are explained in Transitional provisions.

Before making an application to HM Land Registry to protect a third-party interest you should ask yourself the following questions:

What type of interest is being protected? (see Appendix A for more information about the most common types of interests).
Can the interest be protected by notice, and would this be more appropriate? For example, a notice will give priority (provided the interest is valid) but a restriction does not.
Is the interest only capable of protection by a restriction? For example, an interest under a trust of land can only be protected by a restriction (section 33 of the Land Registration Act 2002). See Interests that cannot be protected by notice for further information about the interests that cannot be protected by notice.

If a restriction appears to be the appropriate form of protection, you should also consider the further questions set out in Things to consider before applying for a restriction.

1.2 Matters not covered by this guide

This guide does not provide advice about third-party interests that must be completed by registration, such as legal charges, leases of land for over 7 years, or the express grant of legal easements out of registered land. Different provisions relate to bankruptcy notices and restrictions, and to notices in respect of (matrimonial) home rights; information about these is provided elsewhere and is not repeated in this guide.

Refer to the following practice guides for more information about other relevant topics:

1.3 The priority of competing interests: the reason why third-party interests require protection

The system of title registration introduced by the Land Registration Act 2002 aims to make the register a complete and accurate reflection of the state of the title to a registered estate at any given time (paragraph 1.5, Law Com 271 - Land registration for the twenty first century - A conveyancing revolution).

The proprietor of a registered estate can make a disposition of almost any kind permitted by the general law (section 23(1) of the Land Registration Act 2002) and someone dealing with the proprietor can assume that their powers are unlimited except for any restriction reflected by an entry in the register or imposed by or under the Land Registration Act 2002 itself (section 26 of the Land Registration Act 2002).

Where more than one party has an interest in a registered estate or charge, the general rule that decides the priority of each party’s claim is that each interest ranks in accordance with the date of its creation. Someone with an existing interest will not be affected by a later disposition (section 28 of the Land Registration Act 2002. Note that different general rules govern the priority between interests that were created before the Land Registration Act 2002 came into force).

However, there is one important exception. Someone who acquires a registrable disposition for value will, by registering their interest, postpone the priority of any other interest that has not been protected by the entry of a notice in the register (section 29 of the Land Registration Act 2002. Dispositions not made for value or for only nominal consideration do not have this effect). In other words, they will not be affected by interests that have not been noted. Not all interests are postponed in this way (section 29(2) of the Land Registration Act 2002). Certain interests have ‘overriding status’ and may bind someone who acquires a registrable disposition for value even if not entered in the register. However, many fewer interests have overriding status under the Land Registration Act 2002 than was the case under the Land Registration Act 1925. Refer to practice guide 15: overriding interests and their disclosure for more detail about interests with overriding status.

A notice entered in the register in respect of a third-party interest will protect its priority against that of a subsequent registrable disposition for value. A restriction, by preventing the registration of a subsequent registrable disposition for value, will prevent the priority of a third-party interest from being postponed.

1.4 Documents lodged with applications

We will need only certified copies of deeds or documents you send to us with HM Land Registry applications. Once we have made a scanned copy of the documents you send to us, they will be destroyed. This applies to both originals and certified copies.

When uploading documents, you will be able to certify any scanned documents by confirming them to be a true copy of the original using the certification statements available.

Question 2

2. Notices

Accepted Answer

2.1 The nature and effect of notices

A notice is an entry made in the register in respect of the burden of an interest affecting a registered estate or charge.

Notices are almost always entered in the charges register of the registered estate to which they relate (rules 9(a) and 84(1) of the Land Registration Rules 2003. Bankruptcy notices affecting the proprietor of a registered estate are entered in the proprietorship register but are not dealt with in this guide). Where a notice is entered in respect of an interest affecting a registered charge it will refer specifically to the entries relating to the affected charge.

The effect of a notice is very limited. The entry of a notice does not guarantee that the interest that it protects is valid or even that it exists. A notice will only ensure that the priority of the interest protected will not be automatically postponed on the registration of a subsequent registrable disposition for value, if the interest is valid.

If an interest had overriding status before becoming noted in the register, it will lose that status when the notice is entered (section 29(3) of the Land Registration Act 2002). The protection afforded by the entry of a notice is the same as that afforded by overriding status. However, the person with the benefit of the interest should be aware that once the interest has been noted, overriding status cannot be regained even if the notice is cancelled.

2.2 Interests that cannot be protected by notice

Certain interests cannot be protected by notice. These are:

interests under a trust of land (section 33(a)(i) of the Land Registration Act 2002)
interests under a settlement under the Settled Land Act 1925 (section 33(a)(ii) of the Land Registration Act 2002)
leasehold estates in land for a term of 3 years or less, except for any that have to be registered, (section 33(b) of the Land Registration Act 2002. Some shorter leases, such as reversionary leases to take effect more than 3 months after grant, must still be registered and, if granted out of registered land, will be noted against the lessor’s title)
restrictive covenants made between lessor and lessee that relate only to the demised premises (section 33(c) of the Land Registration Act 2002)
interests capable of registration under the Commons Registration Act 1965 (section 33(d) of the Land Registration Act 2002)
certain interests in coal, coal mines and coal mining rights (section 33(e) of the Land Registration Act 2002)
public-private partnership leases (section 90(4) of the Land Registration Act 2002. Public-private partnership leases are those that relate specifically to transport in London under the Greater London Authority Act 1999)
interests under a relevant social housing tenancy (section 33(a) of the Land Registration Act 2002)

To the extent that these interests require protection by entry in the register (some of them have overriding status so do not need further protection), the only protection that can be applied for is a restriction.

A purely contractual arrangement to pay a person a share of the proceeds of sale of a registered title does not give that person a proprietary interest (Lynton International Ltd v Noble [1991] 63 P & CR 452) and so cannot be protected by a notice.

2.3 Entry of notices in the register

2.3.1 Different types of notice

Notices may be entered in the register in various circumstances. For example, the registrar will enter appropriate notices in the course of first registration (rule 35(1) of the Land Registration Rules 2003) and as part of the processing of certain types of registrable disposition for example, leases of land – see paragraph 3(2)(b) of Schedule 2 to the Land Registration Act 2002. Someone claiming an interest may also apply to the registrar for a notice to be entered.

An application for entry of a notice may be for either:

an agreed notice
a unilateral notice

There are different procedures for entering agreed notices and unilateral notices and for cancelling the entries once made. The forms of the entries in the register are also different. However, all types of notice have the effect of protecting the priority of the interest to which they relate, as discussed in The nature and effect of notices.

The term ‘agreed notice’ applies only to notices entered following an application to the registrar under section 34(2)(a) of the Land Registration Act 2002. However, all notices other than unilateral notices are treated in the same way as agreed notices once entered in the register. Where referring to notices that have already been entered in the register, this guide prefers reference to ‘notices (other than unilateral notices)’ rather than to ‘agreed notices’, to avoid confusion; similar terminology is adopted in the Land Registration Rules 2003.

2.3.2 Agreed notices

An agreed notice can only be entered in the register either:

by, or with the consent of, the relevant proprietor (or someone entitled to be registered as such)
if the applicant can satisfy the registrar that the interest claimed is valid. In order for the registrar to be so satisfied, supporting evidence must be lodged with the application (see Applications based on evidence rather than consent and Details of the nature of the applicant’s claim for more information)

We are not obliged to serve notice on the relevant proprietor before approving an application for an agreed notice that is not made with the proprietor’s cooperation. In most cases, we determine the application on the evidence lodged without involving the proprietor. However, if the application is based on evidence rather than proprietor cooperation, we always notify the proprietor that the entry has been made when we complete the application. Agreed notice entries must give details of the interest that they protect. Often this is achieved by referring to a document that describes, or which created, the interest. A copy of the document itself may be filed and made available for inspection. Please refer to practice guide 11: inspection and application for official copies for more information about public access to documents held by the registrar. See also Points to consider when deciding which type of notice to apply for.

An example of an agreed notice entry would be:

“(22.01.2004) Contract for sale dated 15 October 2003 in favour of James Dean Perry.

NOTE: Copy filed.”

The date in brackets at the beginning of the entry provides the date on which the entry is deemed to have been made. This will be the date when the application for the notice was received. See rule 20(1) of the Land Registration Rules 2003. An agreed notice gives notice of the interest to which it relates; its object is not to identify the beneficiary of that interest and it is not possible to note the devolution of title to an interest protected by an agreed notice.

Once entered in the register, any notice other than a unilateral notice will only be cancelled if the registrar is satisfied that the interest protected has come to an end, or that the interest claimed is otherwise invalid. A person applying for the notice to be cancelled must produce evidence to satisfy the registrar that this is the case.

2.3.3 Unilateral notices

A unilateral notice may be entered without the consent of the relevant proprietor. The applicant is not required to satisfy the registrar that their claim is valid and does not need to support their claim to the interest with any evidence. The registrar will however check that the interest claimed is of a type that may be protected by unilateral notice.

The relevant proprietor is not notified of the application until after the entry has been made so they will not usually be able to object to the application. However, they will always be notified after the application has been completed. They can then apply at any time to cancel the notice and by doing so require the person claiming the benefit of the protected interest to prove the validity of their claim.

There are 2 elements to a unilateral notice entry: the first part gives brief details of the interest protected and identifies that the entry is a unilateral notice; the second part gives the name and address of the beneficiary of the notice. This information is necessary as it is the beneficiary who will be served with notice and required to prove the validity of the interest if the relevant proprietor applies to cancel the notice.

An example of a unilateral notice entry would be:

“(22.01.2004) UNILATERAL NOTICE in respect of a contract for sale dated 15 October 2003 made between (1) Sandra Jane Kemp and (2) James Dean Perry.

(22.01.2004) BENEFICIARY: James Dean Perry of 23 The Burn, Ripley, Cornshire XX1 3AB.”

The date in brackets at the beginning of the first part of the entry provides the date when the entry is deemed to have been made.

The date in brackets at the beginning of the second part of the entry represents the date when the current beneficiary was entered in respect of the notice.

If a unilateral notice entry is to be made in respect of an agreement, it must contain details of what the agreement relates to, for example:

“(22.01.2004) UNILATERAL NOTICE in respect of a contract for sale dated 15 October 2003 made between (1) Sandra Jane Kemp and (2) James Dean Perry.

(22.01.2004) BENEFICIARY: James Dean Perry of 23 The Burn, Ripley, Cornshire XX1 3AB.”

2.4 Which type of notice to apply for

2.4.1 Interests that can only be protected by agreed notice

While in most cases the applicant may decide whether to apply for an agreed notice or a unilateral notice, in respect of any of the following interests an applicant may only apply for an agreed notice (rule 80 of the Land Registration Rules 2003). They are:

home rights (see practice guide 20: applications under the Family Law Act 1996 for more details)
an HM Revenue & Customs charge in respect of a liability for inheritance tax
an interest arising pursuant to an order under the Access to Neighbouring Land Act 1992
a variation of a lease effected by or under an order made under section 38 of the Landlord and Tenant Act 1987 (including any variation as modified by an order under section 39(4) of that Act)
a public right
a customary right (a customary right is one that is enjoyed by some or all of the inhabitants of a particular locality)

2.4.2 Points to consider when deciding which type of notice to apply for

There is no difference in priority between a unilateral notice and an agreed notice.

An applicant may prefer an agreed notice where they can get the relevant proprietor’s consent or can, in the absence of a consent, satisfy the registrar as to the validity of their claim.

Where the applicant is unable to get the consent of the relevant proprietor and it is not clear that the evidence will be sufficient to satisfy the registrar as to the validity of the claim, the applicant may choose to apply for a unilateral notice, as the interest claimed will be protected from the moment of the application.

The applicant might also choose to apply for a unilateral notice when seeking to protect an interest of a commercially sensitive nature and wishes to take advantage of the confidentiality afforded by the limited wording of the unilateral notice entry.

In some cases, the fact that the identity and address of the beneficiary of a unilateral notice will be entered in the register will make that form of entry preferable. These details can be updated if the identity of the beneficiary should change (see Registration of a new or additional beneficiary of a unilateral notice).

However, the applicant should always be aware that the beneficiary of a unilateral notice may be required at any time to prove the validity of their claim.

2.5 Apply for an agreed notice

2.5.1 Applying for an agreed notice

To apply, you should include an ‘agreed notice’ transaction in your application and upload form AN1.

The application must be accompanied by the fee prescribed under the current Land Registration Fee Order, see HM Land Registry: Registration Services fees.

It must be clear from the application whether the interest affects all or part of the registered title.

If the interest affects only part of the registered title, a plan showing the extent of the land affected should be included unless that part is identified clearly on the title plan for the registered title (rule 213 of the Land Registration Rules 2003).

A failure to provide this information correctly may lead to requisitions and delay the completion of the application.

2.5.2 Applications made with the cooperation of the relevant proprietor

Unless the applicant can satisfy the registrar of the validity of the interest claimed, the application must be made by or with the consent of the relevant proprietor, or by or with the consent of someone who is entitled to apply to be registered as the relevant proprietor (section 34(3)(a) and (b) of the Land Registration Act 2002).

Where the applicant (or the person giving their consent) is entitled to be registered as proprietor, evidence of that entitlement must be lodged. Three common examples where someone may be entitled to be registered as proprietor are:

where they have recently taken a transfer of the estate or charge but have not yet become registered as proprietor. For example, where form AN1 is lodged at the same time as the application for registration
where the sole relevant proprietor has died and they are the personal representative
where they are the trustee in bankruptcy of the relevant proprietor and the estate or charge forms part of the bankrupt’s estate

Where there are joint proprietors or there are people who, jointly, are entitled to be registered as the relevant proprietor, all must consent or join in as applicants. Any consent lodged with the application should be given in panel 11 of form AN1 but may be lodged separately.

2.5.3 Applications based on evidence rather than consent

Where the application is not made by or with the consent of the relevant proprietor, or someone entitled to be registered as such, it must be accompanied by sufficient evidence to satisfy the registrar of the validity of the applicant’s claim (rule 81(1)(c) of the Land Registration Rules 2003).

The evidence required to satisfy the registrar of the validity of the claim will of course vary on a case-by-case basis. Examples illustrating the type of evidence that may satisfy the registrar of the validity of a claim include:

a certified copy of the original instrument, signed or executed by the relevant proprietor, where the interest is claimed to have been created by express grant from the proprietor
a sealed court order in proceedings to which the relevant proprietor is or has been a party, where the interest is claimed to have arisen from that order or where the order declares the validity of the interest
the sealed claim form and notice of issue, where the interest to be protected is a pending land action

2.5.4 Details of the nature of the applicant’s claim

Whether the application is based on evidence to support the claim or the cooperation of the relevant proprietor, it must be accompanied by either:

the order or instrument (if any) giving rise to the interest claimed
details from which the registrar can ascertain the nature of the interest claimed (where there is no order or instrument to lodge) (rule 81(1)(b) of the Land Registration Rules 2003)

This information is necessary so that the registrar can ascertain that the interest claimed is of a type that may be protected by notice, and so that details of the interest in the register can be entered as part of the notice entry.

2.5.5 Protect the confidentiality of the interest

Most documents held by the registrar may be inspected by any member of the public (section 66(1) of the Land Registration Act 2002).

Where a document lodged with an application contains information of a personal or commercially sensitive nature, the applicant should also consider applying to have the document designated an ‘exempt information document’.

For information about inspecting documents held by the registrar, or about applying to have a document designated an exempt information document, see practice guide 57: exempting documents from the general right to inspect and copy.

2.6 Apply for a unilateral notice

2.6.1 Applying for a unilateral notice

To apply, you should include a ‘unilateral notice’ transaction in your application and upload form UN1.

The application must be accompanied by the fixed fee prescribed under the current Land Registration Fee Order, see HM Land Registry: Registration Services fees.

It must be clear from the application whether the interest affects all or part of the registered title.

If the interest affects only part of the registered title, a plan showing the extent of the land affected should be included unless that part is identified clearly on the title plan for the registered title (rule 213 of the Land Registration Rules 2003).

Form UN1 should always be signed in panel 13, as well as being appropriately signed in panel 11 or 12 by the applicant or a conveyancer.

A failure to provide this information correctly may lead to requisitions and delay the completion of the application.

2.6.2 Details of the nature of the applicant’s claim

Details of the nature of the interest claimed must be set out in the relevant panel of form UN1. This information may be given either:

in the form of a statement by the applicant
in a certificate given by a conveyancer on the applicant’s behalf (Note: If a conveyancer completes panel 12 they may sign it either in their own name or in the name of their firm or other body for whom they work, provided that, in the latter case, they or at least one person in the firm or body is a “conveyancer” within the meaning of rule 217A of the Land Registration Rules 2003. If they sign in the firm/employer’s name, we will assume that they have satisfied themselves that they meet the requirements of rule 217A and will rely on the certification.)

If there is more than one applicant and they choose to give a statement, that statement must be given by all the applicants. Where the applicant is a corporation the person giving the statement should confirm their position and that they are authorised to give the statement on behalf of the corporation.

A statement or certificate which does not name any of the parties where there is an instrument under which the interest arises is not acceptable.

When referring to the registered owner of the property, you should refer to them by name and not just as “the registered proprietor”.

Any discrepancy with the name shown in the register should be explained as should any situation where the registered proprietor is not a party to an instrument under which the interest has arisen.

The statement or certificate should disclose the applicant’s interest; for example, reference to a written agreement without supplying further particulars is not acceptable.

An explanation should also be given where the interest is the subject of pending court proceedings or a court order to which the registered proprietor is not a party. Where the notice relates to a charging order, see section 3.4 of practice guide 76: charging orders.

The applicant is not required to lodge any other document in support of their claim. However, if they do so, the registrar will normally retain the document and refer to it in the notice entry (see Retention of documents lodged with applications), for further information).

Note that if the document is retained, it will be available for public inspection.

2.6.3 Identify the beneficiary of the notice

An application for a unilateral notice must identify who is to be named in the entry as the beneficiary of the notice and must provide up to 3 addresses for service to be entered in the register.

The addresses given may be postal, DX or electronic addresses although one must be a postal address, though not necessarily an address in the UK (rules 198-9 of the Land Registration Rules 2003 provide further information about addresses for service and when service shall be regarded as having taken place).

Any cancellation notice in respect of the unilateral notice will be sent to the beneficiary at the addresses for service in the register. Where appropriate, one address given may be ‘care of’ the beneficiary’s conveyancer to ensure that a cancellation notice is not inadvertently overlooked when received.

Where the beneficiary is a company or limited liability partnership registered anywhere in the United Kingdom you must include its company registration number in panel 6 of form UN1. If the beneficiary is a company incorporated outside the United Kingdom you must include the territory of incorporation and if the company is registered at Companies House in England or Wales (but not Scotland or Northern Ireland) the registration number issued by Companies House. Overseas companies may be registered at Companies House if they have a branch or place of business in England and Wales.

2.7 Cancel and remove notices from the register

2.7.1 Cancellation of a notice (other than a unilateral notice)

To apply, you should include a ‘cancel a notice (other than a unilateral notice)’ transaction in your application and upload form CN1. The application must be accompanied by appropriate evidence to satisfy the registrar that the protected interest has come to an end (see Documents lodged with applications regarding retention of documents sent to us). This should include where appropriate evidence of devolution of title to the interest.

There is generally no fee for making the application. However, where the cancellation is to reflect the determination of an unregistered lease, a fee is payable as prescribed under the current Land Registration Fee Order, see HM Land Registry: Registration Services fees. For cancellation of a notice of an unregistered lease, the fee is fixed under Schedule 3 Part 1 (7) of the current Land Registration Fee Order, unless the application is accompanied by one which attracts a scale fee.

Neither the Land Registration Act 2002 nor the Land Registration Rules 2003 restrict who may apply for cancellation, but the registrar may only approve the application if satisfied that the interest protected has come to an end. If the interest protected by the notice has only come to an end in part, the registrar must make an appropriate entry.

If the registrar is not satisfied that the interest protected by the notice has come to an end, details of the circumstances in which the applicant claims the interest has determined may be entered in the register (rule 87(4) of the Land Registration Rules 2003).

2.7.2 Cancellation of a unilateral notice

‘Cancellation’ of a unilateral notice is the term used in section 36 of the Land Registration Act 2002 to describe the procedure whereby a proprietor can request the registrar to take a unilateral notice off the register.

Only the registered proprietor of the estate or charge to which the note relates (or someone entitled to be registered as proprietor) may apply to cancel a unilateral notice, but they may do so at any time without giving reasons for doing so. Note that where a unilateral notice has been entered against a registered estate, the proprietor of a charge registered against the same estate is not entitled to apply to cancel the notice. Where there are joint proprietors, or more than one person is entitled to be registered as a joint proprietor, then it so considered that each of the joint proprietors, or each of those people, must apply.

If the application is made by someone entitled to be registered as the relevant proprietor, the applicant must also provide evidence of their entitlement. A conveyancer’s certificate in panel 9 of form UN4 is sufficient to comply with our requirements. If no conveyancer is acting evidence of the applicant’s entitlement must be lodged with the application.

To apply, you should include a ‘cancellation of a unilateral notice’ transaction in your application and upload form UN4.

When an application to cancel a unilateral notice is received, the registrar will serve notice of the application on the beneficiary who then has a set period of 15 working days in which to object to the application and show an arguable case for the validity of the interest claimed. If the beneficiary does not object to the application within that period, or any extension to it, or, having objected, fails to show an arguable case, the notice is cancelled. Where there are 2 or more people shown as the beneficiary of a notice, each one may object (rule 86(8) of the Land Registration Rules 2003).

Any dispute about whether the notice should be cancelled that cannot be resolved by agreement will be referred to the tribunal – see practice guide 37: objections and disputes, HM Land Registry practice and procedures for more information.

2.7.3 Removal of a unilateral notice

‘Removal’ of a unilateral notice is the term used in section 35(3) of the Land Registration Act 2002 to describe the procedure whereby a unilateral notice is withdrawn at the request of the beneficiary.

To apply, you should include a ‘removal of a unilateral notice’ transaction in your application and upload form UN2. There is no fee for making the application.

Only the person registered as beneficiary of a unilateral notice, or in appropriate cases the personal representative or trustee in bankruptcy of the beneficiary, may apply to remove the notice. Where a personal representative or trustee in bankruptcy applies, they must lodge evidence of their entitlement to apply which can be in the form of a conveyancer’s certificate in panel 6 of form UN2.

If the benefit of the interest protected has passed to someone else, for example by way of transfer, you must apply by including the ‘amendment of a unilateral notice’ transaction and upload form UN3 for amendment of the unilateral notice by registration of the new or additional beneficiary before you can make an application to remove it.

