Director's Legal Responsibilities During Financial Distress

Understanding your legal obligations as a company director when facing financial difficulties and how to protect yourself from personal liability.

8 min read
Legal Team

Key Takeaway

As a company director, you have specific legal duties that become critical when your business faces financial difficulties. Understanding these responsibilities and acting appropriately can protect you from personal liability and potential disqualification.

Understanding Your Fiduciary Duties

Under the Companies Act 2006, directors have seven key statutory duties that remain in force even when a company is experiencing financial difficulties. These duties are designed to protect the company, its shareholders, and creditors.

Primary Duties

  • Act within your powers
  • Promote the success of the company
  • Exercise independent judgment
  • Exercise reasonable care, skill and diligence

Additional Duties

  • Avoid conflicts of interest
  • Not accept benefits from third parties
  • Declare interest in proposed transactions

When Financial Distress Changes Everything

When your company approaches insolvency, your duties as a director shift significantly. The interests of creditors begin to take precedence over shareholders, and you must take steps to minimize potential losses to creditors.

Critical Point: The Insolvency Test

A company is insolvent when it cannot pay its debts as they fall due (cash flow insolvency) or when its liabilities exceed its assets (balance sheet insolvency). Once you know or should have known about insolvency, your legal position changes dramatically.

What You Must Do:

  • • Stop trading immediately unless it benefits creditors
  • • Take professional advice from insolvency practitioners
  • • Consider formal insolvency procedures
  • • Document all decisions and reasoning
  • • Avoid preferential payments to certain creditors

Wrongful Trading: The Biggest Risk

Wrongful trading occurs when a director allows a company to continue trading when they knew or ought to have concluded that there was no reasonable prospect of avoiding insolvent liquidation. This can result in personal liability for company debts.

Protecting Yourself from Wrongful Trading Claims

Document Everything

  • • Board meeting minutes
  • • Professional advice received
  • • Financial projections and forecasts
  • • Attempts to secure additional funding
  • • Consideration of insolvency options

Seek Professional Help

  • • Insolvency practitioners
  • • Business recovery specialists
  • • Legal advisors
  • • Accountants and auditors
  • • Turnaround consultants

Practical Steps for Directors

1

Regular Financial Monitoring

Implement robust financial monitoring systems to identify potential insolvency early. This includes regular cash flow forecasting, management accounts, and solvency testing.

2

Maintain Proper Records

Keep detailed records of all board decisions, especially those relating to the company's financial position and any professional advice received.

3

Act Quickly When Problems Arise

Don't delay in seeking professional advice when financial difficulties become apparent. Early intervention can often prevent more serious consequences.

Need Professional Guidance?

Don't navigate director responsibilities alone. Our experienced team can help you understand your obligations and protect your interests.