‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Legal Services Act 2007
2007 CHAPTER 29
An Act to make provision for the establishment of the Legal Services Board and in
respect of its functions; to make provision for, and in connection with, the regulation of
persons who carry on certain legal activities; to make provision for the establishment
of the Office for Legal Complaints and for a scheme to consider and determine
legal complaints; to make provision about claims management services and about
immigration advice and immigration services; to make provision in respect of legal
representation provided free of charge; to make provision about the application of the
Legal Profession and Legal Aid (Scotland) Act 2007; to make provision about the
Scottish legal services ombudsman; and for connected purposes. [30th October 2007]
BE IT ENACTED by the Queen's most Excellent Majesty, by and with the advice and consent of
the Lords Spiritual and Temporal, and Commons, in this present Parliament assembled, and by
the authority of the same, as follows:—
Modifications etc. (not altering text)
C1 Act modified (in accordance with art. 1(2) of the amending instrument) by The National Assembly for
Wales Commission (Crown Status) Order 2007 (S.I. 2007/1118), art. 6
C2 Act modified (28.11.2008) by The Local Government (Structural Changes) (Transitional
Arrangements) (No.2) Regulations 2008 (S.I. 2008/2867), reg. 12(1)(a)(ii) (with reg.1)
PART 1
THE REGULATORY OBJECTIVES
1 The regulatory objectives
(1) In this Act a reference to “the regulatory objectives” is a reference to the objectives
of—
(a) protecting and promoting the public interest;
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2 Legal Services Act 2007 (c. 29)
Part 1 The regulatory objectives
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) supporting the constitutional principle of the rule of law;
(c) improving access to justice;
(d) protecting and promoting the interests of consumers;
(ec) promoting competition in the provision of services within subsection (2);
(f) encouraging an independent, strong, diverse and effective legal profession;
(g) increasing public understanding of the citizen's legal rights and duties;
(h) promoting and maintaining adherence to the professional principles;
["@__ promoting the prevention and detection of economic crime.]
(2) The services within this subsection are services such as are provided by authorised
persons (including services which do not involve the carrying on of activities which
are reserved legal activities).
(3) The “professional principles” are—
(a) that authorised persons should act with independence and integrity,
(b) that authorised persons should maintain proper standards of work,
(c) that authorised persons should act in the best interests of their clients,
(d) that persons who exercise before any court a right of audience, or conduct
litigation in relation to proceedings in any court, by virtue of being authorised
persons should comply with their duty to the court to act with independence
in the interests of justice, and
(e) _ that the affairs of clients should be kept confidential.
(4) In this section “authorised persons” means authorised persons in relation to activities
which are reserved legal activities.
[°(5) In subsection (1)(i) “economic crime” has the meaning given by section 193(1) of the
Economic Crime and Corporate Transparency Act 2023]
Textual Amendments
FI S. 1(1)(i) inserted (26.10.2023 for specified purposes, 4.3.2024 in so far as not already in force)
by Economic Crime and Corporate Transparency Act 2023 (c. 56), ss. 209(2), 219(1)(2)(b); S.I.
2024/269, reg. 2(263)
F2 S$. 1(5) inserted (26.10.2023 for specified purposes, 4.3.2024 in so far as not already in force)
by Economic Crime and Corporate Transparency Act 2023 (c. 56), ss. 209(3), 219(1)(2)(b); S.L
2024/269, reg. 2(z63)
Modifications etc. (not altering text)
C3 S. 1 modified (temp.) (7.3.2008) by The Legal Services Act 2007 (Commencement No.1 and
Transitory Provisions) Order 2008 (S.1. 2008/22), art. 7(1)
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Legal Services Act 2007 (c. 29)
Part 2— The Legal Services Board
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
w
PART 2
THE LEGAL SERVICES BOARD
Constitution
2 The Legal Services Board
(1) There is to be a body corporate called the Legal Services Board (“the Board”).
(2) Schedule I is about the Board.
General functions
3 The Board's duty to promote the regulatory objectives etc
(1) In discharging its functions the Board must comply with the requirements of this
section.
(2) The Board must, so far as is reasonably practicable, act in a way—
(a) which is compatible with the regulatory objectives, and
(b) which the Board considers most appropriate for the purpose of meeting those
objectives.