2.7.4 Notice in respect of a charge that is subsequently completed by registration

Where:

charge A is created before charge B (so charge A has priority over charge B, as first in time – section 28(1) of the Land Registration Act 2002)
notice is entered in the register in respect of charge A
subsequently, charge B is completed by registration – at this stage the effect of charge A being noted is that its priority is protected as against charge B (section 29(2)(a)(i) of the Land Registration Act 2002)
later, charge A is also completed by registration

cancellation or removal of the notice might result in the first charge losing its priority to the second charge (there is, as far as we are aware, no case law on the point). This is because registered charges rank, as between themselves, according to the order in which they are entered in an individual register (section 48(1) of the Land Registration Act 2002, rule 101 of the Land Registration Rules 2003). It is arguable that retaining the notice in respect of charge A constitutes “an entry in the individual register to the contrary” for the purposes of rule 101, and so allows for that charge to retain its priority over charge B. We will not automatically remove the notice in respect of a charge when subsequently completing the grant of a charge by registration, but it would still be advisable to make clear, when applying to register the charge, that the notice is to remain in the register, so that this is done.

You may also wish, when applying for substantive registration of charge A in the scenario given, to apply at the same time for an entry to be made that expressly provides for the charge to have priority to charge B, rather than relying on the notice ensuring the retention of this priority; see practice guide 29: registration of legal charges and deeds of variation of charge - Application to register a charge.

2.8 Variations to interests that have been noted

2.8.1 Variation of a noted interest

Where an interest that has been noted in the register is varied, the priority of the interest, as varied, may be protected in one of two ways.

By applying to cancel the existing notice (or in the case of a unilateral notice, by applying to remove it) and applying for a new notice in respect of the interest as varied
By applying for an additional notice in respect of the variation

As the date on which the original notice was entered may be important to establish its priority, the registrar will not usually agree to alter the terms of an existing notice to reflect a variation in a third-party interest that has been agreed subsequently.

2.8.2 Registration of a new or additional beneficiary of a unilateral notice

In order that the register may be kept up to date, someone who is or has become entitled to the benefit of an interest that is protected by a unilateral notice may apply to be entered as the beneficiary. They may apply to be entered in substitution for one or more of the people already entered as ‘the beneficiary’ or to be added to them (rule 88 of the Land Registration Rules 2003).

It will be important for someone with the benefit of the claim to ensure that they are entered as beneficiary, as only the beneficiary is entitled to object to an application to cancel the notice (section 73(3) of the Land Registration Act 2002).

To apply, you should include a ‘amendment of a unilateral notice’ transaction in your application and upload form UN3. Your application must be accompanied by the fixed fee prescribed under the current Land Registration Fee Order, see HM Land Registry: Registration Services fees.

The application must be accompanied by sufficient evidence of the applicant’s entitlement to satisfy us that the claimed interest that is protected by the notice is vested in the applicant, either in place of one or more of the people registered as the beneficiary or as well as them. A conveyancer’s certificate in panel 11 of form UN3 is sufficient to comply with our requirements.

Note that, as we did not need to be satisfied that the claim was valid to enter the notice in the first place, the evidence required for this application need only show that the applicant is entitled to the benefit of the claim, not that the interest claimed is valid.

The existing beneficiary should, where possible, be asked to sign the form UN3 or consent to the application. If they do not lodge a consent, the registrar will serve notice on the current beneficiary unless the applicant is the personal representative of the beneficiary and lodges evidence of their entitlement to act.

If there is any dispute about whether the new claimant or the existing beneficiary is the person entitled to the benefit of the interest protected, the new claimant could apply for a new notice rather than applying to be registered as beneficiary of the existing notice.

Question 3

3. Restrictions

Accepted Answer

3.1 The nature and effect of restrictions

3.1.1 The general effect of restrictions

Restrictions prohibit the making of an entry in respect of a disposition or a disposition of a specified kind. The prohibition may be indefinite or for a specified period and it may be absolute or conditional on something happening (for example, on getting the consent of a third-party).

The term ‘disposition’ is not defined in the Land Registration Act 2002, but section 27 of the Land Registration Act 2002 identifies the types of ‘disposition’ required to be registered. These include:

a transfer
certain types of lease
the grant or reservation of an easement
a rentcharge/right of entry annexed to a rentcharge
a charge by way of legal mortgage

Therefore, a restriction that includes the words “No disposition … “ will catch the above types of disposition.

Most restrictions refer to dispositions by the proprietor of the registered estate or of a registered charge, implying some action by that proprietor to make the disposition. A disposition may also occur by operation of law, and a restriction that refers merely to “no disposition” would also catch such a disposition. Please note, however, that a discharge of a registered charge is not a disposition and cannot be prevented by a restriction.

A restriction makes it apparent from the register that either the powers of the relevant proprietor are limited, or that a prior condition must be met before a disposition can be registered. The purpose of restrictions is to regulate registration, not regulate dispositions. So, where a restriction entered in the register requires consent or has an option requiring consent, the consent given in relation to the restriction should expressly consent to the registration of the disposition, not consent to the disposition. This requirement does not apply to a restriction that requires a certificate. In that case, all that is needed is that the certificate complies with the requirements of the restriction.

Once entered, a restriction will remain in the register until it is cancelled or withdrawn. Restrictions are not automatically cancelled following a disposition, although we may cancel any restriction that has clearly become superfluous.

Note that an application to register a disposition may be caught by a restriction, so compliance with the restriction may be required, even when the disposition is made pursuant to an order of the court – for example, on the breakdown of a marriage where one party is ordered to transfer the registered estate to the other party.

In view of the difficulties that may arise when an inappropriate restriction is entered in the register, you should consider the questions in Things to consider before applying for a restriction before making an application to HM Land Registry for a restriction.

3.1.2 Restrictions that affect a registered estate

A restriction that is entered to regulate dispositions of a registered estate will be entered in the proprietorship register.

Such restrictions do not have any effect on existing registered charges or the powers of the registered chargee. Since 10 November 2008, the wording of standard restrictions makes this clear, but the principle also applies to restrictions entered before that date. However, a restriction entered in the proprietorship register may affect a charge that is registered afterwards. The date entered in brackets at the beginning of an entry shows the date of its registration. You can tell by comparing the date of a restriction and the date of registration of a registered charge whether the chargee’s powers may be affected.

When you are applying to register more than one transaction, we need to be clear as to the order of the applications. For instance, where a transfer and a charge are lodged together, and the transfer includes a request to enter a restriction, we will not automatically assume that the charge application has priority over a restriction requested in a transfer. The order of applications must be clearly stated, and this is the customer’s responsibility. Where required, the restrictioner’s consent to the registration of the charge must be lodged.

3.1.3 Restrictions that affect an existing registered charge

A restriction that affects an existing registered charge will be entered in the charges register and will refer specifically to the entries relating to the affected charge.

Even though a restriction entered in the proprietorship register may appear to restrict dispositions by ‘the proprietor of any registered charge’ (see, for example, the Form O restriction), it will not have any effect on a charge that was registered prior to the entry of the restriction.

If you intend to restrict all dispositions whether by the proprietor of the registered estate or the proprietor of an existing registered charge, you must apply for separate restrictions in the 2 parts of the register.

3.1.4 Entries that may be prevented by a restriction

The standard form restrictions prescribed in Schedule 4 to the Land Registration Rules 2003 each regulate or prohibit the registration of a disposition. Registration in this context is defined as meaning the completion by registration of a registrable disposition. None of the standard form restrictions prevent the mere entry of a notice.

Note, however, that some restrictions entered under the Land Registration Act 1925 expressly prevented the entry of a notice. We will not accept an application for a restriction not in a standard form under the Land Registration Act 2002 that expressly prevents the entry of a notice, as this would have the effect of preventing the protection of a third-party interest by an agreed or unilateral notice.

3.1.5 Complying with a restriction

3.1.5.1 General

A certificate or consent required by a restriction can be signed in ‘wet ink’ or using an electronic signature. For the specific methods of signing appropriate to your circumstances see Certificates or consents other than by conveyancers, Certificate or consent by corporation aggregate or Certificate or consent by a conveyancer.

If a certificate or consent is being provided by email see Emailed certificates or consents.

Where a restriction catches 2 or more dispositions being lodged at the same time, the consent or certificate of compliance must be to all of the dispositions being registered. For example, if both a transfer and charge are being registered and both are caught by a restriction that requires consent, the consent given must be to the registration of both the transfer and the charge.

A consent required by a restriction must state that it is to the registration of the disposition, and not just to the disposition itself.

3.1.5.2 Certificates or consents other than by conveyancers

An individual who is not a conveyancer can sign a consent or certificate in ‘wet ink’ or using an electronic signature.

We will only accept an electronically signed consent or certificate in the above circumstances when it is lodged by a conveyancer.

In doing so, we will rely on the conveyancer lodging the consent or certificate having no reason to doubt its authenticity.

We will not accept certificates nor consents signed per pro. (“pp”) another named individual.

Where the terms of a restriction require a certificate or consent signed by a corporation aggregate, (which includes overseas companies), unless a contrary intention appears in the restriction or the certificate or consent is given in a deed executed by the corporation in question, the certificate or consent must be signed by either:

its clerk, secretary or other permanent officer
a member of its board of directors, council or other governing body
its conveyancer
its duly authorised employee or agent (rule 91B of the Land Registration Rules 2003)

If a restriction requires a certificate or consent to be signed on behalf of a corporation by its secretary but that corporation has no secretary, the certificate or consent should be signed by one of the other people listed above (rule 91B(4) of the Land Registration Rules 2003).

An individual providing a consent or certificate on behalf of a corporation aggregate can sign the document using an electronic signature, provided that the consent or certificate is lodged by a conveyancer.

In accepting electronically signed consents and certificates in the situation described above, we will rely on the conveyancer lodging the consent or certificate having no reason to doubt its authenticity.

The certificate or consent must state the full name of the signatory and the capacity in which the signatory signs (rule 91B(5) of the Land Registration Rules 2003). The certificate or consent must be signed by the individual in their own name.

A certificate or consent by a conveyancer, other than the certificate required by a restriction in standard Form LL (see Restriction in Form LL), can be signed in ‘wet ink’, or using an electronic signature by an individual conveyancer in their own name or in the name of their firm.

A certificate or consent can also be signed in the name of a conveyancing firm by an employee of the firm who is not themselves a conveyancer. This applies to consents and certificates signed in wet ink, or using an electronic signature.

Whoever it is signed by, and whatever means of signing is used, the certificate or consent must state the full name of the individual and their status in the firm (such as a partner, solicitor, paralegal or secretary in the firm).

3.1.5.5 Emailed certificates or consents

A certificate or consent by a conveyancer, other than a certificate required by a restriction in standard Form LL (see Restriction in Form LL) can be given in an email.

A certificates or consent by an individual (on their own behalf or on behalf of a corporation aggregate) can be given in an email to a conveyancer.

The email does not have to be sent to an individual’s own conveyancer, but the application it accompanies must be lodged by a conveyancer. We will rely on the conveyancer lodging the consent or certificate having no reason to doubt its authenticity.

The email must not be forwarded or sent to us by a further email.

3.1.5.6 Restriction in Form LL or the company counter fraud restriction

Where a restriction in Form LL or the company counter fraud restriction (see Companies) is entered in a register the certificate required to comply with the restriction must be signed by a conveyancer in their own name and not that of their firm or employer (rule 217A(2) of the Land Registration Rules 2003). Certificates signed by a member of the conveyancer’s staff are not acceptable even if signed in the name of the individual conveyancer. The certificate must state “I certify”, not “We certify”. The conveyancer must sign the certificate personally in ‘wet ink’. Such a certificate will also normally be required on an application to cancel or withdraw this restriction.

Remember: the certificate of compliance must be signed in a conveyancer’s own name and not by one of their staff in the firm’s name. Also per pro signatures are not acceptable (a per pro signature is one where someone signs on behalf of someone else).

While all Chartered Legal Executives may verify identity, only CILEX Conveyancing Practitioners can provide certificates to comply with Form LL or company counter fraud restrictions. Please note that it is not sufficient for the person giving the certificate to describe themselves simply as CILEX Practitioner; this must always be CILEX Conveyancing Practitioner.

The Form LL restriction requires the conveyancer to certify that they are satisfied that the person who has executed the document submitted for registration as disponor is the same person as the proprietor. A certificate which merely states that the person who signed the document is the registered proprietor is therefore not acceptable. Similarly most company counter fraud restrictions require the conveyancer to certify that they are satisfied that the company which has executed the document submitted for registration as disponor is the same company as the proprietor and that reasonable steps have been taken to establish that each person who signed as an officer of the company held the stated office at the time of execution. However, the wording of some company counter fraud restrictions may vary and you should always ensure that the certificate given is compliant with the actual wording of the restriction.

In the case of Form LL restrictions an acceptable certificate, lodged with an application to register a disposition, might read as follows:

I certify that I am satisfied that the person who has executed the … (description of the document) submitted for registration as disponor is the same person as the proprietor of registered title … . Signed by … (name of individual conveyancer & status) … (Signature in wet ink)

You may also use form RXC to demonstrate compliance. For details on the use of form RXC to comply with a Form LL Restriction see Form RXC and Form LL or counter fraud restrictions.

Please note that a conveyancer might charge a fee for providing the certificate.

3.1.5.7 Complying with a restriction upon a transfer of part of the land in the title

Where we receive an application to register a transfer of part of the land in a title, any restriction on the title will need to be complied with, withdrawn or cancelled. If the restriction is not one we are obliged to enter (see Where we are obliged to enter a restriction) and is no longer intended to affect the land transferred, an application should be made to either withdraw or cancel it as appropriate, although we may not put it on the title of the transferee if it has clearly become superfluous.

3.1.5.8 Restriction in Form LL or company counter fraud restrictions - deed is signed by someone who is not the registered proprietor

We often receive applications where the deed lodged for registration has been signed by someone other than the registered proprietor. Typical examples of this include:

where the deed has been signed by a Trustee in Bankruptcy, or personal representative of a deceased proprietor, or
where the deed has been signed by a Court of Protection deputy, an attorney, or Law of Property Act receiver with extended powers

The following explains how to proceed in these situations, when there is a Form LL restriction in the register:

When a deed has been signed by a trustee in bankruptcy or personal representative

A Form LL restriction applies to dispositions of the registered estate (defined in section 132 of the Land Registration Act 2002 as “a legal estate the title to which is entered in the register”), by the proprietor of the registered estate.

In the case of bankruptcy, the bankrupt’s estate vests in the trustee immediately on their appointment taking effect. When the bankrupt’s estate includes property, it vests in the trustee “without any conveyance, assignment or transfer” (section 305 of the Insolvency Act 1986).

From that moment, the trustee in bankruptcy is “proprietor of the registered estate”. They are not the registered proprietor, because the automatic vesting in a trustee in bankruptcy is not required to be completed by registration (section 27(5)(b) of the Land Registration Act 2002). The trustee is, however, entitled to be registered as proprietor if they wish, and are entitled to exercise owner’s powers.

The above also applies to a personal representative of a deceased sole proprietor. The legal estate vests in them automatically in an executor on the death of the proprietor, and in an administrator on the grant of letters of administration. In either case this is without the need for a transfer to be registered, and, while not being registered as such, they are the “proprietor of the registered estate”.

A disposition of the registered estate by a trustee in bankruptcy, or a personal representative of a deceased sole proprietor, will, therefore, be caught by the terms of a Form LL restriction.

In these circumstances, it is possible for a conveyancer to give a certificate in the usual way to comply with a Form LL restriction.

This is because the restriction requires a certificate to the effect “that that conveyancer is satisfied that the person who executed the document submitted for registration as disponor is the same person as the proprietor”. In the above circumstances the trustee or personal representative will be “the proprietor”.

Evidence of the appointment of the trustee in bankruptcy or personal representative must be lodged with the certificate in order for it to be accepted – see practice guide 6: devolution the death of a registered proprietor, or practice guide 34: personal insolvency as appropriate.

When a deed has been signed by an attorney, Law of Property Act (LPA) receiver with extended powers or deputy

In contrast to the above position, an individual acting in one of the above roles (“the agent”) will be signing a deed on behalf of the registered proprietor (“the principal”). They will not, however, be the proprietor of the registered estate themselves.

In law, a deed that is signed by an agent with appropriate authority (whether in their name or the name of their principal) is treated as being signed by the principal. As an example, an attorney acting on behalf of an incapacitated registered proprietor could sign a transfer in their own name, and legally it would be regarded as having been signed by the registered proprietor.

A Form LL restriction or a company counter fraud restriction affects dispositions of the registered estate by the proprietor of the registered estate. A disposition by an authorised agent of the proprietor is a disposition by the registered proprietor and is caught by the terms of the restriction.

Given the above, while we will accept a certificate from a conveyancer to comply with a Form LL restriction or a company counter fraud restriction in these circumstances, before giving the certificate the conveyancer must satisfy themselves that:

X is the [attorney/deputy/LPA receiver] of the registered proprietor, and
the person who executed the [details of the deed lodged for registration] on behalf of the donor proprietor is the same person as that [attorney/deputy/LPA receiver]

Appropriate evidence of the individual’s authority to sign on behalf of the registered proprietor must also be provided. This could, for example, be in the form of a power of attorney or Court of Protection order appointing a deputy.

3.1.6 Complying with a restriction using form RXC

Form RXC is a voluntary HM Land Registry form, designed to help customers provide consents and certificates to comply with the terms of restrictions.

Form RXC will help you to provide consents or certificates that meet HM Land Registry requirements, with the aim of avoiding the need for us to raise requisitions in relation to incomplete or uncertain consents or certificates.

In addition, the form states that any consent given is both to the completion of the dispositions identified and to their registration.

Form RXC can be used whenever the wording of a restriction requires a consent or certificate. As a result, it is suitable for use with the vast majority of standard form restrictions and many non-standard form restrictions.

While we will still accept consents and certificates lodged as described in Compliance with a restriction, we recommend that form RXC is used where possible.

3.1.6.1 Using form RXC

The form comes complete with guidance notes that will help you to fill in the individual panels. The following are a few additional points to remember. Specific guidance on completing panel 3 is found in Completing panel 3 of form RXC.

You should ensure you provide as much detail as possible in panels 1 and 2 of the form to help us to identify which restriction the consent or certificate given relates to – we may need to raise a requisition if this is incomplete or unclear.
Form RXC cannot be used to provide consents or certificates in respect of multiple titles. If you need to provide a consent or certificate in respect of multiple titles separate RXC forms must be lodged for each title. Alternatively, a consent or certificate can be given on letter headed paper.
Form RXC cannot usually be used to provide consents or certificates in respect of more than one restriction in the register of the same title where those restrictions are in favour of different parties.
If, however, there are multiple restrictions in favour of the same party in the register of a single title, that party can use form RXC to provide a consent in respect of all such restrictions by adapting panel 2 of the form to detail the various restriction entries.
You should note that this does not apply to restrictions requiring certificates, which although in favour of the same party may refer to different documents or provisions. In this instance separate RXC forms must be lodged.
Form RXC can be used to provide a bulk consent or certificate in respect of a restriction that catches multiple transfers of part from a parent title. Where a bulk consent or certificate is given in respect of specific plots, these can be referred to in panel 4 or 5 of form RXC as appropriate.
If the person giving the consent or certificate is not named personally in the restriction – for example the restriction requires a certificate from “a conveyancer” or “the director or secretary of…” – then details of the person giving the consent or certificate must always be provided in part B of panel 3.
If the certificate or consent given in form RXC is by a corporation aggregate (as opposed to their conveyancer) the requirements detailed in Certificate or consent by corporation aggregate will apply. Part B of panel 3 should be used to provide the full name of the signatory and the capacity in which they sign in order to comply with rule 91B (5) of the Land Registration Rules 2003).
If the certificate or consent given in form RXC is by a conveyancer (other than a certificate to comply with a Form LL restriction), the requirements detailed in Certificate or consent by a conveyancer will apply. Part B of panel 3 should be used to state the full name of the individual and the capacity in which they are signing. You must state what sort of conveyancer you are under ‘Status’ in part B – for example solicitor, licensed conveyancer and so on.
An incorrectly completed RXC form will lead to requisitions being raised and may result in delays to your application being processed.

3.1.6.2 Lodging form RXC with an application

If a copy of the RXC is being lodged with an application, or the restriction relates to a pending application, a scanned copy of form RXC should be upload as ‘evidence’.

3.1.6.3 Completing panel 3 of form RXC

Panel 3 is where you provide the details of the person giving the consent or certificate, and the capacity in which they are doing so. It is important that this panel is completed correctly, with all relevant details stated.

The following quick reference table will help you decide which boxes in panel 3 you need to select in various circumstances. This will depend on who is giving the consent or certificate. You can also refer to Appendix C for examples of how to complete form RXC in various circumstances.

Consent or certificate given by	Statement 1, Part A?	Statement 2, Part A?	Choose an option under Statement 2 of Part A?	Part B?
A private individual personally named in the restriction	Yes	No	No	No
An attorney of a private individual personally named in the restriction	No	Yes – entering the name of the individual named in the restriction	Yes – third option -enclosing appropriate evidence of the power	Yes
A corporation aggregate – provided by an officer, employee, agent or attorney	No	Yes – inserting the name of the corporation	Yes – third option	Yes
A conveyancer acting on behalf of the individual or corporation aggregate named in the restriction, or on behalf of their attorney	No	Yes – inserting the name of the individual or corporation you are representing	Yes – first option	Yes
A conveyancer when their status is described in the restriction (ie, a consent or certificate is required from “a conveyancer”, or a conveyancer acting for a specific party)	Yes – on the basis that their status is described in the restriction	No	No	Yes
An employee of a conveyancing firm, who is not themselves a conveyancer	No	Yes - inserting the name of the individual or corporation your firm are representing	Yes – second option	Yes
Registered proprietor of a specific title number or reversionary estate	Yes – on the basis that their status is described in the restriction	No	No	Yes – indicating that they are the proprietor of the relevant title under “Status”
Proprietor of a registered charge – private individual	Yes	No	No	No
Proprietor of a registered charge – corporation aggregate	No	Yes - inserting the name of the corporation	Yes – third option	Yes

Some restrictions require a consent or a certificate to be given by the proprietor for the time being of a specific title number or specified registered estate – for example restrictions in standard Form M and the optional wording in Forms O and PP.

If the proprietor of the title mentioned in the restriction is an individual, they should normally tick the first box in Part A of panel 3 of the form, confirming they are the person described in the restriction as being able to give the consent or certificate, and then in Part B of panel 3, under ‘Status’ confirm they are the registered proprietor of the title referred to in the restriction.

If the proprietor of the title named in the restriction is a company, then normally the person giving the consent or certificate will tick the second box in Part A, confirming that they are giving the consent or certificate on behalf of the company, and then choose the third option.

Because they are not personally named in the restriction, they should also complete Part B, and provide details of their position in the company – for example ‘director’ or ‘secretary’.

3.1.6.5 Use of form RXC by attorney

If the individual signing form RXC is doing so because they are acting under a power of attorney, a copy of the power should accompany the form.

Alternatively, a separate conveyancer’s certificate can be lodged confirming:

the date, donor and donee of the power of attorney (‘the power’)
that the power is in existence and is validly executed as a deed
that the power authorises the attorney to execute the document on behalf of the donor’ and
that they hold the instrument creating the power

A consent to a disposition, and its registration, is given by completing panel 4 of form RXC.

As detailed in Using form RXC you should ensure that panel 4 is signed by the person(s) who can give the consent under the terms of the restriction, and that their details have been provided in panel 3.

An employee of a conveyancing firm, who is not themselves a conveyancer should sign panel 4 in the name of their firm. You should note that HMLR will rely on a consent given by an employee of a conveyancing firm to the same extent as a consent provided by an individual conveyancer. As a result, you must ensure that all relevant checks have been carried out and that the person giving the consent is satisfied that it is appropriate to do so on behalf of their firm prior to completing form RXC.

An individual who is not a conveyancer can sign panel 4 of form RXC in ‘wet ink’ or using an electronic signature.

We will only accept an electronically signed form RXC in the above circumstances when it is lodged by a conveyancer.

In doing so, we will rely on the conveyancer lodging the RXC having no reason to doubt the authenticity of the signature.

You must also make sure that all the disposition(s) that the consent relates to are listed in this section – for example “transfer, grant of easement, charge”.

3.1.6.7 Giving a certificate using form RXC

A certificate is given by completing panel 5 of form RXC.

The first point to address when completing panel 5 is to make sure all the disposition(s) that the certificate relates to are listed, for example “transfer, grant of easement, charge”.

You are then prompted to choose from one of three options for the certificate being provided, Option A, Option B, or Option C. Which one is appropriate will depend on the type of certificate required:

i) Option A – This is a shortform method of providing the certificate required by the restriction. It relies on the restriction being accurately identified based on the information provided in panel 2 of the form, and the person providing the certificate being familiar with its terms.

This option should only be used if the person providing the certificate has read the terms of the restriction identified in panel 2 of the form, is satisfied that the requirements of the restriction have been met and that it is appropriate to give the required certificate. If this box is selected, we will assume that this is the case and will rely on the certificate provided.

If preferred, the terms of any required certificate can be set out in full by selecting Option C.

ii) Option B – This is specifically designed for use in complying with Form LL restrictions. By selecting Option B, the person completing the form will ensure that the correct wording is used to satisfy the terms of that particular restriction.

If this option is selected, panel 5 must be signed by an individual conveyancer in wet ink.

For further guidance see Form RXC and Form LL or company counter fraud restrictions.

iii) Option C – This is an alternative to the shortform certificate in Option A. There is space below Option C for the wording of the certificate required to comply with the restriction to be stated.

This option may be particularly useful if a conveyancer is sending form RXC to a third party (such as a management company) to sign and wishes to make clear exactly what certificate is required by the restriction.

Remember that the wording of the certificate given using Option C must exactly match that required by the terms of the restriction. If this is not the case we will raise a requisition for form RXC to be amended.

As detailed in Using form RXC you should ensure that panel 5 is signed by the correct person(s) who can give the certificate under the terms of the restriction, and that their details have been provided in panel 3.

An employee of a conveyancing firm, who is not themselves a conveyancer should sign panel 5 in the name of their firm. You should note that HMLR will rely on a certificate given by an employee of a conveyancing firm to the same extent as a certificate provided by an individual conveyancer. As a result, you must ensure that all relevant checks have been carried out and that the person giving the certificate is satisfied that it is appropriate to do so on behalf of their firm prior to completing form RXC.

An individual who is not a conveyancer can sign panel 5 of form RXC in ‘wet ink’ or using an electronic signature.

We will only accept an electronically signed form RXC in the above circumstances when it is lodged by a conveyancer.

In doing so, we will rely on the conveyancer lodging the RXC having no reason to doubt the authenticity of the signature.

As detailed above, if Option B is selected, form RXC must be signed by an individual conveyancer in wet ink.

3.1.6.8 Form RXC and Form LL or company counter fraud restrictions

As detailed in Giving a certificate using form RXC, form RXC can be used to provide a certificate to comply with Form LL and company counter fraud restrictions.

However the requirements in Restriction in Form LL or the company counter fraud restriction must be satisfied first.

To use form RXC to give a certificate to comply with a Form LL restriction you must:

Complete panel 3 correctly – a person within the definition of ‘conveyancer’ (rule 217A of the Land Registration Rules 2003) must tick the first box in Part A, because their status (“conveyancer”) is described in the restriction. The full details of the individual conveyancer giving the certificate must then be provided in Part B of panel 3.

Complete panel 5 correctly – You must select Option B in panel 5.

To use form RXC to provide a certificate in respect of a company counter fraud restriction, you must:

complete panel 3 as detailed above
complete panel 5 by selecting Option C and then inserting the following wording:

“the company which executed the document submitted for registration as disponor is the same company as the proprietor, and reasonable steps have been taken to establish that each person who signed as an officer of the company held the stated office at the time of execution.”

For both Form LL and company counter fraud restrictions panel 5 of form RXC must be signed by an individual conveyancer or CILEx Conveyancing Practitioner in their own name, not in the name of their firm (as required by rule 217A(2). Form RXC, as with all Form LL or company counter fraud certificates, must also always be signed in wet ink.

3.1.6.9 Form RXC – restrictions on the registration of disposals by overseas entities

The form of restrictions that are entered when an overseas entity is registered as proprietor of a registered title are detailed in section 3.2 of practice guide 78 overseas entities.

These restrictions can be complied with either by providing a valid overseas entity ID, or a certificate from a conveyancer when claiming an exception from the provisions of Schedule 4A of the Land Registration Act 2002.

A conveyancer should use either certificate OE1 or certificate OE2 for this purpose see section 3.4.2 of practice guide 78 overseas entities.

Form RXC can be used to provide these certificates, however you must note the following points:

It is important that as well as completing panel 3 correctly (to reflect the fact that a conveyancer is providing the certificate on behalf of the relevant overseas entity), panel 5 is completed correctly.

The correct option to select in panel 5 is Option C, with the full wording of the required certificate then being set out.

It will not be appropriate to select Option A in panel 5 in these circumstances and doing so will lead to the form’s rejection.

3.2 Entry of restrictions

3.2.1 Restrictions entered at the registrar’s discretion

Section 42(1) of the Land Registration Act 2002 sets out the registrar’s general power to enter a restriction as follows.

“The registrar may enter a restriction in the register if it appears to him that it is necessary or desirable to do so for the purpose of –

(a) preventing invalidity or unlawfulness in relation to dispositions of a registered estate or charge,

(b) securing that interests which are capable of being overreached on a disposition of a registered estate or charge are overreached, or

(c) protecting a right or claim in relation to a registered estate or charge.”

The registrar may enter a restriction to fulfil one of these purposes whether or not an application is made to do so. However, the registrar will always notify the relevant proprietor when a restriction is entered without an application having been made to do so. See Notifiable applications for information about notices served when an application has been made to enter a restriction.

It will usually be clear whether a restriction is necessary or desirable for one of the three permitted purposes, but this will not always be the case. Note that the purpose set out in section 42(1)(c) of the Land Registration Act 2002 does not permit the registrar to enter a restriction in respect of any right or claim but is limited as follows.

Firstly, the registrar may not enter a restriction to protect the priority of an interest that is or could be protected by notice (section 42(2) of the Land Registration Act 2002). However, a restriction might still be necessary or desirable for one of the other permitted purposes set out in section 42(1)(a) or (b) of the Land Registration Act 2002, for example to prevent the unlawful breach of a provision in a contract that has been protected by notice
Secondly, a right or claim may only be protected under the third permitted purpose if it relates to a registered estate or charge. As only the legal estate will be registered, this does not include rights or claims that relate only to a beneficial interest in property

A charging order affecting a beneficial interest under a trust may still be protected by a restriction entered under section 42(1)(c) of the Land Registration Act 2002, such as Form K, as this is expressly confirmed in the Land Registration Act 2002 (section 42(4) of the Land Registration Act 2002). However, generally a restriction can only be entered in respect of an interest under a trust for one of the other two permitted purposes. In most cases, a restriction in Form A will be appropriate for the second purpose – to ensure that overreaching takes place on a disposition that gives rise to capital monies. See practice guide 24: private trusts of land for more information.

3.2.2 Where we are obliged to enter a restriction

We are obliged to enter a restriction in certain circumstances. These are where:

we enter 2 or more people as joint proprietors of a registered estate in land and the survivor will not be able to give a valid receipt for capital money (section 44(1) of the Land Registration Act 2002) – see practice guide 24: private trusts of land for more information
some other statute requires the registrar to enter a restriction (section 44(2) of the Land Registration Act 2002)
a bankruptcy order is registered under the Land Charges Act 1972 and it appears that a registered estate or charge is affected (section 86(4) of the Land Registration Act 2002). Practice guide 34: personal insolvency provides further detail about the entry of a bankruptcy restriction
the court makes an order that requires the registrar to enter a restriction (section 46 of the Land Registration Act 2002) - see Court orders requiring the entry of a restriction for more detail about restrictions required by the court

Rule 95 of the Land Registration Rules 2003 specifies the forms of restriction that we are obliged to enter under various statutory provisions.

3.3 The form of a restriction

3.3.1 Standard form restrictions

The effect of a restriction must be clear from its wording and its administration must not place us under an unreasonable burden. Schedule 4 to the Land Registration Rules 2003 prescribes a number of standard form restrictions that are intended to cover the vast majority of applications made.

These are set out in Appendix B: standard form restrictions.

The standard form restrictions are worded in a clear manner so that we, and someone inspecting the register, will be able to determine whether a given application will be caught by its terms and, if so, what action needs to be taken to allow the application to proceed.

To prevent a restriction causing unforeseen problems, and to help consideration of your application, please take note of the questions listed in Things to consider before applying for a restriction when preparing an application for a restriction.

When applying for a standard application, remember that:

words in [square brackets] in ordinary type are optional parts of the form; the brackets are not to be included in the restriction
words in {curly brackets} re instructions for completion of the form, and are not to be included in the restriction
where (round brackets) enclose one or more words, the brackets and all words in ordinary type enclosed in them are part of the form and, unless also enclosed in [square brackets], must be included in the restriction
where a form contains a group of clauses introduced by bullets, only one of the clauses may be used; the bullets are not to be included in the restriction
where a restriction in Form J, K, Q, S, T, BB, DD, FF, HH, JJ, LL or OO relates to a registered charge, which is one of two or more registered charges bearing the same date and affecting the same registered estate, the words ‘in favour of’ followed by the name of the registered proprietor of the charge must be inserted in the restriction after the date of the charge
while some standard restrictions allow reference to compliance with a specific clause in a deed, they do not allow wording which refers to the deed as a whole, “all clauses” or similar: such references would make the restriction non-standard
where the wording of a restriction in Schedule 4 to the Land Registration Rules 2003 provides for a certificate or consent to be given by the restrictioner ‘[or [their conveyancer or specify appropriate details]’, the words ‘or specify appropriate details’ should refer to a class (or classes) of person who may be expected to act on behalf of the restrictioner rather than to a particular named individual. Please also remember that, as explained in Certificate or consent by corporation aggregate, rule 91B will apply to a certificate or consent given by a corporation aggregate - unless a contrary intention appears in the restriction
any additional descriptive text will make the restriction non-standard – see the penultimate paragraph of Adapt the restriction to suit your circumstances. Similarly, the option to “specify appropriate details” should not be used to insert the name of a second signatory, or the name of a second signatory plus a description
a standard restriction cannot be amended to commence with the words ‘no dealing’ or ‘no disposition or dealing’, nor can wording be used to prevent noting (as opposed to registration) of a disposition
a restriction that refers to “No disposition … “, will catch, among other things, transfers, leases, charges and the grant, reservation or variation of easements
a restriction affecting a freehold title that requires a certificate from a conveyancer may be preferable to one that requires a certificate from, for instance, a specific management company because difficulties might arise if, for example, the company is subsequently dissolved or replaced

3.3.1.1 Adapt the restriction to suit your circumstances

Rule 91A of the Land Registration Rules 2003 allows the following amendments to the standard restrictions. They are:

where a standard form restriction is intended to affect part of a registered estate the words ‘No [disposition {or specify type of disposition}] of the registered estate’ [should be replaced by ‘No disposition {or specify type of disposition} of the part of the registered estate]’ followed by a sufficient description, by reference to a plan or otherwise, to clearly identify the part affected
a restriction in standard Form L, M, N, O, P, S, T, II, NN, OO or PP may commence with the word ‘Until’ followed by a date
a restriction in standard Form L, N, S, T, II, NN or OO may commence with the words ‘Until the death of {name}’ or ‘Until the death of the survivor of {names of 2 or more people}’
where the words ‘they’ or ‘their’ occur in a standard form of restriction, they may be replaced, as appropriate, by ‘he’, ‘she’, ‘it’, ‘his’, ‘her’ or ‘its’ if they refer to a person or corporation named in the restriction
where a standard form of restriction permits the type of disposition to be specified, the word ‘disposition’ may be replaced by ‘transfer’, ‘lease’, ‘charge’, ‘sub-charge’ or any combination of these, but not by anything else
where a restriction applied for is in standard Form L, M, O, P, S, NN, OO or PP, consideration should be given to including the words ‘[or that they do not apply to the disposition]’ within the restriction because without them, a certificate cannot be given in the future that the restriction does not apply to the particular transaction lodged

By way of example, set out below are two variations on a standard Form L restriction. The first example will catch all dispositions by the proprietor of the registered estate or the proprietor of any registered charge (aside from those registered before the entry of the restriction) but allows for a certificate by any conveyancer. The certificate must confirm that the provisions referred to in the restriction have been complied with or do not apply to the disposition. In contrast, the second example will only catch transfers of the registered estate by the registered proprietor - but the certificate must be provided by a specific person and it must confirm that the stated provisions have been complied with.

“No disposition of the registered estate by the proprietor of the registered estate or by the proprietor of any registered charge, not being a registered charge registered before the entry of this restriction, is to be registered without a certificate signed by a conveyancer that the provisions of paragraph 4.1 of a Deed dated 22 June 2012 made between (1) … and (2) … have been complied with or that they do not apply to the disposition.”

“No transfer of the registered estate by the proprietor of the registered estate is to be registered without a certificate signed by Thomas Atkins of 22 Acacia Avenue … that the provisions of paragraph 4.1 of a Deed dated 22 June 2012 made between (1) … and (2) … have been complied with.”

As well as the options allowed by rule 91A referred to above, which include provisions for restrictions that will cease to have effect on the death of a named person or people, the wording of restrictions in standard Form L, N. S, T, NN and OO allow for the inclusion of wording to show who should give the certificate or consent if the restriction is to continue to have effect after the death of the person named in the restriction. Thought should always be given to making use of these options when the restrictioner is a person as they can make later applications for cancellation, withdrawal or modification considerably more straightforward for both the applicant and HM Land Registry. The options include:

adding ‘or their personal representatives’ after the name and address of the person required to give a certificate or consent by the restriction
adding ‘or after that person’s death by {name} of {address}’ after the name of the restrictioner if the restriction is to continue to have effect after the death of the restrictioner but it is not appropriate that the restrictioner’s personal representatives give the consent or certificate
using ‘{name} of {address} and {name} of {address} or the survivor of them’ where more than one person is named in the restriction and there is a right of survivorship to the interest protected by the restriction
using ‘{name} of {address} and {name} of {address} or the survivor of them or by the personal representatives of the survivor’ if the restriction will continue to have effect after the death of the survivor of the people named

Additionally:

‘or by {name} of {address}’ may be added after the name of the restrictioner if they wished to allow an alternative second person to give the consent or certificate

The additional wording should only be used where it is shown as an option in the wording of the standard restrictions.

Other practice guides in this series provide information about standard form restrictions that should or may be applied for or entered in particular situations.

Any amendment not provided by rule 91A or which goes beyond those explained in Standard form restrictions will make the restriction non-standard. For example, the {name} field in the standard restrictions does not allow for additional descriptive text such as details of the particular office or function of the restrictioner. If a restriction is required in favour of, for example, ‘X, the supervisor of …’ application should be made for a non-standard restriction. Similarly, reference to X, the trustee of … will also make the wording of the restriction non-standard.

Restrictions in Form L, M, O, P, S, NN, OO and PP that require compliance with all of the provisions in a deed or other document (rather than certain specified clauses) will also make the restriction non-standard.

3.3.2 Restrictions not in a standard form

You should only apply for a restriction that is not in a standard form if none of the standard form restrictions is appropriate.

Where there is no appropriate standard form available we will only approve the form that you have applied for if:

it is reasonable
its application would be straightforward
its application would not place us under an unreasonable burden (section 43(3) of the Land Registration Act 2002)

Please remember that when applying for a restriction not in standard form:

it must always contain the words ‘is to be completed by registration’ rather than ‘is to be registered’. This will serve to make the effect of the restriction clear. The term ‘registered’, where used in any of the standard form restrictions, means the completion of a registrable disposition by complying with the relevant registration requirements prescribed in Schedule 2 to the Land Registration Act 2002 (rule 91(3) of the Land Registration Rules 2003), but this statutory definition only applies to standard form restrictions. Please note that we will not accept restrictions not in standard form for registration that contain the words ‘is to be registered’
if the restriction affects part only of a registered extent it must contain a sufficient description, by reference to a plan or otherwise, the part affected must be clearly identified
do not commence the wording of the restriction with ‘No dealing’ or ‘No disposition or dealing’ or use wording to prevent noting (as opposed to registration) of a disposition
before you finalise an agreement in which the parties agree to apply for a non-standard restriction in a specified form, check with us the proposed form is acceptable; it can prove difficult to renegotiate the terms of an unacceptable restriction after an agreement has been made

Please also remember that restrictions entered in the register prior to the introduction of the Land Registration Act 2002 (before 13 October 2003) will often use an obsolete form of wording. Furthermore, the wording of most obsolete restrictions will not be acceptable for use in a new non-standard restriction. In addition, our practice and rules have also periodically changed since the introduction of the Land Registration Act 2002. Therefore, applicants should not assume that the wording of a restriction that already appears in the register of a title will automatically be acceptable for a new restriction.

As we must consider the appropriateness of any restriction applied for that is not in a standard form, the application fee prescribed in the current Land Registration Fee Order is higher that that for a standard restriction, see HM Land Registry: Registration Services fees.

A common example of a non-standard restriction is one that identifies leases that are not intended to be caught by the restriction. An example of this type of non-standard restriction is set out below with the non-standard wording in square brackets.

RESTRICTION: No transfer or lease of the registered estate (other than [a lease for a term expiring less than 21 years after the date of the lease]) by the proprietor of the registered estate is to be [completed by registration] without a certificate signed by a conveyancer that the provisions of clause 13.6 of the Transfer dated 21 August 2008 made between (1) … and (2) … have been complied with.

3.4 Applying for a restriction

3.4.1 Those who may apply for a restriction

You can only apply for the entry of a restriction if you:

are the relevant proprietor
are entitled to be registered as the relevant proprietor (see Applications made with the cooperation of the relevant proprietor)
have got the consent of the relevant proprietor or someone entitled to be registered as such
otherwise have a sufficient interest in the making of the entry

3.4.2 Things to consider before applying for a restriction

Before applying for a restriction ask yourself the following questions.

Who is intended to be bound by the restriction? For example, it will be difficult to show that the title should be subject to a restriction if the interest relates to a person who is not the registered proprietor.
Does the registered proprietor or someone entitled to be registered as proprietor consent to the entry of the restriction and can you provide evidence to confirm their consent? If not, do you have evidence to show that the applicant has a sufficient interest in the making of the restriction? Refer to [Entry of restrictions] and [Applications made without the cooperation of the relevant proprietor: the need to show a sufficient interest] for more information regarding this point.
What type of dispositions are intended to be caught? Remember that if a restriction is intended to catch all dispositions this would include a transfer (including an assent), a lease, a charge, and a grant/reservation/variation of an easement (see The general effect of restrictions and Adapt the restriction to suit your circumstances). Remember, a restriction requiring a certificate of compliance may also incorporate additional wording to allow for a certificate that simply confirms that the provisions referred to in the restriction do not apply to a disposition. To allow for this option the restriction just needs to be completed with the words “or that they do not apply to the disposition” (see the standard form of restrictions set out in Appendix B for more details).
Does the nature of the interest intended to be protected by the restriction require consent, or a certificate of compliance, from a particular party? If so, please remember that we will require an address for service for that party – and if they are a company, limited liability partnership or corporate body, we will require the company registration number or territory of incorporation, as appropriate.
Is there a dedicated standard form of restriction that should be used? Remember that in many instances only a limited number of standard restrictions will be appropriate - see Appendix A. In respect of leasehold titles, please also remember that a standard Form PP restriction will usually be preferable to a Form L or M restriction identifying a specific landlord or title number because the landlord and/or landlord’s title number will often change over time – see section 2.3.1 of practice guide 19A: restrictions and leasehold property. In addition, for restrictions connected to covenants in a lease where the tenant has not agreed to the entry of the restriction, please also note the contents of section 2.3.2 of practice guide 19A: restrictions and leasehold property.
Is there a definite point in the future when the interest protected by the restriction will time expire? If so, the restriction may be able to identify this fact by starting “Until … (date) no disposition of the registered estate … “.
Will the interest only apply to a specific owner/party? For example, does it cease automatically upon the death of the restrictioner? If so, again the restriction may identify when it is no longer required by starting “Until the death of … no disposition of the registered estate … “. See Adapt the restriction to suit your circumstances for further information relating to these last two points.

3.4.3 Compulsory applications

Rule 94 of the Land Registration Rules 2003 prescribes certain situations where a person must apply for a restriction. In particular, where a new trust is set up or there is a change in a trust of land and as a result a sole proprietor will not be able to give a valid receipt for capital money, a proprietor must apply for a restriction in Form A (Schedule 4 to the Land Registration Rules 2003). This is the standard joint proprietorship restriction – see practice guide 24: private trusts of land for more information.

Note that where 2 or more people are under an obligation under rule 94 of the Land Registration Rules 2003 to apply for entry of a restriction in Form A, that obligation will be satisfied by an application by one of those people. In this case however the application should be made as if it was made by a person with sufficient interest (see Applications made without the cooperation of the relevant proprietor: the need to show a sufficient interest) and HM Land Registry will serve a notice for information only on the other proprietor(s).

3.4.4 Applications made without the cooperation of the relevant proprietor: the need to show a sufficient interest

Where the applicant does not have the cooperation of the relevant proprietor, they may only apply for a restriction if they can satisfy us that they have a sufficient interest in the making of the entry.

Rule 93 of the Land Registration Rules 2003 contains a list of standard situations where a class of person will be regarded as having a sufficient interest in the making of an entry. In most cases, the rule identifies which of the standard form restrictions will be appropriate to each situation covered.

The applicant must give details of the nature of their interest and how that interest arose. We will require evidence to show sufficient interest in support of an application.

This evidence must be a statement by the applicant in panel 12 of form RX1 or conveyancer’s certificate in panel 13. If the interest arises from a document (for example, a court order) the statement or certificate should refer to that document and a certified copy should be uploaded as part of your application and listed in panel 5. We can ask for additional evidence if necessary (rule 92(4) of the Land Registration Rules 2003).

If there is more than one applicant and they chose to give a statement, that statement must be given by all the applicants. Where the applicant is a corporation the person giving the statement should confirm their position and that they are authorised to give the statement on behalf of the corporation.