(3) The Board must have regard to—
(a) the principles under which regulatory activities should be transparent,
accountable, proportionate, consistent and targeted only at cases in which
action is needed, and
(b) any other principle appearing to it to represent the best regulatory practice.
4 Standards of regulation, education and training
The Board must assist in the maintenance and development of standards in relation
to—
(a) the regulation by approved regulators of persons authorised by them to carry
on activities which are reserved legal activities, and
(b) _ the education and training of persons so authorised.
5 Corporate governance
In managing its affairs, the Board must have regard to such generally accepted
principles of good corporate governance as it is reasonable to regard as applicable to it.
6 Annual report
(1) The Board must prepare a report (“the annual report”) for each financial year.
(2) The annual report must deal with—
(a) _ the discharge of the Board's functions,
(b) _ the extent to which, in the Board's opinion, the Board has met the regulatory
objectives, and
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Part 2 The Legal Services Board
Document Generated: 2024-12-05
‘Status:
This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
7
8
(©)
such other matters as the Lord Chancellor may from time to time direct.
(3) As soon as reasonably practicable after the end of each financial year, the Board must
give the Lord Chancellor a copy of the annual report prepared for that year.
(4) The Lord Chancellor must lay a copy of the annual report before Parliament.
(5) In this section “financial year” means—
(a)
(b)
the period beginning with the day on which the Board is established and
ending with the next following 31 March, and
each successive period of 12 months.
Supplementary powers
The Board may do anything calculated to facilitate, or incidental or conducive to, the
carrying out of any of its functions.
Consumer Panel
The Consumer Panel
(1) The Board must establish and maintain a panel of persons (to be known as “the
Consumer Panel”) to represent the interests of consumers.
(2) The Consumer Panel is to consist of such consumers, or persons representing the
interests of consumers, as the Board may appoint with the approval of the Lord
Chancellor.
(3) The Board must appoint one of the members of the Consumer Panel to be the chairman
of the Panel.
(4) The Board must secure that the membership of the Consumer Panel is such as to give
a fair degree of representation to both—
(a)
(b)
those who are using (or are or may be contemplating using), in connection
with businesses carried on by them, services provided by persons who are
authorised persons in relation to activities which are reserved legal activities,
and
those who are using (or are or may be contemplating using) such services
otherwise than in connection with businesses carried on by them.
(5) The Consumer Panel must not include any person who is—
(a)
(b)
(©)
(d)
imo)
(f)
a member of the Board or of its staff;
a member of the Office for Legal Complaints (see Part 6), an ombudsman
appointed by it or a member of its staff appointed under paragraph 13 of
Schedule 15;
a member of the governing body, or of the staff, of an approved regulator;
an authorised person in relation to an activity which is a reserved legal activity;
an authorised person (within the meaning given in section 31 of the Financial
Services and Markets Act 2000 (authorised persons)) in relation to regulated
claims management activity (within the meaning given by section 417(1) of
that Act (definitions));]
an advocate in Scotland;
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Part 2— The Legal Services Board
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(g) asolicitor in Scotland;
(h) amember of the Bar of Northern Ireland; or
(i) asolicitor of the Court of Judicature of Northern Ireland.
(6) The chairman and other members of the Consumer Panel are to be—
(a) appointed for a fixed period, and on other terms and conditions, determined
by the Board, and
(b) _ paid by the Board in accordance with provision made by or under the terms
of appointment.
(7) But a person may be removed from office in accordance with those terms and
conditions only with the approval of the Lord Chancellor.
(8) A person who ceases to be chairman or another member of the Consumer Panel may
be re-appointed.
Textual Amendments
F3 —_S. 8(5)(e) substituted (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force)
by The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.L
2018/1253), arts. 1(2)(3), 95(2)
Commencement Information
TL $.8 wholly in force at 1.1.2009, see s. 211 and S.I. 2008/3149, art. 2(a) (subject to art. 3)
9 Committees and the procedure of the Consumer Panel
(1) The Consumer Panel may make such arrangements as it thinks fit for committees
established by the Panel to give advice to the Panel about matters relating to the
carrying out of the Panel's functions.
(2) The Consumer Panel may make such other arrangements for regulating its own
procedure, and for regulating the procedure of the committees established by it, as it
thinks fit.
(3) Those arrangements may include arrangements as to quorums and as to the making
of decisions by a majority.
(4) The committees established by the Consumer Panel may include committees the
membership of which includes persons who are not members of the Panel.