3.4.5 Interests under trusts

An interest under a trust of land cannot be protected by an agreed or unilateral notice (section 33(a)(i) of the Land Registration Act 2002) but may be protected by a restriction. Generally, a beneficiary under a trust of land may apply for a Form A restriction if one has not already been entered in the register. A Form A restriction ensures that any capital money must be paid to 2 trustees or a trust corporation. A second Form A restriction cannot be entered because the purpose of a Form A is to ensure that interests behind the trust are overreached; it does not give notice of an individual’s interest under a trust.

An interest under a trust of land means the interest of a person under such a trust who stands only one step away from the registered estate. Examples include:

where A and B are the proprietors of the registered estate and hold on trust for themselves (both have interests under a trust of land)
where C and D are the proprietors of the registered estate and hold on trust for E for life and for F thereafter (E and F have interests under a trust of land)
where G is the proprietor of the registered estate and holds on a bare trust for H (H has an interest under a trust of land)

If another form of restriction is required either in place of or in addition to a Form A restriction, evidence will have to be lodged showing that the applicant has a sufficient interest in the making of the entry. Whether the application can be accepted will depend on the restriction applied for, the nature of the applicant’s interest and the circumstances of the case.

If the application was for a consent restriction such as Form N, the registrar would have to be satisfied that it was necessary or desirable (for one of the purposes in section 42(1) of the Land Registration Act 2002) for such a restriction to be entered. To allow a consent restriction to be entered (except, for example, when it was required under the trust) would be to give the beneficiary a right they are not entitled to and could result, in practice, in thwarting the clear intention of sections 42(1)(b) and 44(1) of the Land Registration Act 2002 and sections 2 and 27 of the Law of Property Act 1925 that overreaching should take place. It will not normally be possible for an applicant who is not the proprietor and who does not have the proprietor’s consent, and does not fall within rules 93(n), (o), (p), (q), (s) or (t) of the Land Registration Rules 2003 to be able to show that they have a sufficient interest in the making of a consent restriction such as in Form N.

Where a Form A restriction is considered insufficient to protect a beneficiary’s interest under a trust of land, they may also apply for a restriction in Form II. A restriction in this form should ensure that the person named in the restriction receives notice of the disposition, thereby giving them the opportunity of pursuing the proceeds of sale.

If the beneficiary’s consent is required under the terms of the trust, an application may be made for a Form B restriction.

However, please remember that a Form B restriction is only appropriate if the disposition creating the trust of land contains provisions limiting the trustee’s power. A declaration of trust that simply acknowledges and/or quantifies the beneficial shares in the equity of a property will not justify the entry of a Form B restriction. Additional information about trusts and restrictions in standard Forms A, B and C is available in practice guide 24: private trusts of land.

Further information about protecting an interest under a trust of land can be found in Appendix A: some possible means of protection for common third-party interests.

The interest of a person who is two or more steps away from a registered estate which is subject to a trust of land is termed a ‘derivative interest’ in this guide. Examples include:

proprietors J and K hold on trust for L and M and M holds on trust for herself, N and O (N and O will have derivative interests)
proprietors P and Q hold on trust for R and S, and S holds on trust for T and U (T and U have derivative interests)
proprietors V and W hold on trust for X and Y and X charges their interest to Z (Z has a derivative interest)

A person with a derivative interest may apply for a Form A restriction provided such a restriction has not already been entered in the register.

It is difficult to see how an applicant with a derivative interest would be able to satisfy the registrar that they have sufficient interest under section 42(1) of the Land Registration Act 2002 (see Restrictions entered at the registrar’s discretion) for any other form of restriction, for example a consent restriction, to be entered. Generally, a person with a derivative interest will not be able to apply for a different form of restriction because:

the holder of a derivative interest cannot apply under section 42(1)(a) of the Land Registration Act 2002 on the basis that the restriction might prevent the trustees from misapplying the proceeds of sale following a disposition which overreaches the beneficial interests, as subsection (1)(a) is concerned only with preventing unlawfulness or invalid dispositions of registered estates and not with subsequent dealings with the proceeds of sale
a derivative interest is not a right or claim in relation to a registered estate or charge within section 42(1)(c) of the Land Registration Act 2002 as it is a right or claim in relation to the beneficial interest under the trust of land (not in relation to the registered estate or charge)

A person with the benefit of a charging order over a beneficial interest under a trust of land may apply for a Form K restriction, even though their interest is a derivative interest, because of the provisions of section 42(4) of the Land Registration Act 2002 and rule 93(k) of the Land Registration Rules 2003.

The Legal Aid Agency, where it has a statutory charge over a beneficial interest under a trust of land, may apply for a restriction in Form JJ.

3.4.6 Notifiable applications

We will notify the relevant proprietor before we complete an application for a restriction unless it is either:

made by or with the consent of the relevant proprietor or someone entitled to be registered as such
one of the compulsory applications listed in rule 94 of the Land Registration Rules 2003
applied for to reflect a limitation under a court order or an order of the registrar (or an undertaking given in place of such an order) (section 45 of the Land Registration Act 2002)

The notice will give the relevant proprietor 15 working days to object to the application. If a dispute arises from an objection to an application made within that period and it cannot be resolved by agreement, it will be referred to the tribunal. See practice guide 37: objections and disputes: HM Land Registry practice and procedures for more information about the resolution of disputes by the tribunal.

3.5 How to apply for a restriction

3.5.1 Applying for a restriction

Most applications for restrictions should be made in form RX1. To apply, you should include a ‘restriction (standard wording)’ transaction in your application and upload form RX1.

Before applying, please think carefully about the disposition that you wish to restrict. Is it against a disposition of the registered estate or against a disposition of a registered charge? Select the standard form restriction as appropriate to your circumstances. Remember that a standard form restriction against a disposition of a registered charge will appear in the charges register of the title concerned.

However, you may apply for any standard form restriction by making the application in:

the additional provisions panel of any of the following forms: form TP1, form TP2, form TR1, form TR2, form TR4, form TR5, form AS1, form AS2, form AS3
the following forms of charge:
- panel 8 of form CH1
- an electronic legal charge
- a charge where we have approved the form of the charge in advance (including the application for the restriction)

Note 1: You must include words of application such as “the transferee applies to register the following restriction…”. It is not sufficient to enter just the wording of the restriction without saying who is applying for it.

Note 2: Where the application for the restriction is lodged with other applications, the priority order of the applications is governed by rule 55 of the Land Registration Rules 2003. This means that the restriction may catch other applications lodged at the same time unless the applicant specifies that the restriction ranks last in the order of priority of the applications. This should be done by selecting the transactions in the order of priority to show ‘restriction’ as the last application, or alternatively provide written confirmation of the priority of the applications.

Note 3: However, where an application is made to enter a restriction in Form LL at the same time as an application to register another disposition, we will treat the application to register the other disposition as having priority unless informed otherwise. For example, where an application for a Form LL restriction is contained within a transfer and application is made at the same time to register a charge, we will proceed on the basis that the application to register the charge has priority over the application to enter the restriction in Form LL, unless the application clearly states otherwise.

a lease containing clauses LR1 to LR14 of Schedule 1A to the Land Registration Rules 2003 (see Applications for a restriction contained in a lease)

Note: The restriction in clause LR13 must be preceded by the words of application as set out in schedule 1A, Land Registration Rules 2003. These words form part of the prescribed clause and must not be removed.

An application for a Form A restriction can also be made by including the ‘severance of joint tenancy’ transaction in your application and uploading form SEV.

The application must be accompanied by the fixed fee prescribed under the current Land Registration Fee Order, see HM Land Registry: Registration Services fees.

If you are applying for more than one restriction, you should select the appropriate ‘restriction’ transaction and upload form RX1 for each restriction being applied for.

Form RX1 is intended to be used for applying for one restriction only but we will accept an application if a single form RX1 is used to apply for different restrictions provided (a) the applicant, and (b) the reason given as to the entitlement to apply for the restrictions, are the same. If the applicant or the entitlement to apply are different, separate forms must always be used.

3.5.1.1 When an application must be in form RX1

Note any application to register a restriction not in one of the forms above, or to register a non-standard restriction, must be made by including the ‘restriction (non-standard wording)’ transaction in your application and uploading form RX1.

Common examples would be non-approved charges (see practice guide 30: approval of mortgage documentation) and deeds of grant of easements.

If we have already completed the other elements of an application, then a new application for a restriction in form RX1 will require an additional fee.

3.5.2 Applications for a restriction contained in a lease

In general, no effect will be given to an application to register a restriction contained in the body of a lease.

However, any lease containing clauses LR1 to LR14 of Schedule 1A to the Land Registration Rules 2003 may be used, at clause LR13, to apply for entry of a standard form restriction. This includes prescribed clauses leases granted on or after 19 June 2006. If clause LR13 is not completed in such a lease, any application to register a restriction contained within the body of the lease will be ignored. For information on drafting the restriction where it relates to covenants contained in a lease, please see practice guide 19A: restrictions and leasehold properties.

Where a lease containing clauses LR1 to LR14 of Schedule 1A to the Land Registration Rules 2003 is lodged for registration, and the standard form restriction is to be entered against titles other than the landlord’s or that created by the registration of the lease, it will only be registered if clause LR2.2 is also completed (rule 72A(4) of the Land Registration Rules 2003).

Where application is made against a title other than the landlord’s or that created by the registration of the lease, evidence may be required of the consent of the registered proprietor, or of the person entitled to be registered as proprietor, or that the person applying has sufficient interest in the making of the entry. Where clause LR13 is used to apply for a standard form restriction and such evidence is required it should be lodged under a covering letter with the application to register the lease.

Clause LR13 may not be used to apply for a non-standard form restriction and a form RX1 should continue to be used.

Practice guide 64: prescribed clauses leases provides further information about prescribed clauses leases.

3.5.3 Information that must accompany the application

Your application must be accompanied by (see Documents lodged with applications regarding retention of documents sent to us):

full details of the restriction you are applying for
an address for service (to be included within the text of the restriction applied for at any appropriate point) for:
- anyone named in a standard form restriction whose address is required by that restriction
- anyone named in any other restriction whose consent or certificate is required or to whom notice must be given by the registrar or another person
where the restriction refers to a company or limited liability partnership registered anywhere in the United Kingdom, the company registration number in the restriction immediately after the name (if the restriction names a company incorporated outside the United Kingdom you must include the territory of incorporation and if the company is registered at Companies House in England or Wales (but not Scotland or Northern Ireland) the registration number issued by Companies House. Overseas companies may be registered at Companies House if they have a branch or place of business in England and Wales)
where the application is made with the consent of the relevant proprietor, either:
- the consent (which can be given in panel 11 of form RX1)
- a certificate given by a conveyancer confirming that he holds the relevant consent (second option in panel 8C of form RX1, or the additional provisions panel of the forms mentioned in Applying for a restriction
where the application is by someone entitled to be registered as the relevant proprietor, either:
- evidence of the entitlement
- a certificate given by a conveyancer confirming they are satisfied that person is entitled to be registered and either the conveyancer holds the original documentary evidence of the entitlement or there is a pending application to register that person as proprietor at HM Land Registry. This could be either the second option of panel 8B of form RX1, or the additional provisions panel of the forms mentioned in Applying for a restriction
where the application is made by or with the consent of someone entitled to be registered as the relevant proprietor, either:
- the relevant consent (which can be given in panel 11 of form RX1) and evidence of their entitlement
- a certificate given by a conveyancer confirming they are satisfied that person is entitled to be registered as proprietor and either the conveyancer holds original documentary evidence of the entitlement or there is a pending application to register that person as proprietor at HM Land Registry. In this case, we need a certificate that the relevant consent accompanies the application (second option in panel 8D of form RX1). Consent can be given in panel 11 or a certificate that they hold the originals of the documents containing evidence of that person’s entitlement, or an application for registration of that person as proprietor is pending at HM Land Registry (third option in panel 8D of form RX1)
where the application is not made by or with the consent of the relevant proprietor:
- evidence of your interest in the making of the application (details of the nature of the interest and of how that interest arose must be given either as a statement by the applicant in panel 12 or as a conveyancer’s certificate in panel 13 of form RX1. When referring to the registered owner of the property, you should refer to them by name and not just as “the registered proprietor”. Where it is available, documentary evidence of the interest should be lodged with the application. Although there may be no documentary evidence where the interest is a resulting or constructive trust we would expect to see documentary evidence for all other restrictions (apart from restrictions in Forms D, E, or F))

3.6 Court orders requiring the entry of a restriction

3.6.1 The court’s power to order the entry of a restriction

The court may make an order requiring the registrar to enter a restriction (section 46 of the Land Registration Act 2002). Forms AA to HH are the standard form restrictions that the court is most likely to order the registrar to enter, but it may also order the entry of a restriction in a different form.

If you intend to apply to court for an order that will require the registrar to enter a restriction that is not in one of the standard forms, please contact us first to ensure that the proposed form will be straightforward and will not place us under an unreasonable burden.

3.6.2 Application and fee

Although the order may be addressed directly to the Chief Land Registrar, you should make a formal application for the restriction to be entered. This will ensure that the restriction is entered against the correct titles.

To apply you should include the appropriate ‘restriction (standard wording)’ or ‘restriction (non-standard wording) transaction as part of your application upload the Court Order. In the Digital Registration Service, you will be prompted to upload an RX1, you should upload the Court Order in place of the RX1.

The application should be accompanied by the fixed fee prescribed under the current Land Registration Fee Order, see HM Land Registry: Registration Services fees.

3.6.3 Overriding priority

The court may direct that the terms of the restriction must take priority over that afforded by any official search with priority that is pending when we process the application for the restriction (section 46(3) of the Land Registration Act 2002).

The restriction will then be entered immediately even if there is an unexpired priority period arising from an official search to protect the priority of a disposition that has not yet been lodged.

This direction may be appropriate if there is a risk that somebody may apply for an official search ‘with priority’ before the restriction can be entered so that they can register a disposition of the property without being caught by the terms of the restriction.

3.7 Removal of a restriction entry

3.7.1 Removal of restrictions

Restrictions may be removed from the register by:

being withdrawn voluntarily by the appropriate people interested in the restriction in form RX4 (section 47 of the Land Registration Act 2002 and rule 98 of the Land Registration Rules 2003)
an application by anyone to cancel a restriction that is no longer required in form RX3 (rule 97 of the Land Registration Rules 2003)
being cancelled by ourselves if it is clear that it is superfluous (paragraph 5 of Schedule 4 to the Land Registration Act 2002)
being cancelled by ourselves if it is a restriction entered in respect of a trust of land and we are satisfied the affected estate is no longer subject to the trust (rule 99 of the Land Registration Rules 2003); see practice guide 24: private trusts of land - Cancellation and withdrawal of restrictions for more information about cancellation of trust restrictions
an application by anyone to give effect to an order of the court directing or requiring the registrar to remove a restriction

Depending on its terms, a restriction may continue to have effect despite numerous changes of proprietorship, other dispositions and the lapse of time.

Someone intending to take a disposition of an estate or charge against which a restriction has been registered should therefore consider whether:

the disposition will be affected by the restriction and, if so, whether they can comply with its terms
the restriction may affect any later disposition they may wish to make

In appropriate circumstances they should take steps to ensure the restriction will be cancelled or withdrawn before committing themselves to complete the disposition.

If it is clear from the restriction that a specific party has the benefit of the restriction and that party provides either a completed RX4, or unambiguous written consent to the cancellation of the restriction, then removing the restriction should be straightforward.

However, if this is not the case, then before making an application to cancel a restriction you should consider whether you have evidence to show that the restriction is no longer required because either:

the interest protected by the restriction has come to an end, or
the interest behind the restriction no longer binds the estate for another reason

and the restriction is therefore superfluous.

Should you be able to demonstrate that either of the above points is met, then you can apply to cancel the restriction using form RX3 – but you must include the appropriate supporting evidence.

If neither of the above points can be satisfied then the restriction cannot be cancelled. However, you may be able to apply for disapplication using form RX2, but you will need to provide supporting evidence to show that you have complied with the requirements of the restriction. An application for disapplication will, if successful, allow the disposition to be registered subject to the restriction continuing to bind the title (see Applications to disapply or modify a restriction).

3.7.2 Removal of Form LL restriction

We may cancel a Form LL restriction automatically where it appears superfluous due to a transfer of the whole of a registered title to a new proprietor, and the certificate required by the restriction has been lodged – see Restrictions cancelled without application.

Where an application to cancel or withdraw the restriction accompanies an application to register a disposition other than a transfer of whole, you should lodge evidence of compliance with the restriction in order for the restriction to be cancelled or withdrawn – see Restriction in Form LL.

3.7.2.1 Application to cancel or withdraw a Form LL restriction that does not accompany a disposition for registration

All the registered proprietors may agree to cancel or withdraw a Form LL restriction. We will require a certificate from an individual conveyancer that they are satisfied that the people applying for or consenting to the application are the same people as the registered proprietors.

If we receive an application to cancel a Form LL restriction without the involvement of all registered proprietors, we will need to consider carefully whether we can be satisfied that it is no longer required.

If we are not satisfied on the evidence lodged that the restriction should be cancelled or withdrawn, we will cancel the application and the restriction will remain in the register.

When giving a certificate, you must comply with the requirements detailed in Restriction in Form LL.

3.7.3 Applications to cancel a restriction

Cancellation is the term used in rule 97 of the Land Registration Rules 2003 to refer to an application to cancel a restriction that is no longer required.

Any person may apply to cancel a restriction. The application must be made by including a ‘cancellation of a restriction’ transaction in your application and uploading form RX3 and no fee is payable.

If the restriction being cancelled is a Form A restriction, you can use form ST5 to supply the necessary evidence in support of your application. In the Digital Registration Service, you will be prompted to upload an RX3, you should upload an ST5 in place of an RX3.

Where the application to remove the restriction is made by or with the consent of the people having the benefit of the restriction, application should be made to withdraw the restriction. To apply you should include a ‘withdrawal of a restriction’ transaction as part of your application and upload form RX4 unless it is one of those restrictions referred to in Applications to withdraw a restriction, which cannot be withdrawn.

Cancelling a landlord/management company restriction where a right to manage company has been appointed cannot be done without consent of the landlord, the right to manage company and the tenant.

We will cancel the restriction if we are satisfied that the restriction is no longer required. The application must be accompanied by evidence to show that this is the case. If anyone is referred to in the restriction and if an address for service is listed for that person, we will usually notify them of the application and give them an opportunity to object to the application before cancelling the restriction.

Where a restrictioner has died and the terms of the restriction do not indicate that it will end upon death, or who is to have the benefit after death, then form RX3 must be supported by evidence to explain the nature of the interest protected by the restriction and, if appropriate, to demonstrate how such interest has come to an end.

3.7.4 Applications to withdraw a restriction

Withdrawal of a restriction is the term used in section 47 of the Land Registration Act 2002 and rule 98 of the Land Registration Rules 2003. Rule 98(1) and (2) of the Land Registration Rules 2003 requires an application for the withdrawal of a restriction to be accompanied by ‘the required consent’. If we are satisfied the required consent has been given, we will remove the entry without investigating whether the restriction continues to serve any purpose.

To apply, include the ‘withdrawal of a restriction’ transaction in your application and upload form RX4; no fee is payable.

Restrictions cannot be withdrawn (rule 98(3) of the Land Registration Rules 2003) when they are:

those entered to prevent an unlawful or invalid disposition by a proprietor whose powers are limited by statute or under the general law
those entered as a result of an application by someone who was obliged to apply under rule 94 of the Land Registration Rules 2003
any the registrar is obliged to enter
those entered to reflect a limitation in an order of the court or the registrar or a limitation in an undertaking given in place of an order
any the court has ordered the registrar to enter

If one of these restrictions has ceased to apply, application to cancel the restriction should be made as described in Applications to cancel a restriction. It should be noted that a restriction in standard Forms U, V, W, X, Y, JJ and QQ will always fall within the above list and Forms A, B and C will very often come within rule 98(3) of the Land Registration Rules 2003.

The required consent is:

where the restriction requires the consent of a specified person, the consent of that person
where the restriction requires a certificate to be given by a specified person, the consent of that person
where the restriction requires notice to be given to a specified person, the consent of that person
where the restriction requires the consent of a specified person, or alternatively a certificate to be given by a specified person, the consent of all such people
in any other case, the consent of all people who appear to the registrar to have an interest in the restriction

Where the person consenting is not the same as the person referred to in the restriction, you must supply appropriate evidence of devolution of the right to consent.

However, where a restrictioner has died and the terms of the restriction do not indicate that it will end upon death, or who is to have the benefit after death, then in practice it will usually be impossible to withdraw the restriction. Application must be made for its cancellation.

The applicant must lodge all necessary consents when applying, but a conveyancer’s certificate confirming they hold the necessary consents is sufficient to comply with our requirements. The same requirements for consents in Complying with a restriction apply.

Where the application is to withdraw part of the land within an affected estate or charge from the effect of the restriction (for example in readiness for a transfer of that part), the part in question must be clearly identifiable from the application.

3.7.5 Restrictions cancelled without application

We may cancel a restriction without any application being made if it is clear that the restriction has become superfluous (paragraph 5(d) of Schedule 4 to the Land Registration Act 2002). We might cancel a restriction automatically where:

the restriction is limited in time and the relevant period has expired
the restriction was entered in connection with the registration of a charge which has now been discharged
the restriction was entered to protect an interest that has since been overreached by the payment of capital money arising on a registrable disposition to the proprietors who have given a valid receipt (for example Form A). A sole or surviving proprietor, registered with such a restriction, will need to appoint one or more new trustees to join in the disposition in these circumstances, otherwise overreaching will not have occurred. See section 7.2 of practice guide 24: private trusts of land
the restriction was entered in relation to a limitation on the powers of a previous proprietor
we register a transfer under a power of sale by the proprietor of a registered charge whose powers were not affected by the restriction
a Form LL restriction was entered at the request of a registered proprietor, an application is subsequently received to register a transfer of the whole of the registered title to different proprietors, and the necessary evidence of compliance with the restriction has been lodged

3.8 Applications to alter a restriction

Sometimes it is necessary to alter the wording of a restriction to allow it to continue to work as intended when circumstances have changed.

Common examples include when the address of the person with the benefit of the restriction has changed or where the title number referred to in a restriction has changed.

Application for alteration of a restriction may also be appropriate in other circumstances including:

where the parties made an error in the deed or application form containing the application for the entry of a restriction (in such circumstances, unless there is a deed or order varying the original deed, application must also be made for the registrar to alter the document under rule 130 of the Land Registration Rules 2003). See section 5 of practice guide 68: amending deeds that effect dispositions of registered land where application is made under rule 130 of the Land Registration Rules 2003 for the registrar to correct a mistake made in the restriction applied for. You will generally need to show why it is not possible or proportionate to address this by other means – for example, by application for cancellation or withdrawal of the restriction and application for a new restriction to be entered. You will also need to produce evidence to show that there was a mistake in the document containing the application for entry of the restriction
where it is alleged that the registrar has made a mistake in the form of restriction entered
where the restriction requires the consent or certificate of a specified person as office holder (for example, a liquidator) and that person has changed
where there has been a change in the person responsible for the interest protected by the restriction (for example, where the consent of specified charity trustees is required under the terms of the restriction and where the charity trustees have changed)
where the right or interest protected by the restriction has been transferred or assigned and where the original applicant for the entry of the restriction had a sufficient interest in the making of the entry – that is, where the restriction was not entered only because the registered proprietor (or person entitled to be registered as proprietor) applied for or consented to the entry of the restriction

An application to alter a restriction should be made in the electronic Document Registration Service as it is not currently possible in the Digital Registration Service. The application should be accompanied by evidence to justify the alteration requested.