(5) The membership of every committee established by the Consumer Panel must contain
at least one person who is a member of the Panel.
(6) Where a person who is not a member of the Consumer Panel is a member of a
committee established by it, the Board may pay to that person such remuneration and
expenses as the Board may determine.
10 Representations by the Consumer Panel
(1) The Board must consider any representations made to it by the Consumer Panel.
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Part 3 — Reserved legal activities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) If the Board disagrees with a view expressed, or proposal made, in the representations,
it must give the Consumer Panel a notice to that effect stating its reasons for
disagreeing.
(3) The Consumer Panel may publish such information as it thinks fit about any
representations made by it to the Board.
(4) Where the Consumer Panel publishes information about any representations made by
it, the Board must publish any notice it gives under subsection (2) in respect of those
representations.
i Advice and research functions of the Consumer Panel
(1) The Consumer Panel may, at the request of the Board—
(a) carry out research for the Board;
(b) give advice to the Board.
(2) The Board must consider any advice given and the results of any research carried out
under this section.
(3) The Consumer Panel may publish such information as it thinks fit about advice it
gives, and about the results of research carried out by it, under this section.
PART 3
RESERVED LEGAL ACTIVITIES
Reserved legal activities
12 Meaning of “reserved legal activity” and “legal activity”
(1) In this Act “reserved legal activity” means—
(a) _ the exercise of a right of audience;
(b) _ the conduct of litigation;
(c) reserved instrument activities;
(d) _ probate activities;
(e) notarial activities;
(f) the administration of oaths.
(2) Schedule 2 makes provision about what constitutes each of those activities.
(3) In this Act “legal activity” means—
(a) an activity which is a reserved legal activity within the meaning of this Act
as originally enacted, and
(b) any other activity which consists of one or both of the following—
(i) the provision of legal advice or assistance in connection with the
application of the law or with any form of resolution of legal disputes;
(ii) the provision of representation in connection with any matter
concerning the application of the law or any form of resolution of
legal disputes.
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Part 3 — Reserved legal activities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) But “legal activity” does not include any activity of a judicial or quasi-judicial nature
(including acting as a mediator).
(5) For the purposes of subsection (3) “legal dispute” includes a dispute as to any matter
of fact the resolution of which is relevant to determining the nature of any person's
legal rights or liabilities.
(6) Section 24 makes provision for adding legal activities to the reserved legal activities.
Commencement Information
I2__ S. 12 wholly in force at 1.1.2010; s. 12 not in force at Royal Assent see s. 211; s. 12 in force for certain
purposes at 7.3.2008 by S.1. 2008/222, art. 3; s. 12 in force for certain further purposes at 31.3.2009
by S.L. 2009/503, art. 3; s. 12 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b) (with art. 9)
Carrying on the activities
13 Entitlement to carry on a reserved legal activity
(1) The question whether a person is entitled to carry on an activity which is a reserved
legal activity is to be determined solely in accordance with the provisions of this Act.
(2) A person is entitled to carry on an activity (“the relevant activity”) which is a reserved
legal activity where—
(a) _ the person is an authorised person in relation to the relevant activity, or
(b) _ the person is an exempt person in relation to that activity.
(3) Subsection (2) is subject to section 23 (transitional protection for non-commercial
bodies).
(4) Nothing in this section or section 23 affects section 84 of the Immigration and Asylum
Act 1999 (c, 33) (which prohibits the provision of immigration advice and immigration
services except by certain persons).
Offences
14 Offence to carry on a reserved legal activity if not entitled
(1) It is an offence for a person to carry on an activity (“the relevant activity”) which is a
reserved legal activity unless that person is entitled to carry on the relevant activity.
(2) In proceedings for an offence under subsection (1), it is a defence for the accused to
show that the accused did not know, and could not reasonably have been expected to
know, that the offence was being committed.
(3) A person who is guilty of an offence under subsection (1) is liable—
(a) on summary conviction, to imprisonment for a term not exceeding [the
general limit in a magistrates’ court] or a fine not exceeding the statutory
maximum (or both), and
(b) onconviction on indictment, to imprisonment for a term not exceeding 2 years
or a fine (or both).
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Part 3 — Reserved legal activities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) A person who is guilty of an offence under subsection (1) by reason of an act done in
the purported exercise of a right of audience, or a right to conduct litigation, in relation
to any proceedings or contemplated proceedings is also guilty of contempt of the court
concerned and may be punished accordingly.