See section 5 of practice guide 68: amending deeds that effect dispositions of registered land where application is made for the registrar to correct under rule 130 of the Land Registration Rules 2003 a mistake made in the restriction applied for.

3.9 Applications to disapply or modify a restriction

Restrictions that require the consent or certificate of a specified landlord or managing agent often create serious problems for a range of parties when the landlord or agent changes – for the buyer of a leasehold title subject to the restriction, for the registered proprietor who wants to sell that property and for any former landlord or agent named in the restriction. Please see section 4 of practice guide 19A: restrictions and leasehold properties for further guidance.

3.9.1 Disapplying a restriction

Anyone who has a sufficient interest in a restriction may apply for an order that it is disapplied to enable a disposition or dispositions of a specified kind to be registered.

For example, a registered estate might be subject to a restriction prohibiting the registration of any transfer without the consent of or a certificate by a specified person. Application to disapply a restriction may be appropriate where that specified person cannot be traced.

In considering an application to disapply the registrar will require evidence that the applicant has used their best endeavours to comply with the terms of the restriction. . For example, if the restriction requires a certificate from somebody that clause X of a document has been complied with, we will need to see:

a certified copy of the document referred to in the restriction (if we do not already hold one)
evidence of compliance with the relevant clause. Therefore, if, say, the clause required a purchaser to enter into a deed of covenant, we would need a certified copy of the relevant deed, and
evidence of the steps undertaken to obtain the relevant certificate. Usually, this would comprise copies of any correspondence between the applicant and the beneficiary of the restriction

If the restriction is disapplied, the transfer can be registered but the restriction would remain in the register.

3.9.2 Modifying a restriction

The circumstances in which an order to modify a restriction will be made are extremely limited.

The registrar may only modify a restriction under section 41(2)(b) of the Land Registration Act 2002 in respect of a specified disposition or a disposition of a specified kind, not in respect of all future dispositions of all kinds.

It will almost always be more appropriate to apply to disapply a restriction where an order is sought in respect of a specified disposition.

The registrar cannot accept an application to modify a restriction so as to extend the kinds of disposition caught by the restriction. To achieve this, the restrictioner must first apply in form RX4 to withdraw it and then in form RX1 for a new restriction.

Application may be made by a person who has a sufficient interest in a restriction for an order that its terms be modified so that it no longer ‘catches’ a charge or other specified kind of disposition.

However, the registrar’s power to make an order is discretionary and, in general terms, will only be used when an applicant can explain on what basis it is considered that the parties to the relevant deed never intended the restriction to catch a disposition of the kind in question, (as by making the order the registrar will be changing the effect of a restriction that the parties agreed to). It will also be necessary for an applicant to show that it is not practicable for the restriction to be cancelled or withdrawn and a new restriction entered, or for the register to be altered under Schedule 4 to the Land Registration Act 2002.

Where a restriction is cancelled or withdrawn and replaced by a new restriction, remember that a restriction that is worded to catch dispositions by the proprietor of any registered charge will not apply to a charge that was registered before that entry of that restriction. Where the existing restriction to be cancelled or withdrawn applies to dispositions by the proprietor of any registered charge and a charge has been registered since the entry of the restriction, you should consider whether you also need to apply for an additional restriction against the charge concerned. For instance, if a Form L restriction is being withdrawn and re-entered, entry of a Form S restriction may also be required.

3.9.3 The application

To apply, include the appropriate ‘modify a restriction’ or ‘disapplication of restriction’ transaction as part of your application and upload form RX2. The application must be accompanied by the fixed fee prescribed under the current Land Registration Fee Order, see HM Land Registry: Registration Services fees.

The applicant must:

state whether the application is to disapply or to modify the restriction
explain their interest and why it is sufficient to make the application
state why the applicant considers that the registrar should make the order
give details of the disposition or kind of dispositions that will be affected by the order. If the application is to modify the restriction, give details of the modification requested

The application may be made before, or at the same time as, an application to register the disposition that is caught by the restriction.

When considering whether to make the order, the registrar will additionally consider any available evidence to clarify what purpose the restriction still serves. The registrar may ask for further evidence from the applicant and may serve appropriate notices.

Question 4

4. Applying for a notice or restriction without reasonable cause

Accepted Answer

Neither a notice nor a restriction guarantees the validity of the interest that it seeks to protect. The Land Registration Act 2002 does not provide any right to an indemnity from the registrar against loss suffered because of an entry that has been made.

However, the relevant proprietor may nevertheless suffer loss. Others may also be prejudiced, for example the proprietor of a registered charge where the entry has been made against the charged estate.

Section 77 of the Land Registration Act 2002 establishes a right of action for breach of statutory duty against anyone who applies for a notice or restriction without reasonable cause. The right is in favour of any person who suffers damage as a consequence and it also applies to objectors. However, it should be noted that breaches thereof must be pursued by the claimant through the courts rather than through H M Land Registry.

Question 5

5. Transitional provisions

Accepted Answer

5.1 The entries for protecting third-party interests under the Land Registration Act 1925

Under the Land Registration Act 1925 there were 4 mechanisms in which third-party interests could be protected in the register. These were:

notices
restrictions
inhibitions
cautions against dealings

These entries continue to have effect under the provisions of the Land Registration Act 2002 with certain amendments.

5.2 Notices entered under the Land Registration Act 1925

Notices in respect of the burden of interests affecting a registered estate or charge are treated for the purposes of the Land Registration Act 2002 as if they had been entered as agreed notices (paragraph 2(1) of Schedule 12 to the Land Registration Act 2002).

5.3 Restrictions entered under the Land Registration Act 1925

The provisions of the Land Registration Act 2002 generally apply to restrictions entered under the Land Registration Act 1925 in the same way as they apply to restrictions entered subsequently (paragraph 2(2) of Schedule 12 to the Land Registration Act 2002).

However, the registrar will interpret a restriction entered under the Land Registration Act 1925 to preserve its effect. Paragraph 1 of Schedule 12 to the Land Registration Act 2002 provides that the repeal of the Land Registration Act 1925 will not affect the validity of any entry made in the register. For example, the registrar will not interpret a restriction entered under the Land Registration Act 1925 that states: “no disposition shall be registered or noted ———” as preventing the entry of a unilateral notice. This is because the restriction would not have prevented the entry of a caution against dealings under the Land Registration Act 1925 and interests that previously would have been protected by caution will often be protected by unilateral notice under provisions of the Land Registration Act 2002.

Similar interpretation will apply to an application to discharge a registered charge. This is not a ‘disposition’ and is not caught by a ‘no disposition’ restriction.

5.4 Inhibitions

The provisions of the Land Registration Act 2002 that relate to restrictions also apply to inhibitions in the register. Inhibitions are entries that prohibit dispositions from being entered in the register and therefore are treated as restrictions for the purposes of the Land Registration Act 2002 (paragraph 2(2) of Schedule 12 to the Land Registration Act 2002).

5.5 Cautions against dealings

5.5.1 The nature of a caution against dealings

A caution against dealings is an entry in the register in respect of a claim to an interest in a registered estate or charge. Although no new cautions against dealings can be created after 13 October 2003, existing cautions will continue to have effect.

The general effect of the Land Registration Act 2002 is to preserve the nature and effect of existing cautions against dealings. This is achieved by providing that sections 55 and 56 of the Land Registration Act 1925 continue to have effect in relation to existing cautions (paragraph 2(3) of Schedule 12 to the Land Registration Act 2002). Rules 218 to 223 of the Land Registration Rules 2003 make similar provisions for how cautions procedures will have effect to those in the Land Registration Rules 1925.

A caution does not confer any priority on the interest that it protects. However, the person claiming the interest, ‘the cautioner’, is identified in the entry and is entitled to be notified before any entry is made in the register that might prejudice their interest, thus giving them opportunity to object to the entry.

Cautions offer an unstable form of protection because they are liable to be cancelled whenever a dealing by the proprietor or a registrable disposition is entered in the register. As with unilateral notices, cautions are also vulnerable to the relevant proprietor applying to cancel the caution and requiring the cautioner to prove their claim.

5.5.2 Notice served on the cautioner

The registrar will serve a notice on the cautioner:

before approving any application to process a registrable disposition which is not accompanied by the cautioner’s consent
before approving any application to make any entry in the register in respect of a dealing by the relevant proprietor which is not accompanied by the cautioner’s consent
where the relevant proprietor (or someone who is entitled to be registered as such) applies for cancellation of the caution

An application by the relevant proprietor to cancel the caution must be made by including the ‘cancellation of a caution’ transaction in your application and uploading form CCD. No fee is payable.

The notification will give the cautioner a set period (initially 15 working days) within which to respond. The caution will then be cancelled unless the registrar makes an order to the contrary.

5.5.3 Options open to the cautioner

If the cautioner wishes the registrar to make an order permitting the caution to remain in the register they may:

object to the application by lodging a statement showing a fairly arguable case for the registrar not to give effect to the application that generated the notice. The grounds of their objection might be that the application is defective in some way or that, even though the application appears to be in order, it would have the effect of postponing the priority of their interest
consent to the application proceeding but request that their caution be entitled to remain in the register

The second option would only be available if the effect of the application would not wholly defeat the cautioner’s interest. Where, for example, the application is to register a transfer for value that would postpone the cautioner’s priority, or is for cancellation of the caution itself, the caution will not be allowed to remain.

A dispute about whether the application should proceed would be referred to the tribunal if it could not be resolved by agreement (see practice guide 37: objections and disputes: HM Land Registry practice and procedures for more information).

5.5.4 Withdrawal of a caution

The cautioner or their personal representative may apply at any time to cancel a caution against dealings.

To apply, include the ‘withdrawal of a caution’ transaction in your application and upload form WCT. No fee is payable.

A cautioner is not permitted to apply for a notice or a restriction in respect of the claim they have protected by caution unless they also apply to withdraw the caution (paragraph 17 of Schedule 12 to the Land Registration Act 2002).

Question 6

6. Appendix A: some possible means of protection for common third-party interests

Accepted Answer

6.1 Charging orders

An interim or final charging order that charges the legal estate may be protected by the entry of a notice in the register. A charging order that charges a beneficial interest under a trust of land cannot be protected by way of notice but can be protected by the entry of a Form K restriction. Practice guide 76: charging orders contains detailed guidance on the points to take into account when considering whether a charging order imposes a charge on the legal estate or on a beneficial interest.

An application to the court (including one to the County Court Money Claims Centre) for a charging order on the legal estate is a pending land action and so is capable of protection by entry of a notice - see Pending land actions. An application to the court for a charging order in respect only of a beneficial interest under a trust cannot be protected by notice or restriction, as the application to the court relates to a beneficial interest under a trust and not to the legal estate.

A charging order may often have two different dates, but please remember that the correct date to use in an application is the one contained in the preamble to the order (for example “On [date], District Judge [name] considered the application…..”).

6.2 Bankruptcy

Where a petition in bankruptcy is filed in the court against a sole registered proprietor, a bankruptcy notice is entered in the register. Once the bankruptcy order has been made against a sole registered proprietor, a bankruptcy restriction is entered in the register.

Where one or more of joint registered proprietors is subject to a petition in bankruptcy or bankruptcy order, neither a bankruptcy notice nor a bankruptcy restriction will be entered. However, the trustee in bankruptcy may apply in form RX1 for a Form J restriction once the bankruptcy order has been made. The application should be accompanied by a certified copy of the bankruptcy order and evidence of the trustee in bankruptcy’s appointment.

The trustee in bankruptcy may apply at the same time and in the same form RX1 for a restriction in Form A, provided a Form A restriction has not already been entered in the register.

For further information please refer to our practice guide 34: personal insolvency.

6.3 Contract for sale

A contract for sale may be protected by agreed notice or unilateral notice. If you are applying for an agreed notice, see Applying for an agreed notice. Your application should be accompanied by a certified copy of the contract, and the consent of the registered proprietor, if available. If you are applying for a unilateral notice, see Applying for a unilateral notice. Form UN1 must be completed with either a statement in panel 11 or conveyancer’s certificate in panel 12 setting out details of the contract, including the date of the contract and the parties.

In the case of a sub-sale, you must also lodge certified copies of both contracts if an agreed notice is sought. If a unilateral notice is applied for you must provide details of both contracts, as above, and establish the link between the registered proprietor and the applicant.

If the contract expressly limits the registered proprietor’s powers to make any disposition of the property you may also be able to apply in form RX1 for a restriction to prevent a breach of this provision, see Applying for a restriction. The application would normally be for a restriction in Form L referring to the relevant provision of the contract. In the absence of the registered proprietor’s consent, you must lodge a certified copy of the contract and complete the statement in panel 12 of form RX1 or conveyancer’s certificate in panel 13. Give details of the contract and identify the provision in the contract limiting the registered proprietor’s ability to make any disposition.

6.4 Beneficiaries under a trust of land

An interest under a trust of land can only be protected by a restriction. A beneficiary under a trust of land should generally apply for a restriction in Form A, if a restriction in Form A has not already been entered in the register. A Form A restriction ensures that any capital money must be paid to 2 trustees or a trust corporation. The application must be accompanied by a certified copy of the trust deed evidencing the applicant beneficiary’s interest under the trust of land. The statement in panel 12 of form RX1 or conveyancer’s certificate in panel 13 must be completed, setting out how the beneficiary’s interest under the trust of land has arisen.

A consent restriction in Form N will not normally be appropriate as this would give the beneficiary a right they are not entitled to and could result, in practice, in thwarting the clear intention of sections 42(1)(b) and 44(1) of the Land Registration Act 2002 and sections 2 and 27 of the Law of Property Act 1925 that overreaching should take place. However, such an application for a Form N restriction in addition to a Form A restriction might be made, for example, by a beneficiary whose specific consent is required in the trust deed to any disposition by the trustees. Such a restriction may also, of course, be entered if the registered proprietors apply for or consent to such a restriction.

The position is similar where the beneficiary’s interest under a trust of land arises under an implied, resulting or constructive trust rather than by deed. The interest may only be protected by restriction, not notice, and again the form RX1 application should generally be for a restriction in Form A. The statement in panel 12 of form RX1 or conveyancer’s certificate in panel 13 must set out how the beneficiary’s interest under the implied, resulting or constructive trust of land has arisen.

For the avoidance of doubt, please note that an application that relies solely on the fact of marriage or civil partnership and/or divorce or dissolution proceedings cannot proceed unless it is also supported by a statement, or evidence, that confirms the applicant is also a beneficiary under a trust of land and explains how their interest has arisen.

A beneficiary under a trust of land may, however, wish to apply for an additional form of restriction and will be able to do so in certain circumstances. For example, a beneficiary under a constructive trust claiming that the registered proprietors hold on a trust of land for the beneficiary and for themselves may apply for a restriction in Form II.

The application for restriction must be applied for as per Applying for a restriction. Form RX1 must contain a statement in panel 12 or conveyancer’s certificate in panel 13 must set out how the beneficiary’s interest under the trust of land has arisen. Note that payment of capital money to 2 trustees or a trust corporation will still overreach the beneficiary’s interest under the trust of land and a restriction in this form will not prevent overreaching.

Special provision is made under the Land Registration Rules 2003 where the beneficiary’s interest under a trust of land arises from a charging order on a beneficial interest, a trustee in bankruptcy has a beneficial interest in a registered estate held under a trust of land. See Interests under trusts, Charging orders and Bankruptcy.

6.5 Home rights

Home rights may only be protected by agreed notice (rule 80(a) of the Land Registration Rules 2003). To apply you should include the ‘notice of home rights’ transaction in your application and upload form HR1. Where the application is made after the court has made an order under section 33(5) of the Family Law Act 1996, you must enclose an office copy of the order or a conveyancer’s certificate confirming they hold such an order.

Where the court has made an order under section 33(5) of the Family Law Act 1996, an application for renewal of registration in respect of matrimonial home rights must be made. To apply, include the ‘renewal of home rights’ transaction in your application and upload form HR2. You must upload an office copy of the order or a conveyancer’s certificate confirming they hold such an order.

6.6 Option agreements and rights of pre-emption

An option to purchase or a right of pre-emption may be protected by agreed notice or unilateral notice, as may an option to renew a lease. If you are applying for an agreed notice, see Applying for an agreed notice. Your application should be accompanied by a certified copy of the deed creating the option or right of pre-emption. You should also enclose the consent of the registered proprietor, where available. If you are applying for a unilateral notice, see Applying for a unilateral notice. Form UN1 must be completed with either a statement in panel 11 or a conveyancer’s certificate in panel 12 setting out the details of the agreement, including the date of the agreement and the parties.

If the agreement limits the registered proprietor’s powers to make a disposition you may also be able to apply in form RX1 for the entry of a restriction to prevent a breach of this provision. Application should be made as per Applying for a restriction. The application would normally be for a restriction in Form L, or Form M if appropriate, referring to the relevant provision of the agreement. In the absence of the registered proprietor’s consent to the entry of the restriction, you must lodge a certified copy of the deed creating the option or right of pre-emption, and complete the statement in panel 12 or conveyancer’s certificate in panel 13. Give details of the agreement, including the date of the contract and the parties, and identify the provision in the contract limiting the registered proprietor’s ability to make any disposition.

If application is made by or with the consent of the registered proprietor there is no requirement to provide a copy of the agreement. If however a copy is lodged with the application it will be retained and will normally available as a publicly accessible document (section 66 of the Land Registration Act 2002 and rule 135 of the Land Registration Rules 2003). This may assist with future compliance with the terms of the restriction.

6.7 Equitable charges

An equitable charge against the legal estate may be protected by agreed notice or unilateral notice. If you are applying for an agreed notice, see Applying for an agreed notice. Your application should be accompanied by a certified copy of the equitable charge. If you are applying for a unilateral notice, see Applying for a unilateral notice. Form UN1 must be completed with a statement in panel 11 or a conveyancer’s certificate in panel 12 setting out the details of the charge, including the date of the charge and the parties.

An equitable charge over a beneficial interest cannot be protected by notice. A person having the benefit of such an equitable charge should apply for a restriction in Form A, provided a restriction in Form A has not already been entered in the register. The application should be made as per Applying for a restriction and accompanied by a certified copy of the equitable charge over the beneficial interest. A Form A restriction ensures that any capital money must be paid to 2 trustees.

If a restriction in Form A is already entered in the register, then no further restriction is required and no further restriction may be entered.

Special provision is made in respect of charging orders on a beneficial interest. See Charging orders.

Please remember that an unsecured debt is not an interest in land and is therefore not a third-party interest capable of protection by notice or restriction.

6.8 Protection of charges in the register when a restriction prevents registration

A prior restriction may require the consent of a specified person, for example a registered chargee, before any disposition by a registered proprietor may be registered. If the necessary consent cannot be obtained and the restriction complied with, a person who has taken a further charge will be unable to register that charge substantively. The charge may, however, be protected by agreed or unilateral notice. If you are applying for an agreed notice, see Applying for an agreed notice. Your application should include a certified copy of the charge. If you are applying for a unilateral notice, see Applying for a unilateral notice. Form UN1 must be completed with a statement in panel 11 or a conveyancer’s certificate in panel 12 setting out details of the charge, including the date of the charge and the parties.

Note that many charges contain an application for a restriction that follows the lines of the standard Form P restriction and call for the consent of the proprietor of the charge. This type of restriction cannot be entered when the charge is not substantively registered. This is because there will be no proprietor of a registered charge (a beneficiary of a unilateral notice is not a proprietor for this purpose). So, if a charge is not substantively registered and an application is made to note the charge instead, a separate application must be made for an appropriate form of restriction; this will generally be for a restriction in standard Form N. This must be applied for as per Applying for a restriction. The consent of the borrowers to the form of restriction applied for should accompany the application.

6.9 Freezing orders

Any person who has applied for a freezing order may apply for the entry of a restriction in Form CC or DD, depending on whether the restriction is to prevent dispositions of the registered estate or a registered charge. This must be applied for as per Applying for a restriction. The application must be accompanied by a certified copy of the application to the court for the freezing order.

Once granted, the freezing order may be protected by restriction. Apply in form RX1 for a restriction in Form AA or BB, depending on whether the restriction is to prevent dispositions of the registered estate or a registered charge. The application must be accompanied by a certified copy of the freezing order.

6.10 Individual voluntary arrangements (IVA)

If the debtor is the sole proprietor of the registered estate which they hold for their own benefit, application may be made for an agreed notice or unilateral notice if the IVA contains an equitable charge, a contract for sale, option or right of pre-emption in favour of the supervisor affecting the registered estate. If you are applying for an agreed notice, see Applying for an agreed notice. Your application must be accompanied by a certified copy of the IVA. The consent of the registered proprietor, where available, should also be provided. If you are applying for a unilateral notice, see Applying for a unilateral notice. Form UN1 should include a statement in panel 11 or a conveyancer’s certificate in panel 12 setting out the details of the IVA, including the date of the agreement, the debtor’s name and details of the provisions in the IVA relating to the registered estate claimed to give the supervisor an interest in the registered estate or charge.

If the debtor has a beneficial interest under a trust of land of a registered estate and the IVA creates an equitable charge, a contract for sale, option or right of pre-emption in favour of the supervisor or if the effect of the IVA is to create a trust either expressly or the property is stated to be held for the benefit of the creditors the interest cannot be protected in the register by entry of an agreed or unilateral notice affecting that interest. The method of protecting an interest under a trust of land is by way of restriction.

Any application for a restriction must be applied for as per Applying for a restriction. Other than an application made by or with the consent of all the registered proprietors, your application must be accompanied by a certified copy of the IVA to show that the registered estate is subject to the trust and that the supervisor has a sufficient interest in the entry of the restriction sought.

If the debtor is a sole registered proprietor who was holding the property on trust for their own benefit before the IVA and is holding the property on trust for the creditors under the voluntary arrangement, an application may be made for a restriction in Form A or Form II.

If the IVA contains a provision that the debtor will not transfer, charge or otherwise deal with the property without the consent of the supervisor then, in addition to a Form A restriction, if applied for, application may also be made for a restriction in Form N, Form NN or Form L. In other circumstances where a restriction is required the consent of the registered proprietor to the entry of a restriction should be provided in form RX1 or a conveyancer’s certificate given that such consent is held.

Where the property is held by joint registered proprietors (one of whom may be the debtor) on trust for the debtor and others before the IVA, an application may be made for the entry of a restriction in Form A, provided a Form A restriction has not already been entered in the register if the IVA contains a charge or assignment of the debtor’s beneficial interest, or creates a trust in favour of the supervisor.

The supervisor may also apply for a restriction in Form II if the IVA contains an assignment of a debtor’s beneficial interest because the trust interest will be owned by the supervisor and not by the debtor.

If the beneficial interest is held on trust by the debtor for the creditors or charged to the supervisor, no form of restriction other than in Form A (provided it is not already entered) can be applied for. This is because the interest of the supervisor or creditors will be derivative.