(5) In relation to an offence under subsection (1) committed before ["*2 May 2022], the
reference in subsection (3)(a) to [**the general limit in a magistrates’ court] is to be
read as a reference to 6 months.
Textual Amendments
F4 — Words ins. 14(3)(a) substituted (7.
(Magistrates’ Court Sentencing Powers) Regulations 2
table
F5 Words ins. 14(5) substituted (28.4.2022) by The Criminal Justice Act 2003 (Commencement No. 33)
and Sentencing Act 2020 (Commencement No. 2) Regulations 2022 (S.1. 2022/500), regs. 1(2), 5(1),
Sch. Pt. 1
F6 = Words in s. 14(5) substituted (7.2.2023 at 12.00 p.m.) by The Judicial Review and Courts Act 2022
(Magistrates’ Court Sentencing Powers) Regulations 2023 (S.I. 2023/149), regs. 1(2), 2(1), Sch. Pt. 1
table
2023 at 12.00 p.m.) by The Judicial Review and Courts Act 2022
3 (S.1. 2023/149), regs. 1(2), 2(1), Sch. Pt. 1
15 Carrying on of a reserved legal activity: employers and employees etc
(1) This section applies for the interpretation of references in this Act to a person carrying
on an activity which is a reserved legal activity.
(2) References to a person carrying on an activity which is a reserved legal activity include
a person (“E”) who—
(a) is an employee of a person (“P”), and
(b) carries on the activity in E's capacity as such an employee.
(3) For the purposes of subsection (2), it is irrelevant whether P is entitled to carry on
the activity.
(4) P does not carry on an activity (“the relevant activity”) which is a reserved legal
activity by virtue of E carrying it on in E's capacity as an employee of P, unless the
provision of relevant services to the public or a section of the public (with or without
a view to profit) is part of P's business.
(5) Relevant services are services which consist of or include the carrying on of the
relevant activity by employees of P in their capacity as employees of P.
(6) Where P is an independent trade union, persons provided with relevant services do
not constitute the public or a section of the public where—
(a) the persons are provided with the relevant services by virtue of their
membership or former membership of P or of another person's membership
or former membership of P, and
(b) _ the services are excepted membership services.
(7) Subject to subsection (8), “excepted membership services” means relevant services
which relate to or have a connection with—
(a) relevant activities of a member, or former member, of the independent trade
union;
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Legal Services Act 2007 (c. 29) 9
Part 3 — Reserved legal activities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) any other activities carried on for the purposes of or in connection with, or
arising from, such relevant activities;
(c) any event which has occurred (or is alleged to have occurred) in the
course of or in connection with such relevant activities or activities within
paragraph (b);
(d) activities carried on by a person for the purposes of or in connection with, or
arising from, the person's membership of the independent trade union;
and such other relevant services as the Lord Chancellor may by order specify.
(8) The Lord Chancellor may by order make provision about the circumstances in which
relevant services do or do not relate to, or have a connection with, the matters
mentioned in paragraphs (a) to (d) of subsection (7).
(9) Subject to that, the Lord Chancellor may by order make provision about—
(a) what does or does not constitute a section of the public;
(b) the circumstances in which the provision of relevant services to the public or
a section of the public does or does not form part of P's business.
(10) The Lord Chancellor may make an order under subsection (7), (8) or (9) only on the
recommendation of the Board.
(11) If P is a body, references to an employee of P include references to a manager of P.
(12) In subsection (7), “relevant activities”, in relation to a person who is or was a member
of an independent trade union, means any employment (including self-employment),
trade, occupation or other activity to which the person's membership of the trade union
relates or related.
16 Offence to carry on reserved legal activity through person not entitled
(1) Where subsection (2) applies it is an offence for a person (“P”) to carry on an activity
(“the relevant activity”) which is a reserved legal activity, despite P being entitled to
carry on the relevant activity.
(2) This subsection applies if—
(a) P carries on the relevant activity by virtue of an employee of P (“E”) carrying
it on in E's capacity as such an employee, and
(b) in carrying on the relevant activity, E commits an offence under section 14.
(3) If P is a body, references in subsection (2) to an employee of P include references to
a manager of P.
(4) In proceedings for an offence under subsection (1), it is a defence for the accused to
show that the accused took all reasonable precautions and exercised all due diligence
to avoid committing the offence.