6.11 Proprietary estoppel interests

A claimed equity by estoppel may be protected by notice from the time when the equity is claimed to have arisen. An application for a unilateral notice must be made as per Applying for a unilateral notice unless the facts claimed to give rise to the interest are unequivocal, when application may be made for an agreed notice, see Applying for an agreed notice. If applying for a unilateral notice, form UN1 must set out in a statement in panel 11 or a conveyancer’s certificate in panel 12 the facts claimed to have given rise to the proprietary estoppel, including the name of the proprietor of the registered estate against whom the equity is claimed to have arisen.

6.12 Restrictive covenants in leases

Notice cannot be entered in the register in respect of a covenant that relates to the demised premises - unless it is a restrictive covenant by the tenant in favour of someone other than the landlord, in which case notice can be applied for in the same way as a restrictive covenant that does not affect the demised premises (see below).

On registration of a person as proprietor of a leasehold estate, that estate is vested in them with all interests subsisting for the benefit of the estate but subject to all liabilities and obligations, including covenants, incident to that estate. However, where a restrictive covenant in a lease does not relate to the demised premises it may be protected by the entry of an agreed notice or unilateral notice in respect of the affected estate. If you are applying for an agreed notice, see Applying for an agreed notice. Your application must be accompanied by a certified copy of the lease containing the restrictive covenant. The consent of the registered proprietor, if available, should be provided. If you are applying for a unilateral notice, see Applying for a unilateral notice. Form UN1 must be competed with a statement in panel 11 or a conveyancer’s certificate in panel 12 setting out the details of the restrictive covenant and the lease in which it is contained, including the date of the lease and the parties. Confirmation should be given that the restrictive covenant does not relate to the demised premises.

6.13 Pending land actions

A pending land action is an action or proceeding in court relating to land or any interest in or charge on land. An action that relates to an undivided share under a trust of land is not a pending land action.

A pending land action may be protected by agreed notice or unilateral notice. If you are applying for an agreed notice, see Applying for an agreed notice. Your application must include a certified copy of the sealed claim form and notice of issue. If you are applying for a unilateral notice, see Applying for a unilateral notice. Form UN1 must be completed with a statement in panel 11 or a conveyancer’s certificate in panel 12 setting out the details of the pending land action, including particulars of the court, confirmation that the action is a pending land action, the full court reference and the parties.

A pending land action may sometimes be protected by restriction, in which case you must apply in form RX1. The form of the restriction will depend on the nature of the claim made in the pending land action. The application should be accompanied by a certified copy of the claim form and notice of issue. The statement in panel 12 of form RX1 or conveyancer’s certificate in panel 13 must be completed, setting out details of the pending land action as for a unilateral notice. Generally, however, application to protect a pending land action should be by way of notice (see Property adjustment orders for further guidance, if your application relates to a property adjustment order).

6.14 Writs or orders affecting land

Any writ or order affecting land, or made to enforce a judgement, may be protected by agreed notice or unilateral notice. A writ or order that relates to an undivided share under a trust of land is not an interest affecting land for this purpose. If you are applying for an agreed notice, see Applying for an agreed notice. Your application must include a certified copy of the writ or order. If you are applying for a unilateral notice, see Applying for a unilateral notice. Form UN1 must be completed with either a statement in panel 11 or conveyancer’s certificate in panel 12 setting out details of the writ or order, including particulars of the court, the date of the order, the full court reference and the parties.

Such a writ or order may also be protected by restriction, in which case you must apply as per Applying for a restriction. The form of the restriction will depend on the nature of the writ or order. Rule 93 of the Land Registration Rules 2003 details the form of restriction to which people holding the benefit of certain orders will be entitled.

Where the order has the effect of creating a trust of land, the interest cannot be protected by the entry of a notice. Generally, you may apply in form RX1 for a Form A restriction if one has not already been entered in the register. A Form A restriction ensures that any capital money must be paid to 2 trustees or a trust corporation. The statement in panel 12 of form RX1 or conveyancer’s certificate in panel 13 must be completed, setting out details of the order.

A beneficiary under a trust of land created by such a writ or order may, however, wish to apply for an additional form of restriction and will be able to do so in certain circumstances. For example, if the effect of the order is that the registered proprietors hold on trust of land for the beneficiary and for themselves, the beneficiary may apply for a restriction in Form II.

An application for such a restriction must be made as per Applying for a restriction and accompanied by a certified copy of the writ or order. The statement in panel 12 or conveyancer’s certificate in panel 13 must be completed, setting out how the beneficiary’s interest under the trust of land has arisen through the writ or order made.

Note that payment of capital money to 2 trustees or a trust corporation will still overreach the beneficiary’s interest under the trust of land and a restriction in Form II will not prevent overreaching.

6.15 Partnerships

Entry of a restriction in Form A is obligatory on the registration of the estate in the names of the partners, as the beneficial interests will be held under a tenancy in common.

The partners may additionally wish to apply as per Applying for a restriction for the entry of a restriction in Form Q. The consent of the registered proprietors to the entry of the restriction should be provided in form RX1 or a conveyancer’s certificate given that such consent is held. The Form Q restriction requires that the personal representatives of the named registered proprietor must, in the event of the proprietor’s death, consent to the registration of a disposition by the survivor(s). It is acceptable to name multiple proprietors in the restriction, but you may not word the restriction in such a way that it would result in a disposition being caught only after the death of all registered proprietors – the names must be separated by ‘or’ rather than ‘and’.

6.16 Overage

An overage agreement (or agreement to pay further consideration) may be secured by a legal or equitable charge.

If it is a term of the agreement that the registered proprietor’s powers to make the disposition will be limited you may also or alternatively apply as per Applying for a restriction for the entry of a restriction to prevent a breach of this term. Unless the registered proprietor has consented to the entry of the restriction, the application must be accompanied by a certified copy of the overage agreement. The statement in panel 12 or form RX1 or conveyancer’s certificate in panel 13 must be completed. Give details of the agreement and identify the provision in the agreement limiting the registered proprietor’s ability to make any disposition. Some overage agreements impose an express obligation on a party to apply for a standard form restriction, the terms of which are set out in the agreement.

6.17 Vendor’s lien

A vendor’s lien is an interest arising when a binding contract for the sale of land is made. As the interest affects the estate before the transfer is made, it must be protected before the transfer is registered if the purchaser is not to take free. A vendor’s lien may be protected by agreed notice or unilateral notice. If you are applying for an agreed notice, see Applying for an agreed notice. Your application must include a certified copy of the contract. If you are applying for a unilateral notice, see Applying for a unilateral notice. Form UN1 should be completed with a statement in panel 11 or a conveyancer’s certificate in panel 12 setting out details of the contract, including the date of the contract and the parties and confirming that the vendor has the benefit of a lien arising from that contract.

A vendor’s lien cannot normally be noted after the disposition to the purchaser has been registered, unless the vendor claims that the lien has overriding status (for example, because the vendor was in actual occupation, within Schedule 3, paragraph 2 of the Land Registration Act 2002) and so its priority is protected by section 29(2)(a)(ii). Such a claim should be specifically stated in the application (which should be made in form UN1).

6.18 Property adjustment orders

An application for a property adjustment order affecting the legal estate is a pending land action and may be protected by agreed notice or unilateral notice. If you are applying for an agreed notice, see Applying for an agreed notice. Your application should be accompanied by a copy of the petition or answer claiming relief. If you are applying for a unilateral notice, see Applying for a unilateral notice. Form UN1 must be completed with a statement in panel 11 or a conveyancer’s certificate in panel 12 setting out the details of the application for the property adjustment order (including particulars of the court, the full court reference, the fact that the applicant is applying for a property adjustment order under the Matrimonial Causes Act 1973 or the Civil Partnership Act 2004 and the parties).

An application for a property adjustment order which does not affect the legal estate is not a pending land action and cannot be protected by notice. An example would be an application for an order merely in respect of a beneficial interest held by the other spouse or civil partner under a trust of land – in other words, where there is no dispute as to the existence of the trust, merely as to who benefits from it. By contrast, an application where the existence of the trust is in dispute (for example, an application for a declaration that a sole proprietor holds on an implied trust), or an application for the appointment of a trustee, is arguably a pending land action and so may be protected by notice. See Godfrey v Torpey and others [2006] EWHC 1423 (Ch) (a claim for a declaration that a property registered in the sole name of company A was held by it as nominee for B was a pending land action).

Once the court has made a final order, there will no longer be a pending action. A property adjustment order affecting the legal estate may be protected by agreed notice or unilateral notice, though in most cases it will be more appropriate to complete and register a disposition giving effect to its terms. If you are applying for an agreed notice, see Applying for an agreed notice. Your application should be accompanied by a certified copy of the order. If you are applying for a unilateral notice, see Applying for a unilateral notice. Form UN1 must be completed to include a statutory declaration in panel 11 or conveyancer’s certificate in panel 12 setting out details of the order, including particulars of the court, the date of the order, the nature of the order made, the full court reference and the parties.

A property adjustment order that has the effect merely either of creating a trust of land, or of declaring the beneficial interests under a trust, cannot be noted. Such an order may be protected by restriction, where appropriate, see Applying for a restriction. The form of the restriction will depend upon the nature of the order.

Where the order has the effect of creating a trust, or of severing an existing beneficial joint tenancy, application should generally be made for a restriction in Form A, if a restriction in Form A has not already been entered in the register. The application must be in form RX1. A Form A restriction ensures that any capital money must be paid to 2 trustees or a trust corporation. The application must be accompanied by a certified copy of the order. The statement in panel 12 or conveyancer’s certificate in panel 13 must also be completed, setting out details of the order.

6.19 Severance

Where a registered estate in land is transferred to 2 or more people, then, unless the transferees declare on application for registration that they are holding the property on trust for themselves as beneficial joint tenants, the registrar will enter a restriction in Form A.

Where a beneficial joint tenancy is severed, a proprietor of a registered estate must apply for a restriction in Form A. To apply, you should include the ‘severance of joint tenancy’ transaction in your application and upload form SEV or form RX1. Unless all the registered proprietors have signed the SEV or RX1, or all the registered proprietors are listed on the form as the applicants, or the consent of all the registered proprietors is given in form RX1, evidence of severance will be required. If evidence of severance is required, the application should be accompanied by either a certified copy of a deed of declaration stating the intention to sever the joint tenancy and hold as tenants in common or the notice of severance served under section 36(2) of the Law of Property Act 1925, bearing a signed acknowledgement of receipt by the addressee. If the addressee’s acknowledgement of receipt cannot be produced, the statement in panel 12 or conveyancer’s certificate in panel 13 of form RX1, or the appropriate statement in panel 7 of form SEV, should be completed to confirm that notice was given in accordance with section 36(2) of the Law of Property Act 1925 to the other joint tenant(s). Alternatively, a conveyancer may certify that they hold evidence of entitlement to apply for the restriction.

Form SEV can only be used where there has been a severance of a beneficial joint tenancy either by agreement between the proprietors or by the service of notice by one of the proprietors on the others. If a Form A restriction is required in other circumstances (including where severance has occurred in a different way such as on the bankruptcy of a joint proprietor) you must apply using form RX1.

6.20 Agreement for lease

An agreement for lease may be protected by agreed notice or unilateral notice. If you are applying for an agreed notice, see Applying for an agreed notice. Your application should be accompanied by a certified copy of the agreement , together with the consent of the registered proprietor where available. If you are applying for a unilateral notice, see Applying for a unilateral notice. Form UN1 should be completed with a statutory declaration or conveyancer’s certificate setting out in a statement in panel 11 or a conveyancer’s certificate in panel 12 details of the agreement, including the date of the contract and the parties.

If the agreement for lease limits the registered proprietor’s powers to make a disposition, you may also be able to apply for a restriction to prevent a breach of this provision, see Applying for a restriction. The application would normally be for a restriction in Form L referring to the relevant provision of the agreement. Unless the registered proprietor has consented to the entry of the restriction, the application must be accompanied by a certified copy of the agreement. The statement in panel 12 or form RX1 or conveyancer’s certificate in panel 13 must be completed, setting out details of the contract and of the provision in the contract limiting the registered proprietor’s ability to make any disposition.

6.21 Prevention of fraud

6.21.1 Private individuals

Where it is believed that there may be an attempted fraudulent disposition against a property owned by private individuals, application may be made for entry of a restriction in Form LL. This provides protection against forgery by requiring a conveyancer to certify that they are satisfied that the person who executed the document submitted for registration as disponor is the same person as the proprietor. See Protect your land and property from fraud for more information.

Please see Restriction in Form LL for our requirements where a certificate is being given for this restriction.

Where application is not made by or with the consent of either a sole registered proprietor or one of two or more registered proprietors, evidence should be lodged as to the applicant’s entitlement to apply under section 43(c) of the Land Registration Act 2002.

Where application to enter the restriction is made by one of two or more registered proprietors, notice of the application will be served on the other proprietor(s). See Notifiable applications.

Form RQ is available to request that the registrar enters a Form LL restriction for properties in private individual ownership. These requests must be made in isolation and should not form part of a larger application (we do not treat requests on a form RQ as notifiable applications).

Application for entry of a Form LL forming part of a larger application should be applied for as per Applying for a restriction.

6.21.2 Companies

Where a property is owned by a company, no standard form of restriction exists. However, a non-standard restriction may be applied for, requiring a conveyancer to certify that the disponor is the same company as the proprietor. The restriction can also require a certificate that reasonable steps have been taken to ensure that anyone who executed a deed on the company’s behalf held their stated office at the time of execution.

An example of an acceptable form of wording for a non-standard company fraud restriction is as follows:

RESTRICTION: No disposition of the registered estate by the proprietor of the registered estate is to be completed by registration without a certificate signed by a conveyancer that the conveyancer is satisfied that (1) the company which executed the document submitted for registration as disponor is the same company as the proprietor, and (2) reasonable steps have been taken to establish that each person who signed as an officer of the company held the stated office at the time of execution.

Form RQ(Co) is available to request the registrar to enter such a restriction for properties in company ownership and sets out the wording of the restriction that may be requested (as above). These requests must be made in isolation and should not form part of a larger application.

Application for entry of a Form LL forming part of a larger application should be applied for as per Applying for a restriction.

6.22 Charges under section 22 of the Health and Social Services and Social Security Adjudications Act 1983 (‘the 1983 Act’)

Because of changes made by the Care Act 2014, local authorities in England cannot take charges under the 1983 Act on and after 1 April 2015 regardless of when the liability arose. Changes made by the Social Services and Well-being (Wales) Act 2014 mean that local authorities in Wales cannot take charges under the 1983 Act on and after 6 April 2016.

A local authority which has provided a person (‘the resident’) with ‘Part III accommodation’ (broadly speaking, accommodation in a care home) may recover charges assessed as due for it by creating a charge under section 22 of the 1983 Act on the interest which the resident holds in any one parcel of land. It does so by making a written declaration to that effect.

Where the resident is the sole beneficial owner of the property charged, the charge will take effect as a charge of the legal estate and, where the estate is registered, may be registered as a registered charge, or noted under section 32 of the Land Registration Act 2002. If you are applying for an agreed notice, see Applying for an agreed notice. Your application should include a certified copy of the declaration of charge. Additionally, you should provide a statement, either in the charge itself or in an accompanying letter, that the authority has made no declaration in relation to any other parcel of land in which the resident has a beneficial interest. If you are applying for a unilateral notice, see Applying for a unilateral notice. You must lodge form UN1 completed with a statement in panel 11 or a conveyancer’s certificate in panel 12 setting out details of the charge, including the date, the name of the person whose interest is charged, the property charged and confirmation that no declaration has been made in respect of other land.

Where the resident is a joint owner, the charge affects only his or her beneficial interest, not the registered legal estate.

A charge on the beneficial interest of an equitable tenant in common is a derivative interest - see Interests under trusts for an explanation of this. For the reasons explained in that section, the only restriction that the local authority can apply for in this case is a restriction in Form A to secure that the interest is overreached. If (as will usually be the case where the proprietors are beneficial tenants in common) there is already a Form A restriction in the register, the local authority’s interest is already protected and no further application seems to be possible.

Where the resident is an equitable joint tenant, sections 22(5) and 22(6) of the 1983 Act make specific provision as to what happens. Normally, a charge on the beneficial interest of one joint tenant would automatically sever the joint tenancy. However, section 22(5) provides that the joint tenancy is not severed, but the charge will be for an amount not exceeding the value of the interest which the resident would enjoy if the tenancy were severed. Section 22(6) explains what happens when the resident dies. The interest of the surviving joint tenant or tenants becomes subject to a charge for an amount not exceeding the amount of the charge on the resident’s former interest.

Where it takes a charge under section 22 of the 1983 Act on the interest of a beneficial joint tenant, therefore, a local authority may apply for a restriction in Form MM. The restriction only affects dispositions made after the resident has died or has become a sole proprietor. Before then, joint proprietors can freely dispose of the property, overreaching the beneficial interests, including the local authority’s charge. The restriction allows for 3 possibilities.

If there is more than one surviving joint proprietor on the death of the resident, they can overreach the local authority’s interest in the usual way
If there is a sole surviving proprietor, the charge would now appear to attach to the legal estate vested in that proprietor, so that it can be noted or registered
It may be possible to show that no charge under section 22 is subsisting

Application for a restriction should be made as per Applying for a restriction. The application must be accompanied by a certified copy of the declaration of charge. The statement in panel 12 or form RX1 or conveyancer’s certificate in panel 13 must be completed, setting out details of the charge. It should be confirmed that no such declaration has been made in respect of the resident’s interest in any other parcel of land.

6.23 Charges under section 68 of the Social Services and Well-being (Wales) Act 2014 (‘the 2014 Act’)

A Welsh local authority may enter into a deferred payment agreement with a person who is required (or is going to be required) to pay a charge under section 59 of the 2014 Act in respect of care and support.

Where the deferred payment agreement contains a legal charge of the legal estate and the estate is registered, it may be possible for, and in some cases section 27 of the Land Registration Act 2002 expects, the charge to be registered as a registered charge. It might otherwise be noted under section 32 of the Land Registration Act 2002. If you are applying for an agreed notice, see Applying for an agreed notice. Your application should be accompanied by a certified copy of the deferred payment agreement containing the charge. If you are applying for a unilateral notice, see Applying for a unilateral notice. Form UN1 must be completed with a statement in panel 11 or a conveyancer’s certificate in panel 12 setting out the details of the deferred payment agreement containing the charge, including the date, the parties to the deferred payment agreement, the property charged and confirmation that the deferred payment agreement contains a charge on that property.

Where the person entering into a deferred payment agreement is a joint owner, and their co-registered proprietors have not entered into the charge, the charge affects only their beneficial interest, not the registered legal estate.

A charge on the beneficial interest of an equitable tenant in common is a derivative interest - see Interests under trusts for an explanation of this. For the reasons explained in that section, the only restriction that the local authority can apply for in this case is a restriction in Form A to secure that the interest is overreached. If (as will usually be the case where the proprietors are beneficial tenants in common) there is already a Form A restriction in the register, the local authority’s interest is already protected and no further application seems to be possible.

Where the resident is an equitable joint tenant, the creation of the charge will sever the beneficial joint tenancy. As explained above, the charge on the beneficial interest of an equitable tenant in common is a derivative interest and it is difficult to see how the local authority will be able to satisfy the registrar that they have sufficient interest under section 42(1) of the Land Registration Act 2002 for any restriction other than a restriction in Form A.

6.24 Charges under section 71 of the Social Services and Well-being (Wales) Act 2014 (‘the 2014 Act’)

Section 71 of the 2014 Act allows a Welsh local authority to create a charge in its own favour over a person’s interest in land in Wales or England if that person fails to pay a sum recoverable by the local authority under Part 5 of the 2014 Act in order to secure the sum due.

Where the resident is the sole legal and beneficial owner of the property charged, the charge will take effect as a charge of the legal estate and it may be possible for, and in some cases section 27 of the Land Registration Act 2002 expects, the charge to be registered as a registered charge. It might otherwise be noted under section 32 of the Land Registration Act 2002. If you are applying for an agreed notice, see Applying for an agreed notice. Your application should be accompanied by the declaration of charge or a certified copy of it. Additionally a statement, either in the charge itself or in an accompanying letter, that the authority has made no declaration in relation to any other parcel of land in which the resident has a beneficial interest should be provided. If you are applying for a unilateral notice, see Applying for a unilateral notice. Form UN1 must be completed with a statement in panel 11 or a conveyancer’s certificate in panel 12 setting out details of the charge, including the date, the name of the person whose interest is charged, the property charged and confirmation that no declaration has been made in respect of other land.

Where the resident is one of joint owners, the charge affects only their beneficial interest, not the registered legal estate.

A charge on the beneficial interest of an equitable tenant in common is a derivative interest - see Interests under trusts for an explanation of this. For the reasons explained in that section, the only restriction that the local authority can apply for in this case is a restriction in Form A to secure that the interest is overreached. If (as will often be the case where the proprietors are beneficial tenants in common) there is already a Form A restriction in the register, no further application seems to be possible.

Where the resident is an equitable joint tenant, sections 71(4), 71(5) and 71(6) of the 2014 Act make specific provision as to what happens. Normally, a charge on the beneficial interest of one joint tenant would automatically sever the joint tenancy. However, section 71(4) provides that the joint tenancy is not severed, but the charge will be for an amount not exceeding the value of the interest which the resident would enjoy if the tenancy were severed. Sections 71(5) and 71(6) explain what happens when the resident dies. The interest of the surviving joint tenant or tenants becomes subject to a charge for an amount not exceeding the amount of the charge on the resident’s former interest.

Where a Welsh local authority takes a charge under section 71 of the 2014 Act on the interest of a beneficial joint tenant, it can apply for a standard Form MM restriction. This follows the changes to the wording of rule 93(x) and Form MM in Schedule 4 of the Land Registration Rules 2003 made by The Care and Support (Charging) (Wales) and Land Registration Rules (Miscellaneous Amendments) Regulations 2020 on 6 April 2020. Previously only a non-standard restriction was possible.

The Form MM restriction will only affect dispositions made after the resident has died or has become a sole proprietor. Before then, joint proprietors can freely dispose of the property, overreaching the beneficial interests, including the local authority’s charge. The restriction allows for 3 possibilities.

If there is more than one surviving joint proprietor on the death of the resident, they can overreach the local authority’s interest in the usual way.
If there is a sole surviving proprietor, the charge would now appear to attach to the legal estate vested in that proprietor, so that it can be noted or registered.
It may be possible to show that no charge under section 71 is subsisting.

Application for a restriction should be made as per Applying for a restriction. The application must be accompanied by a certified copy of the declaration of charge. The statement in panel 12 of form RX1 or conveyancer’s certificate in panel 13 must be completed, setting out details of the charge. It should be confirmed that no such declaration has been made in respect of the resident’s interest in any other parcel of land.

6.25 Landlords and management companies

An agreement with a landlord or management company, whether in a lease, deed of covenant, transfer or otherwise, which expressly limits the registered proprietor’s powers to make a disposition may be reflected by entry of a restriction. However, in view of the possible inconvenience and expense that may be caused to both parties in complying with it, careful consideration should always be given to whether a restriction is really required. Application for the restriction must be applied for as per Applying for a restriction. Where the restriction is in respect of covenants contained in a lease, application may be made in clause LR13 of a prescribed clauses lease.

For further information on restrictions on leasehold titles, see practice guide 19A: restrictions and leasehold properties

6.26 Mental capacity

Where a property is solely owned, the deputy appointed by the court under the Mental Capacity Act 2005 (the 2005 Act) may apply for a restriction preventing the disposition of the land or registered charge except under an order of the court. The restriction applied for should be in standard Form RR and the application should be accompanied by evidence of the deputy’s power to apply for entry of the restriction. Where an order under the 2005 Act gives the deputy a general power this will also entitle them to apply for this restriction. (The restriction will not prevent registration of a subsequent sale by the deputy if the deputy’s appointment authorises this, but will otherwise protect the property).

An attorney cannot apply for a standard Form RR restriction. However, where the donor is a sole proprietor, the attorney may apply for the following non-standard restriction, where the donor/proprietor has lost capacity, but had previously executed a power of attorney:

RESTRICTION: No disposition of the registered estate by the proprietor of the registered estate is to be completed by registration without a certificate signed by a conveyancer that the conveyancer is satisfied that the person(s) who executed the document submitted for registration as attorney(s) for the proprietor of the registered estate is/are the same person(s) as the attorney(s) named in the lasting/enduring power of attorney [date].

The attorney should apply for the restriction in the name of the registered proprietor and the application should be accompanied by evidence of the power of attorney (either an enduring power of attorney, duly registered or a registered lasting power of attorney) and a conveyancer’s certificate that the donor/proprietor has lost capacity and that the power of attorney has not been revoked.

If the person who lacks capacity (P) is a joint proprietor/trustee, they should be discharged or a new trustee appointed. But if they are entitled to a beneficial interest in possession then neither a deputy nor any co-proprietor/trustee can replace P as trustee and the Court of Protection must give leave to make the appointment pursuant to section 36(9) of the Trustee Act 1925. If a new trustee is appointed to replace P, the trustee may apply for a restriction in standard Form SS preventing a disposition during the lifetime of P without the consent of the Court of Protection.

6.27 Missing persons

A person who disappears is presumed to be alive until the contrary is declared. But while they are missing their property may effectively be left ‘ownerless’ with serious implications for them and their dependants. To resolve this problem the Guardianship (Missing Persons) Act 2017 (‘the Act’) provides a statutory framework for a person (a guardian) to be appointed by the High Court to deal with the missing person’s property and financial affairs. The Act is supported by Regulations and a Code of Practice.

Where a guardian is appointed by the High Court an application can be made for the following non-standard restriction where the missing person is a sole registered proprietor:

RESTRICTION: No disposition of the registered estate executed in the name and on behalf of [name of the missing person] is to be completed by registration unless either (a) made by [name of the guardian(s) appointed for the missing person] of [address for the guardian(s)] appointed and authorised by an order of the High Court dated [Date of guardianship order], reference [court reference], pursuant to the Guardianship (Missing Persons) Act 2017, or by a subsequent order, or (b) accompanied by a certificate by a conveyancer confirming that any such appointment (including any variation thereof) has come to an end.

The guardian can represent the missing person in relation to the missing person’s beneficial interest in the trust property (as opposed to acting in respect of the whole of the trust property). However, because a guardian “may not exercise a power vested in the missing person as a trustee in relation to another person’s property” (section 6(6)(b) of the Act), the only applications that are likely to be acceptable are applications for a restriction relating to the protection of trust interests such as a Form A restriction or a Form II restriction, or the non-standard restriction shown above.

A guardian may, alternatively, or in addition to the restriction, apply for an entry to be made in the register confirming their appointment as guardian. Any application should include written confirmation of the application, as well as uploading a certified copy of the court order appointing the guardian.

A guardian cannot apply for a notice to be entered in the register as their appointment does not create a burden which can be protected by way of a notice.

6.28 Wills and intestacy

A residuary beneficiary does not have a beneficial interest in any assets of the deceased’s estate during the course of the administration, but merely a right to have the estate administered properly. A restriction in favour of the residuary beneficiary (for example in Form N or II) cannot therefore be entered against a registered property of the deceased under section 42(1)(c) of the Land Registration Act 2002, since the residuary beneficiary has no right or claim in relation to a registered estate or charge to protect.

However, a residuary beneficiary may be able to apply for a Form C restriction in limited circumstances where the powers of a personal representative are limited by section 8 of the Trusts of Land and Appointment of Trustees Act 1996.

Question 7

7. Appendix B: standard form restrictions

Accepted Answer

words in [square brackets] are optional parts of the form; the brackets are not to be included in the restriction
words in {curly brackets} are instructions for completion of the form, and are not to be included in the restriction
where (round brackets) enclose one or more words, the brackets and all words in ordinary type enclosed in them are part of the form and, unless also enclosed in [square brackets], must be included in the restriction
where a form contains a group of clauses introduced by bullets, only one of the clauses may be used; the bullets are not to be included in the restriction

Rule 91A of the Land Registration Rules 2003 contains other permitted modifications of some forms (see Standard form restrictions). In particular:

a restriction in standard Form L, M, N, O, P, S, T, II, NN, OO or PP may commence with the word ‘Until’ followed by a date, and a restriction in standard Form L, N, S, T, NN or OO may commence with the words ‘Until the death of [name]’ or ‘Until the death of the survivor of [names of two or more people]’
where a restriction in Form J, K, Q, S, T, BB, DD, FF, HH, JJ, LL or OO relates to a registered charge, which is one of two or more registered charges bearing the same date and affecting the same registered estate, the words ‘in favour of’ followed by the name of the registered proprietor of the charge must be inserted in the restriction after the date of the charge

Rule 91B of the Land Registration Rules 2003 contains provisions as to how a consent or certificate, required by the terms of a restriction to be given by a corporation aggregate, is to be signed on its behalf.

7.1 Form A (Restriction on dispositions by sole proprietor)

No disposition by a sole proprietor of the registered estate (except a trust corporation) under which capital money arises is to be registered unless authorised by an order of the court.

7.2 Form B (Dispositions by trustees of the legal estate – certificates required)

No {disposition or specify type of disposition} by the proprietors of the registered estate is to be registered unless one or more of them makes a statutory declaration or statement of truth, or their conveyancer gives a certificate, that the {disposition or specify type of disposition} is in accordance with {specify the disposition creating the trust} or some variation thereof referred to in the declaration, statement or certificate.

7.3 Form C (Dispositions by personal representatives – certificate required)

No disposition by the personal representative of {name} deceased, other than a transfer by way of assent, is to be registered unless such personal representative makes a statutory declaration or statement of truth, or their conveyancer gives a certificate, that the disposition is in accordance with the terms of

{choose whichever bulleted clause is appropriate}

the will of the deceased [as varied by {specify date of, and parties to, deed of variation or other appropriate details}]
the law relating to intestacy as varied by {specify date of, and parties to, deed of variation or other appropriate details}

or some [further] variation thereof referred to in the declaration, statement or certificate, or is necessary for the purposes of administration.

7.4 Form D (Parsonage, diocesan glebe, church or churchyard land)

No disposition of the registered estate is to be registered unless the instrument giving effect to the disposition contains either certificate (a) or certificate (b):

(a) the disposition [choose one of the bulleted clauses]

{is made in accordance with Part 1 of the Church Property Measure 2018,
is made in accordance with Part 2 of the Church Property Measure 2018,
is made in accordance with section 29 of the Church Property Measure 2018,
is made in accordance with section 29 of the Church Property Measure 2018 by virtue of section 4(9) of the Ecclesiastical Offices (Terms of Service) Measure 2009,
is made in accordance with sections 33 and 34 of the Church Property Measure 2018,}
falls within section 117(3)(a) of the Charities Act 2011;
is made under the authority of a faculty granted under the common law power referred to in In re St. Mary Magdalene’s Paddington 1980 Fam.99;
is made in accordance with [specify other Act, Measure or authority];

(b) the Church Commissioners are a party to the instrument and have applied their seal to it.

7.5 Form E (Non-exempt charity – statement required)

No disposition by the proprietor of the registered estate to which sections 117to121 of the Charities Act 2011 apply, or section 124 of that Act applies, is to be registered unless the instrument contains a statement complying with section 122(2A) or section 125(1A) of that Act as appropriate.

7.6 Form F (Land vested in official custodian on trust for non-exempt charity – authority required)

No disposition executed by the trustees of [name of charity] in the name and on behalf of the proprietor is to be registered unless the transaction is authorised by an order of the court or of the Charity Commission, as required by section 91(4) of the Charities Act 2011.

7.7 Form G (Tenant for life as registered proprietor of settled land, where there are trustees of the settlement)

No disposition is to be registered unless authorised by the Settled Land Act 1925, or by any extension of those statutory powers in the settlement, and no disposition under which capital money arises is to be registered unless the money is paid to {name} of {address} and {name} of {address}, (the trustees of the settlement, who may be a sole trust corporation or, if individuals, must number at least two but not more than four) or into court.

{Note — If applicable under the terms of the settlement, a further provision may be added that no transfer of the mansion house [shown on an attached plan or otherwise adequately described to enable it to be fully identified on the Ordnance Survey map or title plan] is to be registered without the consent of the named trustees or an order of the court.}

7.8 Form H (Statutory owners as trustees of the settlement and registered proprietors of settled land)

No disposition is to be registered unless authorised by the Settled Land Act 1925, or by any extension of those statutory powers in the settlement, and, except where the sole proprietor is a trust corporation, no disposition under which capital money arises is to be registered unless the money is paid to at least two proprietors.

{Note — This restriction does not apply where the statutory owners are not the trustees of the settlement.}

7.9 Form I (Tenant for life as registered proprietor of settled land – no trustees of the settlement)

No disposition under which capital money arises, or which is not authorised by the Settled Land Act 1925 or by any extension of those statutory powers in the settlement, is to be registered.

7.10 Form J (Trustee in bankruptcy and beneficial interest – certificate required)

No disposition of the

{choose whichever bulleted clause is appropriate}

registered estate, other than a disposition by the proprietor of any registered charge registered before the entry of this restriction
registered charge dated [date] referred to above, other than a disposition by the proprietor of any registered sub-charge of that charge registered before the entry of this restriction

is to be registered without a certificate signed by the applicant for registration or their conveyancer that written notice of the disposition was given to {name of trustee in bankruptcy} (the trustee in bankruptcy of {name of bankrupt person}) at {address for service}.

7.11 Form K (Charging order affecting beneficial interest – certificate required)

No disposition of the

{choose whichever bulleted clause is appropriate}

registered estate, other than a disposition by the proprietor of any registered charge registered before the entry of this restriction
registered charge dated {date} referred to above, other than a disposition by the proprietor of any registered sub-charge of that charge registered before the entry of this restriction

is to be registered without a certificate signed by the applicant for registration or their conveyancer that written notice of the disposition was given to [name of person with the benefit of the charging order] at [address for service], being the person with the benefit of [an interim or a final] charging order on the beneficial interest of {name of judgment debtor} made by the {name of court} on [date] (Court reference {insert reference}).

7.12 Form L (Disposition by registered proprietor of a registered estate or proprietor of charge – certificate required)

No [disposition {or specify type of disposition}] of the registered estate [(other than a charge)] by the proprietor of the registered estate [, or by the proprietor of any registered charge, not being a charge registered before the entry of this restriction,] is to be registered without a certificate signed by

{choose one of the bulleted clauses}

a conveyancer
the applicant for registration [or their conveyancer]
{name} of {address} [or their personal representatives] [or [their conveyancer {or specify appropriate details}]]
{name} of {address} [or their personal representatives] and {name} of {address} [or their personal representatives] [or [their conveyancer {or specify appropriate details}]]
{name} of {address} and {name} of {address} or the survivor of them [or by the personal representatives of the survivor] [or [their conveyancer {or specify appropriate details}]]
{name} of {address} or [after that person’s death] by {name} of {address} [or [their conveyancer {or specify appropriate details}]]

that the provisions of {specify clause, paragraph or other particulars} of {specify details} have been complied with [or that they do not apply to the disposition].

Where the restriction applied for requires compliance with all of the provisions in a deed or document (rather than certain specified clauses) we will treat this as a non-standard form restriction. This must be applied for in form RX1 accompanied by the fixed fee prescribed under the current the current Land Registration Fee Order, see HM Land Registry: Registration Services fees.

Remember: A standard Form L restriction is used when a certificate is required that provisions in a deed have been complied with. If a consent is required, Form NN is an alternative standard restriction which gives the option of either a consent of a named party or a certificate.

{Note: Rule 91A of the Land Registration Rules 2003 provides for alternative wording to be used at the start of this restriction. See Standard form restrictions.}

7.13 Form M (Disposition by registered proprietor of registered estate or proprietor of charge – certificate of registered proprietor of specified title number required)

No [disposition {or specify type of disposition}] of the registered estate [(other than a charge)] by the proprietor of the registered estate [, or by the proprietor of any registered charge, not being a charge registered before the entry of this restriction,] is to be registered without a certificate signed by the proprietor for the time being of the estate registered under title number {specify title number} [or [their conveyancer {or specify appropriate details}]] that the provisions of {specify clause, paragraph or other particulars} of {specify details} have been complied with [or that they do not apply to the disposition].

Where the restriction applied for requires compliance with all of the provisions in a deed or document (rather than certain specified clauses) we will treat this as a non-standard form restriction. This must be applied for in form RX1 accompanied by the fixed fee prescribed under the current Land Registration Fee Order, see HM Land Registry: Registration Services fees.

{Note: Rule 91A of the Land Registration Rules 2003 provides for alternative wording to be used at the start of this restriction. See Standard form restrictions.}

7.14 Form N (Disposition by registered proprietor of registered estate or proprietor of charge - consent required)

No [disposition {or specify type of disposition}] of the registered estate [(other than a charge)] by the proprietor of the registered estate [, or by the proprietor of any registered charge, not being a charge registered before the entry of this restriction,] is to be registered without a written consent signed by

{choose one of the bulleted clauses}

{name} of {address} [or their personal representatives] [or [their conveyancer {or specify appropriate details}]]
{name} of {address} [or their personal representatives] and {name} of {address} [or their personal representatives] [or [their conveyancer {or specify appropriate details}]]
{name} of {address} and [name] of [address] or the survivor of them [or by the personal representatives of the survivor] [or [their conveyancer {or specify appropriate details}]]
{name} of {address} or [after that person’s death] by {name} of {address} [or [their conveyancer {or specify appropriate details}]]

{Note: Rule 91A of the Land Registration Rules 2003 provides for alternative wording to be used at the start of this restriction. See Standard form restrictions.}

7.15 Form O (Disposition by registered proprietor of registered estate or proprietor of charge – consent of registered proprietor of specified title number or certificate required)

No [disposition {or specify type of disposition}] of the registered estate [(other than a charge)] by the proprietor of the registered estate [, or by the proprietor of any registered charge, not being a charge registered before the entry of this restriction,] is to be registered without a written consent signed by the proprietor for the time being of the estate registered under title number {specify title number} [or [their conveyancer {or specify appropriate details}]].

{The text of the restriction may be continued as follows, to allow for the provision of a certificate as an alternative to the consent.}

or without a certificate signed by

{choose one of the bulleted clauses}

a conveyancer
the applicant for registration [or their conveyancer]
{name} of {address} [or [their conveyancer {or specify appropriate details}]]

that the provisions of {specify clause, paragraph or other particulars} of {specify details} have been complied with [or that they do not apply to the disposition].

Where the restriction applied for requires compliance with all of the provisions in a deed or document (rather than certain specified clauses) we will treat this as a non-standard form restriction. This must be applied for in form RX1 accompanied by the fixed fee prescribed under the current Land Registration Fee Order, see HM Land Registry: Registration Services fees.

{Note: Rule 91A of the Land Registration Rules 2003 provides for alternative wording to be used at the start of this restriction. See Standard form restrictions.}

7.16 Form P: Disposition by registered proprietor of registered estate or proprietor of charge – consent of proprietor of specified charge or certificate required.

No [disposition {or specify type of disposition}] of the registered estate [(other than a charge)] by the proprietor of the registered estate [, or by the proprietor of any registered charge, not being a charge registered before the entry of this restriction,] is to be registered without a written consent signed by the proprietor for the time being of the charge dated {date} in favour of {chargee} referred to in the charges register [or [their conveyancer {or specify appropriate details}]].

{The text of the restriction may be continued as follows, to allow for the provision of a certificate as an alternative to the consent.}

or without a certificate signed by

{choose one of the bulleted clauses}

a conveyancer
the applicant for registration [or their conveyancer]
{name} of {address} [or [their conveyancer {or specify appropriate details}]]

that the provisions of {specify clause, paragraph or other particulars} of {specify details} have been complied with [or that they do not apply to the disposition].

Where the restriction applied for requires compliance with all of the provisions in a deed or document (rather than certain specified clauses) we will treat this as a non-standard form restriction. This must be applied for in form RX1 accompanied by the fixed fee prescribed under the current Land Registration Fee Order, see HM Land Registry: Registration Services fees.

{Note: Rule 91A, Land Registration Rules 2003 provides for alternative wording to be used at the start of this restriction. See Standard form restrictions.}

7.17 Form Q (Disposition by registered proprietor of registered estate or proprietor of charge – consent of personal representatives required)

No [disposition {or specify type of disposition}] of the

{choose whichever bulleted clause is appropriate}

registered estate by the proprietor of the registered estate
registered charge dated {date} referred to above by the proprietor of that registered charge

is to be registered after the death of {name of the current proprietor(s) whose personal representatives’ consent will be required} without the written consent of the personal representatives of the deceased.

7.18 Form R (Disposition by registered proprietor of registered estate or proprietor of charge – evidence of compliance with club rules required)

No [disposition {or specify type of disposition}] of the registered estate [(other than a charge)] by the proprietor of the registered estate [, or by the proprietor of any registered charge, not being a charge registered before the entry of this restriction,] is to be registered unless authorised by the rules of the {name of club} of {address} as evidenced by

{choose whichever bulleted clause is appropriate}

a resolution of its members
a certificate signed by its secretary or conveyancer
{specify appropriate details}

7.19 Form S (Disposition by proprietor of charge – certificate of compliance required)

No [disposition {or specify type of disposition}] by the proprietor of the registered charge dated {date} referred to above is to be registered without a certificate signed by

{choose one of the bulleted clauses}

a conveyancer
the applicant for registration [or their conveyancer]
{name} of {address} [or their personal representatives] [or [their conveyancer {or specify appropriate details}]]
{name} of {address} [or their personal representatives] and {name} of {address} [or their personal representatives] [or [their conveyancer {or specify appropriate details}]]
{name} of {address} and {name} of {address} or the survivor of them [or by the personal representatives of the survivor] [or [their conveyancer {or specify appropriate details}]]
{name} of {address} or [after that person’s death] by {name} of {address} [or [their conveyancer {or specify appropriate details}]]
the proprietor for the time being of the sub-charge dated {date} in favour of {sub-chargee} [or [their conveyancer {or specify appropriate details}]]

that the provisions of {specify clause, paragraph or other particulars} of {specify details} have been complied with [or that they do not apply to the disposition].

Where the restriction applied for requires compliance with all of the provisions in a deed or document (rather than certain specified clauses) we will treat this as a non-standard form restriction. This must be applied for in form RX1 accompanied by the fixed fee prescribed under the current Land Registration Fee Order, see HM Land Registry: Registration Services fees.

{Note: Rule 91A of the Land Registration Rules 2003 provides for alternative wording to be used at the start of this restriction. See Standard form restrictions.}

7.20 Form T (Disposition by proprietor of charge – consent required)

No [disposition {or specify type of disposition}] by the proprietor of the registered charge dated {date} referred to above is to be registered without a written consent signed by

{choose one of the bulleted clauses}

{name} of {address} [or their personal representatives] [or [their conveyancer {or specify appropriate details}]]
{name} of {address} [or their personal representatives] and {name} of {address} [or their personal representatives] [or [their conveyancer {or specify appropriate details}]]
{name} of {address} and {name} of {address} or the survivor of them [or by the personal representatives of the survivor] [or [their conveyancer {or specify appropriate details}]]
{name} of {address} or [after that person’s death] by {name} of {address} [or [their conveyancer {or specify appropriate details}]]
the proprietor for the time being of the sub-charge dated {date} in favour of {sub-chargee} [or [their conveyancer {or specify appropriate details}]]

{Note: Rule 91A of the Land Registration Rules 2003 provides for alternative wording to be used at the start of this restriction. See Standard form restrictions.}

7.21 Form U (Section 37 of the Housing Act 1985)

No transfer or lease by the proprietor of the registered estate or by the proprietor of any registered charge is to be registered unless a certificate by {specify relevant local authority} is given that the transfer or lease is made in accordance with section 37 of the Housing Act 1985.

7.22 Form V (Section 157 of the Housing Act 1985)

No transfer or lease by the proprietor of the registered estate or by the proprietor of any registered charge is to be registered unless a certificate by {specify relevant local authority or housing association etc} is given that the transfer or lease is made in accordance with section 157 of the Housing Act 1985.

7.23 Form W (Paragraph 4 of Schedule 9A to the Housing Act 1985)

No disposition (except a transfer) of a qualifying dwelling-house (except to a qualifying person or persons) is to be registered without the consent of

(a) in relation to a disposal of land in England, the Secretary of State, or

(b) in relation to a disposal of land in Wales, the Welsh Ministers,

where consent to that disposition is required by section 171D(2) of the Housing Act 1985 as it applies by virtue of the Housing (Preservation of Right to Buy) Regulations 1993.

7.24 Form X (Section 133 of the Housing Act 1988 or section 173 of the Local Government and Housing Act 1989)

No disposition by the proprietor of the registered estate or in exercise of the power of sale or leasing in any registered charge (except an exempt disposal as defined by section 133(11) of the Housing Act 1988) is to be registered without the consent of

(a) in relation to a disposal of land in England, the Secretary of State, and

(b) in relation to a disposal of land in Wales, the Welsh Ministers,

where consent to that disposition is required by [{as appropriate} [section 133 of that Act] {or} [section 173 of the Local Government and Housing Act 1989].

7.25 Form Y (Section 13 of the Housing Act 1996)

No transfer or lease by the proprietor of the registered estate or by the proprietor of a registered charge is to be registered unless a certificate by {specify relevant registered social landlord} is given that the transfer or lease is made in accordance with section 13 of the Housing Act 1996.

7.26 Form AA (Freezing order on the registered estate)

Under an order of the {name of court} made on {date} (Court reference {insert reference}) no disposition by the proprietor of the registered estate is to be registered except with the consent of {name} of {address} or under a further order of the Court.

7.27 Form BB (Freezing order on charge)

Under an order of the {name of court} made on {date} (Court reference {insert reference}) no disposition by the proprietor of the registered charge dated {date} referred to above is to be registered except with the consent of {name} of {address} or under a further order of the Court.