(5) A person who is guilty of an offence under subsection (1) is liable—
(a) on summary conviction, to imprisonment for a term not exceeding [the
general limit in a magistrates’ court] or a fine not exceeding the statutory
maximum (or both), and
(b) onconviction on indictment, to imprisonment for a term not exceeding 2 years
or a fine (or both).
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Part 3 — Reserved legal activities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(6) A person who is guilty of an offence under subsection (1) by reason of an act done in
the purported exercise of a right of audience, or a right to conduct litigation, in relation
to any proceedings or contemplated proceedings is also guilty of contempt of the court
concerned and may be punished accordingly.
(7) In relation to an offence under subsection (1) committed before ["*2 May 2022], the
reference in subsection (5)(a) to ["*the general limit in a magistrates’ court] is to be
read as a reference to 6 months.
Textual Amendments
F7 Words ins. 16(5)(a) substituted (7.2.2023 at 12.00 p.m.) by The Judicial Review and Courts Act 2022
(Magistrates’ Court Sentencing Powers) Regulations 2023 (S.L. 2023/149), regs. 1(2), 2(1), Sch. Pt. 1
table
F8 Words ins. 16(7) substituted (28.4.2022) by The Criminal Justice Act 2003 (Commencement No. 33)
and Sentencing Act 2020 (Commencement No. 2) Regulations 2022 (S.I. 2022/500), regs. 1(2), 5(1),
Sch. Pt. 1
F9 Words ins. 16(7) substituted (7.2.2023 at 12.00 p.m.) by The Judicial Review and Courts Act 2022
(Magistrates’ Court Sentencing Powers) Regulations 2023 (S.L. 2023/149), regs. 1(2), 2(1), Sch. Pt. 1
table
17 Offence to pretend to be entitled
(1) It is an offence for a person—
(a) wilfully to pretend to be entitled to carry on any activity which is a reserved
legal activity when that person is not so entitled, or
(b) with the intention of implying falsely that that person is so entitled, to take or
use any name, title or description.
(2) A person who is guilty of an offence under subsection (1) is liable—
(a) on summary conviction, to imprisonment for a term not exceeding [the
general limit in a magistrates’ court] or a fine not exceeding the statutory
maximum (or both), and
(b) onconviction on indictment, to imprisonment for a term not exceeding 2 years
or a fine (or both).
(3) In relation to an offence under subsection (1) committed before [*"2 May 2022], the
reference in subsection (2)(a) to ["”the general limit in a magistrates’ court] is to be
read as a reference to 6 months.
Textual Amendments
F10 Words in s. 17(2)(a) substituted (7.2.2023 at 12.00 p.m.) by The Judicial Review and Courts Act 2022
(Magistrates’ Court Sentencing Powers) Regulations 2023 (S.I. 2023/149), regs. 1(2), 2(1), Sch. Pt. 1
table
F11 Words in s. 17(3) substituted (28.4.2022) by The Criminal Justice Act 2003 (Commencement No. 33)
and Sentencing Act 2020 (Commencement No. 2) Regulations 2022 (S.1. 2022/500), regs. 1(2), 5(1),
Sch. Pt. 1
F12 Words in s. 17(3) substituted (7.2.2023 at 12.00 p.m.) by The Judicial Review and Courts Act 2022
(Magistrates’ Court Sentencing Powers) Regulations 2023 (S.I. 2023/149), regs. 1(2), 2(1), Sch. Pt. 1
table
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Part 3 — Reserved legal activities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Interpretation
18 Authorised persons
(1) For the purposes of this Act “authorised person”, in relation to an activity (“the relevant
activity”) which is a reserved legal activity, means —
(a) a person who is authorised to carry on the relevant activity by a relevant
approved regulator in relation to the relevant activity (other than by virtue of
a licence under Part 5), or
(b) a licensable body which, by virtue of such a licence, is authorised to carry on
the relevant activity by a licensing authority in relation to the reserved legal
activity.
(2) A licensable body may not be authorised to carry on the relevant activity as mentioned
in subsection (1)(a).
(3) But where a body (“A”) which is authorised as mentioned in subsection (1)(a) becomes
a licensable body, the body is deemed by virtue of this subsection to continue to be so
authorised from that time until the earliest of the following events—
(a) the end of the period of 90 days beginning with the day on which that time
falls;
(b) the time from which the relevant approved regulator determines this
subsection is to cease to apply to A;
(c) the time when A ceases to be a licensable body.
(4) Subsection (2) is subject to Part 2 of Schedule 5 (by virtue of which licensable bodies
may be deemed to be authorised as mentioned in subsection (1)(a) in relation to certain
activities during a transitional period).
(5) A person other than a licensable body may not be authorised to carry on the relevant
activity as mentioned in subsection (1)(b).
(6) But where a body (“L”) which is authorised as mentioned in subsection (1)(b) ceases
to be a licensable body, the body is deemed by virtue of this subsection to continue to
be so authorised from that time until the earliest of the following events—
(a) the end of the period of 90 days beginning with the day on which that time
falls;
(b) the time from which the relevant licensing authority determines this
subsection is to cease to apply to L;
(c) the time when L becomes a licensable body.
Commencement Information
13S. 18 not in force at Royal Assent see s. 211; s. 18(1)(a) in force at 1.1.2010 by S.I. 2009/3250, art.
2(b)(4) (Subject to art. 3(1) and with art. 9)
14S. 18(1)(b)(5)(6) in force at 6.10.2011 by S.L. 2011/2196, art. 2(2) (with art. 3)
15S, 18(2)-(4) in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(a)
12 Legal Services Act 2007 (c. 29)
Part 3 — Reserved legal activities
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‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
19 Exempt persons
In this Act, “exempt person”, in relation to an activity (“the relevant activity”) which
is a reserved legal activity, means a person who, for the purposes of carrying on the
relevant activity, is an exempt person by virtue of—
(a) Schedule 3 (exempt persons), or
(b) paragraph 13 or 18 of Schedule 5 (additional categories of exempt persons
during transitional period).
20 Approved regulators and relevant approved regulators
(1) In this Act, the following expressions have the meaning given by this section—
“approved regulator”;
“relevant approved regulator”.
(2) “Approved regulator” means—
(a) a body which is designated as an approved regulator by Part 1 of Schedule 4
or under Part 2 of that Schedule (or both) and whose regulatory arrangements
are approved for the purposes of this Act, and
(b) ifn order under section 62(1)(a) has effect, the Board.
(3) An approved regulator is a “relevant approved regulator” in relation to an activity
which is a reserved legal activity if—
(a) the approved regulator is designated by Part 1, or under Part 2, of Schedule 4
in relation to that reserved legal activity, or
(b) where the approved regulator is the Board, it is designated in relation to that
reserved legal activity by an order under section 62(1)(a).
(4) An approved regulator is a “relevant approved regulator” in relation to a person if
the person is authorised by the approved regulator to carry on an activity which is a
reserved legal activity.
(5) Schedule 4 makes provision with respect to approved regulators other than the Board.
In that Schedule—
(a) Part 1 designates certain bodies as approved regulators in relation to certain
reserved legal activities,
(b) Part 2 makes provision for bodies to be designated by order as approved
regulators in relation to one or more reserved legal activities, and
(c) Part 3 makes provision relating to the approval of changes to an approved
regulator's regulatory arrangements.
(6) An approved regulator may authorise persons to carry on any activity which is a
reserved legal activity in respect of which it is a relevant approved regulator.
Commencement Information
16S. 20 wholly in force at 1.1.2010; s. 20 not in force at Royal Assent see s. 211; s. 20(2) in force for
certain purposes at 7.3.2008 by S.I. 2008/22, art. 3; s, 20(5) in force at 1.1.2009 by S.I. 2008/3149,
art. 2(b)(i); s. 20 in force otherwise at 1.1.2010 by S.1. 2009/3250, art. 2(b)(i) (with art. 9)
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Legal Services Act 2007 (c. 29) 13
Part 3 — Reserved legal activities
Document Generated: 2024-12-05
Stat
This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
21
Regulatory arrangements
(1) In this Act references to the “regulatory arrangements” of a body are to—
(a)
(b)
(©)
(d)
(©)
(f)
(g)
(hy
(i)
@)
its arrangements for authorising persons to carry on reserved legal activities,
its arrangements (if any) for authorising persons to provide immigration
advice or immigration services,
its practice rules,
its conduct rules,
its disciplinary arrangements in relation to regulated persons (including its
discipline rules),
its qualification regulations,
its indemnification arrangements,
its compensation arrangements,
any of its other rules or regulations (however they may be described), and any
other arrangements, which apply to or in relation to regulated persons, other
than those made for the purposes of any function the body has to represent or
promote the interests of persons regulated by it, and
its licensing rules (if any), so far as not within paragraphs (a) to (i),
(whether or not those arrangements, rules or regulations are contained in, or made
under, an enactment).