7.28 Form CC (Application for freezing order on the registered estate)

Pursuant to an application made on {date} to the {name of court} for a freezing order to be made under {statutory provision} no disposition by the proprietor of the registered estate is to be registered except with the consent of {name of the person applying} of {address} or under a further order of the Court.

7.29 Form DD (Application for freezing order on charge)

Pursuant to an application made on {date} to the {name of court} for a freezing order to be made under {statutory provision} no disposition by the proprietor of the registered charge dated {date} referred to above is to be registered except with the consent of {name of the person applying} of {address} or under a further order of the Court.

7.30 Form EE (Restraint order or interim receiving order on the registered estate)

Under [a restraint order {or} an interim receiving order] made under {statutory provision} on {date} (Court reference {insert reference}) no disposition by the proprietor of the registered estate is to be registered except with the consent of {name of prosecutor or other appropriate person} of {address} or under a further order of the Court.

7.31 Form FF (Restraint order or interim receiving order on charge)

Under [a restraint order {or} an interim receiving order] made under {statutory provision} on {date} (Court reference {insert reference}) no disposition by the proprietor of the registered charge dated {date} referred to above is to be registered except with the consent of {name of prosecutor or other appropriate person} of {address} or under a further order of the Court.

7.32 Form GG (Application for restraint order or interim receiving order on the registered estate)

Pursuant to an application for [a restraint order {or} an interim receiving order] to be made under {statutory provision} and under any order made as a result of that application, no disposition by the proprietor of the registered estate is to be registered except with the consent of {name of prosecutor or other appropriate person} of {address} or under a further order of the Court.

7.33 Form HH (Application for restraint order or interim receiving order on charge)

Pursuant to an application for [a restraint order {or} an interim receiving order] to be made under {statutory provision} and under any order made as a result of that application no disposition by the proprietor of the registered charge dated {date} referred to above is to be registered except with the consent of {name of prosecutor or other appropriate person} of {address} or under a further order of the Court.

7.34 Form II (Beneficial interest that is a right or claim in relation to a registered estate)

No disposition of the registered estate, other than a disposition by the proprietor of any registered charge registered before the entry of this restriction, is to be registered without a certificate signed by the applicant for registration or their conveyancer that written notice of the disposition was given to {name} at {address}.

{Note: Rule 91A of the Land Registration Rules 2003 provides for alternative wording to be used at the start of this restriction. See Standard form restrictions.}

7.35 Form JJ (Statutory charge of beneficial interest in favour of the Lord Chancellor)

No disposition of the

{choose whichever bulleted clause is appropriate}

registered estate, other than a disposition by the proprietor of any registered charge registered before the entry of this restriction
registered charge dated {date} referred to above, other than a disposition by the proprietor of any registered sub-charge of that charge registered before the entry of this restriction

is to be registered without a certificate signed by the applicant for registration or their conveyancer that written notice of the disposition was given to the Lord Chancellor, at {address and Lord Chancellor’s reference number}.

7.36 Form KK (Lease of property in Wales by registered social landlord)

This restriction was revoked by the Regulation of Registered Social Landlords (Wales) Act 2018 (Consequential Amendments) Regulations 2018 which came into force on 15 August 2018.

7.37 Form LL (Restriction as to evidence of execution)

No disposition of the

{choose whichever bulleted clause is appropriate}

registered estate by the proprietor of the registered estate
registered charge dated {date} referred to above by the proprietor of that registered charge

is to be registered without a certificate signed by a conveyancer that that conveyancer is satisfied that the person who executed the document submitted for registration as disponor is the same person as the proprietor.

7.38 Form MM (Interest in beneficial joint tenancy subject to charge under section 22(1) of the Health and Social Services and Social Security Adjudications Act 1983 or section 71 of the Social Services and Well-being (Wales) Act 2014)

No disposition of the registered estate made after the death of {specify the name of the person whose beneficial interest under a beneficial joint tenancy is subject to a charge under section 22(1) of the Health and Social Services and Social Security Adjudications Act 1983 or section 71 of the Social Services and Well-being (Wales) Act 2014}, or after that person has become the sole proprietor of the registered estate, is to be registered unless—

(1) the disposition is by two or more persons who were registered as proprietors of the legal estate at the time of that person’s death,

(2) notice of a charge under section 22(1) or (6) of the Health and Social Services and Social Security Adjudications Act 1983 or section 71(1) or (5) of the Social Services and Well-being (Wales) Act 2014 for the benefit of {name and address of the local authority} has been entered in the register or, where appropriate, such charge has been registered, or

(3) it is shown to the registrar’s satisfaction that no such charge is subsisting.

7.39 Form NN (Disposition by registered proprietor of registered estate or proprietor of charge – consent or certificate required)

No [disposition {or specify type of disposition}] of the registered estate [(other than a charge)] by the proprietor of the registered estate [, or by the proprietor of any registered charge, not being a charge registered before the entry of this restriction,] is to be registered without a written consent signed by

{choose one of the bulleted clauses}

{name} of {address} [or their personal representatives] [or [their conveyancer {or specify appropriate details}]]
{name} of {address} [or their personal representatives] and {name} of {address} [or their personal representatives] [or [their conveyancer {or specify appropriate details}]]
{name} of {address} and {name} of {address} or the survivor of them [or by the personal representatives of the survivor] [or [their conveyancer {or specify appropriate details}]]
{name} of {address} or [after that person’s death] by {name} of {address} [or [their conveyancer {or specify appropriate details}]]

or a certificate signed by

{choose one of the bulleted clauses}

a conveyancer
the applicant for registration [or their conveyancer]
{name} of {address} [or [their conveyancer {or specify appropriate details}]]

that the provisions of {specify clause, paragraph or other particulars} of {specify details} have been complied with [or that they do not apply to the disposition].

Where the restriction applied for requires compliance with all of the provisions in a deed or document (rather than certain specified clauses) we will treat this as a non-standard form restriction. This must be applied for in form RX1 accompanied by the fixed fee prescribed under the current Land Registration Fee Order, see HM Land Registry: Registration Services fees.

{Note: Rule 91A of the Land Registration Rules 2003 provides for alternative wording to be used at the start of this restriction. See Standard form restrictions.}

7.40 Form OO (Disposition by proprietor of charge – consent or certificate required)

No [disposition {or specify type of disposition} by the proprietor of the registered charge dated {date} referred to above is to be registered without a written consent signed by

{choose one of the bulleted clauses}

{name} of {address} [or their personal representatives] [or [their conveyancer {or specify appropriate details}]]
{name} of {address} [or their personal representatives] and {name} of {address} [or their personal representatives] [or [their conveyancer {or specify appropriate details}]]
{name} of {address} and {name} of {address} or the survivor of them [or by the personal representatives of the survivor] [or [their conveyancer {or specify appropriate details}]]
{name} of {address} or [after that person’s death] by {name} of {address} [or [their conveyancer {or specify appropriate details}]]
the proprietor for the time being of the sub-charge dated {date} in favour of {sub-chargee} [or [their conveyancer {or specify appropriate details}]]

or a certificate signed by

{choose one of the bulleted clauses}

a conveyancer
the applicant for registration [or their conveyancer]
{name} of {address} [or [their conveyancer {or specify appropriate details}]]

that the provisions of {specify clause, paragraph or other particulars} of {specify details} have been complied with [or that they do not apply to the disposition].

Where the restriction applied for requires compliance with all of the provisions in a deed or document (rather than certain specified clauses) we will treat this as a non-standard form restriction. This must be applied for in form RX1 accompanied by the fixed fee prescribed under the current Land Registration Fee Order, see HM Land Registry: Registration Services fees.

{Note: Rule 91A of the Land Registration Rules 2003 provides for alternative wording to be used at the start of this restriction. See Standard form restrictions.}

7.41 Form PP (Disposition by registered proprietor of registered estate or proprietor of charge – certificate of landlord or of a conveyancer, required)

No [disposition {or specify type of disposition}] of the registered estate [(other than a charge)] by the proprietor of the registered estate [, or by the proprietor of any registered charge, not being a charge registered before the entry of this restriction,] is to be registered without a certificate signed by

{choose one of the bulleted clauses}

the proprietor for the time being of the registered estate comprising the reversion immediately expectant on the determination of the registered lease
the proprietor for the time being of the estate registered under title number {specify title number}
{name} of {address} [or by {name} of {address}]

or by a conveyancer, that the provisions of {specify clause, paragraph or other particulars} of {specify details} have been complied with [or that they do not apply to the disposition].

Where the restriction applied for requires compliance with all of the provisions in a deed or document (rather than certain specified clauses) we will treat this as a non-standard form restriction. This must be applied for in form RX1 accompanied by the fixed fee prescribed under the current Land Registration Fee Order, see HM Land Registry: Registration Services fees.

{Note: Rule 91A of the Land Registration Rules 2003 provides for alternative wording to be used at the start of this restriction. See Standard form restrictions.}

7.42 Form QQ (Land included in a list of assets of community value maintained under section 87(1) of the Localism Act 2011)

No transfer or lease is to be registered without a certificate signed by a conveyancer that the transfer or lease did not contravene section 95(1) of the Localism Act 2011.

7.43 Form RR (Deputy appointed under section 16 of the Mental Capacity Act 2005 – solely owned property)

No disposition during the lifetime of {name of person who lacks capacity} of the [registered estate] [registered charge dated {date}] is to be completed by registration unless made pursuant to an order of the court under the Mental Capacity Act 2005.

7.44 Form SS (Trustee appointed in place of a person who lacks capacity – jointly owned property)

No disposition of the [registered estate] [registered charge dated {date}] made during the lifetime of {name of person who lacks capacity} is to be completed by registration without the written consent of the Court of Protection.

Question 8

8. Appendix C: completing form RXC - examples

Accepted Answer

In this section you will find examples of how form RXC should be completed in a variety of common scenarios. The examples are not exhaustive, and you may wish to refer to the quick reference table in section 3.1.6.3 for further guidance.

8.1 Completing panels 1 and 2 of form RXC (all cases)

Panels 1 and 2 of form RXC are extremely important as they allow us to identify the restriction to which the consent or certificate being provided relates.

Panel 1

Make sure that you include the correct title number of the title the restriction affects, and the full postal address.

Panel 2

You need to tell us where the restriction is located on the register of title you identified in panel 1. In order to establish this, we ask a series of questions in panel 2, and the more information you can provide the less likely it is that we will need to raise a requisition.

Completing panel 2 accurately is particularly important if the title concerned has a number of restrictions on the register in favour of the same party or of a similar date. In these situations, you should complete the panel as fully as possible.

The first thing you will be asked for is the “registered on date”. This is the date in brackets at the start of the restriction as shown in the example below:

2.(25.07.2011) RESTRICTION: No disposition of the registered estate (other than a charge) by the proprietor of the registered estate or by the proprietor of any registered charge, not being a charge registered before the entry of this restriction is to be registered without a certificate signed by the proprietor for the time being of the estate registered under title number ABC123456 or their conveyancer that the provisions of Clause 3.19.1 of registered lease have been complied with.

Next, you are asked for the entry number of the restriction. This appears immediately before the registered on date, as shown in the above example.

You are then asked to identify which register the restriction appears in. There are two possible options – B (Proprietorship) Register or C (Charges) Register.

As an example, if the above restriction appeared at entry 2 of the Proprietorship Register, you would select the first of the two options.

Next, you are asked to confirm the edition date of the copy of the register you looked at to establish where the restriction was located. We ask you to provide this information in case there have been any changes to the register since you obtained an official copy or viewed the register using our online services that would make it difficult to identify the restriction in question.

You can find this date at the top of the Official Copy you have obtained, or in Register View.

You should only complete the final section of panel 2 if, due to the sequence of transactions lodged, you know that you are going to need to comply with a restriction that, whilst contained in a document lodged for registration, is not yet entered on the register.

In this case you just need to tell us what document the restriction is contained in so that we can easily identify it.

8.2 Completing panels 3 and 5 - Form LL restriction

Scenario: an individual regulated conveyancer is seeking to comply with a Form LL restriction worded as in the following example:

“No disposition of the registered estate by the proprietor of the registered estate is to be registered without a certificate signed by a conveyancer that that conveyancer is satisfied that the person who executed the document submitted for registration as disponor is the same person as the proprietor.”

Complete form RXC by:

completing panels 1 and 2 as detailed in Completing panels 1 and 2 of form RXC (all cases)
completing panel 3 by ticking the first box in Part A which reads as follows:

“I confirm that I am/we are described in the restriction as being able to give the consent or certificate.”

This is because the restriction describes the status of the person who should provide the certificate – in this case “a conveyancer”.

Then complete Part B in full with the details of the individually regulated conveyancer providing the certificate.

Completing panel 5 as follows:

First, list the dispositions the certificate relates to.

Then, select Option B:

B I certify that I am satisfied that the person who executed the document submitted for registration as disponor is the same person as the proprietor (individual conveyancer to sign below IN WET INK).

The individual conveyancer must then sign the form in wet ink, inserting their name and the date.

8.3 Completing panels 3 and 5 – an individual conveyancer acting for the party named in the restriction

Scenario: An individual conveyancer is giving a certificate on behalf of the person named in the following restriction:

“No disposition of the registered estate (other than a charge) by the proprietor of the registered estate, or by the proprietor of any registered charge, not being a charge registered before the entry of this restriction, is to be registered without a certificate signed by the proprietor for the time being of title ABC1234 that the provisions of clause 3.1 of a Transfer dated 22 May 2015 between John Smith and Jane Smith have been complied with.”

Complete form RXC by:

completing panels 1 and 2 as detailed in Completing panels 1 and 2 of form RXC (all cases)
completing panel 3 by ticking the second box in Part A, inserting the name of the person on whose behalf the certificate is given.

Then select the first of the three options below, which reads as follows:

I am an individually regulated conveyancer acting on their behalf

I am signing this form in my own name

I have provided my details in Part B.

Then complete Part B in full with the details of the individually regulated conveyancer providing the certificate.

Completing panel 5 as follows:

First, list the dispositions the certificate relates to.

Then select the type of certificate you want to give. The choice is either to give a shortform certificate using Option A:

A I/we have read the terms of the restriction identified in panel 2 of this form. By selecting this Option A and signing this form, I am/ we are providing the certificate required by that restriction. (Do not use this option for a Form LL restriction).

Or if you wish to set out the terms of the certificate required, select Option C and insert the required wording of the certificate.

The conveyancer giving the certificate should then sign the form where indicated and insert their name and the date.

8.4 Completing panels 3 and 5 – an employee of a conveyancing firm that acts for the party named in the restriction

Scenario: an employee of a conveyancing firm (who is not themselves a conveyancer) is giving a certificate in the name of their firm on behalf of the company named in the following restriction:

“No disposition of the registered estate (other than a charge) by the proprietor of the registered estate, or by the proprietor of any registered charge, not being a charge registered before the entry of this restriction, is to be registered without a certificate signed by X Management Company Limited that the provisions of clause 4.2 of a Transfer dated 22 May 2015 between X Homes and Jane Smith have been complied with.”

Complete form RXC by:

completing panels 1 and 2 as detailed in Completing panels 1 and 2 of form RXC (all cases)
completing panel 3 by ticking the second box in Part A and entering the name of the person or company you are acting for.

Then choose the second of the three options below which reads as follows:

I am employed by the regulated conveyancer acting on their behalf

I am signing this form and acting on behalf of my employer

I have provided my details in Part B.

Then complete Part B in full with the details of the individual providing the certificate.

Completing panel 5 as follows:

First, list the dispositions the certificate relates to.

Then select the type of certificate you want to give. The choice is either to give a shortform certificate using Option A:

I/we have read the terms of the restriction identified in panel 2 of this form. By selecting this Option A and signing this form, I am/ we are providing the certificate required by that restriction. (Do not use this option for a Form LL restriction).

Or if you wish to set out the terms of the certificate required, select Option C and insert the required wording of the certificate.

Then sign the form in the name of the firm giving the certificate.

8.5 Completing panels 3 and 5 – an attorney of an individual named in a restriction

Scenario: an attorney of an individual named in a restriction gives a certificate to comply with the following restriction on their behalf:

“No disposition of the registered estate (other than a charge) by the proprietor of the registered estate, or by the proprietor of any registered charge, not being a charge registered before the entry of this restriction, is to be registered without a certificate signed by John Smith that the provisions of clause 6.2 of a Transfer dated 22 May 2015 between John Smith and Jane Smith have been complied with.”

Complete form RXC by:

completing panels 1 and 2 as detailed in Completing panels 1 and 2 of form RXC (all cases)
completing panel 3 by ticking the second box in Part A, inserting details of the individual on whose behalf the certificate is given.

Then choose the third of the three options below which reads as follows:

My status (described in Part B), and/or the additional evidence I have lodged, establishes that I am duly authorised to sign this form on their behalf in my own name.

Then complete Part B in full with the details of the person giving the certificate.

Remember that evidence of the power under which the attorney is acting must be lodged with form RXC to demonstrate the attorney’s ability to act on behalf of the person named in the restriction.

completing panel 5 as follows:

First, list the dispositions the certificate relates to.

Then select the type of certificate you want to give. The choice is either to give a shortform certificate using Option A:

I/we have read the terms of the restriction identified in panel 2 of this form. By selecting this Option A and signing this form, I am/ we are providing the certificate required by that restriction. (Do not use this option for a Form LL restriction).

Or if you wish to set out the terms of the certificate required, select Option C and insert the required wording of the certificate.

Then sign the form where indicated, inserting the name of the individual signing and the date.

8.6 Completing panels 3 and 5 – an employee or officer of a corporation named in a restriction

Scenario: An employee or officer of a corporation is providing a certificate to comply with the following restriction:

“No disposition of the registered estate (other than a charge) by the proprietor of the registered estate, or by the proprietor of any registered charge, not being a charge registered before the entry of this restriction, is to be registered without a certificate signed by X Management Company Limited that the provisions of clause 4.2 of a Transfer dated 22 May 2015 between X Homes and Jane Smith have been complied with.”

Complete form RXC by:

completing panels 1 and 2 as detailed in Completing panels 1 and 2 of form RXC (all cases)
completing panel 3 by ticking the second box in Part A and inserting the name of the corporation the certificate is given on behalf of.

Then choose the third option below which reads as follows:

My status (described in Part B), and/or the additional evidence I have lodged, establishes that I am duly authorised to sign this form on their behalf in my own name.

Then go on to complete Part B with the details of the individual providing the certificate, and their role within the corporation named in the restriction.

Completing panel 5 as follows:

First, list the dispositions the certificate relates to.

Then select the type of certificate you want to give. The choice is either to give a shortform certificate using Option A:

I/we have read the terms of the restriction identified in panel 2 of this form. By selecting this Option A and signing this form, I am/ we are providing the certificate required by that restriction. (Do not use this option for a Form LL restriction).

Or if you wish to set out the terms of the certificate required to select Option C and insert the required wording of the certificate

Then sign the form where indicated, insert the name of the individual signing and the date.

8.7 Completing panel 4 – providing a consent

Before completing this section you will have already identified the restriction as described in Completing panels 1 and 2 of form RXC (all cases), you should also have completed panel 3 to identify who is providing the certificate.

Specific examples as to how to complete panel 3 in various circumstances can be found in sections 8.1 – 8.6 above, and in section 3.1.6.3.

Panel 4 is used to provide a consent when this is required by the terms of a particular restriction.

First, ensure that you have listed all the dispositions to which the consent is being given.

Then it is simply a case of signing the form where indicated in panel 4, then providing the name of the signatory and the date. Remember that these details must match those given in Part B of panel 3.

Question 9

9. Things to remember

Accepted Answer

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1. Introduction

Contents

1.1 Notices and restrictions

1.2 Matters not covered by this guide

1.3 The priority of competing interests: the reason why third-party interests require protection

1.4 Documents lodged with applications

2. Notices

Contents

2.1 The nature and effect of notices

2.2 Interests that cannot be protected by notice

2.3 Entry of notices in the register

2.3.1 Different types of notice

2.3.2 Agreed notices

2.3.3 Unilateral notices

2.4 Which type of notice to apply for

2.4.1 Interests that can only be protected by agreed notice

2.4.2 Points to consider when deciding which type of notice to apply for

2.5 Apply for an agreed notice

2.5.1 Applying for an agreed notice

2.5.2 Applications made with the cooperation of the relevant proprietor

2.5.3 Applications based on evidence rather than consent

2.5.4 Details of the nature of the applicant’s claim

2.5.5 Protect the confidentiality of the interest

2.6 Apply for a unilateral notice

2.6.1 Applying for a unilateral notice

2.6.2 Details of the nature of the applicant’s claim

2.6.3 Identify the beneficiary of the notice

2.7 Cancel and remove notices from the register

2.7.1 Cancellation of a notice (other than a unilateral notice)

2.7.2 Cancellation of a unilateral notice

2.7.3 Removal of a unilateral notice

2.7.4 Notice in respect of a charge that is subsequently completed by registration

2.8 Variations to interests that have been noted

2.8.1 Variation of a noted interest

2.8.2 Registration of a new or additional beneficiary of a unilateral notice

3. Restrictions

Contents

3.1 The nature and effect of restrictions

3.1.1 The general effect of restrictions

3.1.2 Restrictions that affect a registered estate

3.1.3 Restrictions that affect an existing registered charge

3.1.4 Entries that may be prevented by a restriction

3.1.5 Complying with a restriction

3.1.5.1 General

3.1.5.2 Certificates or consents other than by conveyancers

3.1.5.3 Certificate or consent by corporation aggregate

3.1.5.4 Certificate or consent by a conveyancer

3.1.5.5 Emailed certificates or consents

3.1.5.6 Restriction in Form LL or the company counter fraud restriction

3.1.5.7 Complying with a restriction upon a transfer of part of the land in the title

3.1.5.8 Restriction in Form LL or company counter fraud restrictions - deed is signed by someone who is not the registered proprietor

When a deed has been signed by a trustee in bankruptcy or personal representative

When a deed has been signed by an attorney, Law of Property Act (LPA) receiver with extended powers or deputy

3.1.6 Complying with a restriction using form RXC

3.1.6.1 Using form RXC

3.1.6.2 Lodging form RXC with an application

3.1.6.3 Completing panel 3 of form RXC

3.1.6.4Consent or certificate required by the proprietor of a registered estate specified in the restriction

3.1.6.5 Use of form RXC by attorney

3.1.6.6 Giving a consent using form RXC

3.1.6.7 Giving a certificate using form RXC

3.1.6.8 Form RXC and Form LL or company counter fraud restrictions

3.1.6.9 Form RXC – restrictions on the registration of disposals by overseas entities

3.2 Entry of restrictions

3.2.1 Restrictions entered at the registrar’s discretion

3.2.2 Where we are obliged to enter a restriction

3.3 The form of a restriction

3.3.1 Standard form restrictions

3.3.1.1 Adapt the restriction to suit your circumstances

3.3.2 Restrictions not in a standard form

3.4 Applying for a restriction

3.4.1 Those who may apply for a restriction

3.4.2 Things to consider before applying for a restriction

3.4.3 Compulsory applications

3.4.4 Applications made without the cooperation of the relevant proprietor: the need to show a sufficient interest

3.4.5 Interests under trusts

3.4.6 Notifiable applications

3.5 How to apply for a restriction