(2) In this Act—
“compensation arrangements”, in relation to a body, means arrangements to
provide for grants or other payments for the purposes of relieving or mitigating
losses or hardship suffered by persons in consequence of—
(a) negligence or fraud or other dishonesty on the part of any persons
whom the body has authorised to carry on activities which constitute
a reserved legal activity, or of employees of theirs, in connection with
their activities as such authorised persons, and
(b) failure, on the part of regulated persons, to account for money received
by them in connection with their activities as such regulated persons;
“conduct rules”, in relation to a body, means any rules or regulations
(however they may be described) as to the conduct required of regulated
persons;
“discipline rules”, in relation to a body, means any rules or regulations
(however they may be described) as to the disciplining of regulated persons;
“indemnification arrangements”, in relation to a body, means arrangements
for the purpose of ensuring the indemnification of those who are or were
regulated persons against losses arising from claims in relation to any
description of civil liability incurred by them, or by employees or former
employees of theirs, in connection with their activities as such regulated
persons;
“practice rules”, in relation to a body, means any rules or regulations
(however they may be described) which govern the practice of regulated
persons;
“qualification regulations”, in relation to a body, means—
(a) any rules or regulations relating to—
(i) the education and training which persons must receive, or
(ii) any other requirements which must be met by or in respect of
them,
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14 Legal Services Act 2007 (c. 29)
Part 3 — Reserved legal activities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(in order for them to be authorised by the body to carry on an activity
which is a reserved legal activity,
(b) any rules or regulations relating to—
(i) the education and training which persons must receive, or
(ii) any other requirements which must be met by or in respect of
them,
(in order for them to be authorised by the body to provide immigration
advice or immigration services, and
(c) any other rules or regulations relating to the education and training which
regulated persons must receive or any other requirements which must be
met by or in respect of them,
(however they may be described).
(3) In this section “regulated persons”, in relation to a body, means any class of persons
which consists of or includes—
(a) persons who are authorised by the body to carry on an activity which is a
reserved legal activity;
(b) persons who are not so authorised, but are employees of a person who is so
authorised.
(4) Inrelation to an authorised person other than an individual, references in subsection (2)
and (3) to employees of the person include managers of the person.
Commencement Information
17 $.21 partly in force: s. 21 not in force at Royal Assent see s. 211; s. 21(1)(a)-()(2)-(4) in force at
1.1.2010 by S.1. 2009/3250, art. 2(b)(i) (with art. 9)
18S. 21 in force at 1.10.2011 so far as not already in force by S.I. 2011/2196, art. 2(1)(a)
‘ontinuity of existing rights and transitional protection
22 Continuity of existing rights to carry on reserved legal activities
Schedule 5 makes provision for the continuity of existing rights and for certain persons
to be deemed, during a transitional period, to be authorised by approved regulators to
carry on certain activities.
23 Transitional protection for non-commercial bodies
(1) During the transitional period, a body within subsection (2) is entitled to carry on any
activity which is a reserved legal activity.
(2) The bodies are—
(a) anot for profit body,
(b) acommunity interest company, or
(c) an independent trade union.
(3) The transitional period is the period which—
(a) begins with the day appointed for the coming into force of section 13, and
Legal Services Act 2007 (c. 29) 15
Part 3 — Reserved legal activities
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‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) ends with the day appointed by the Lord Chancellor by order for the purposes
of this paragraph.
(4) Different days may be appointed under subsection (3)(b) for different purposes.
(5) An order may be made under subsection (3)(b) only on the recommendation of the
Board.
Alteration of reserved legal activities
24 Extension of the reserved legal activities
(1) The Lord Chancellor may, by order, amend section 12 or Schedule 2 (reserved legal
activities) so as to add any legal activity to the activities which are reserved legal
activities for the purposes of this Act.
(2) An order under subsection (1) may be made only on the recommendation of the Board.
(3) Schedule 6 makes provision about the making of recommendations for the purposes
of this section.
(4) Where a recommendation is made in relation to an activity, the Lord Chancellor
must—
(a) consider the report containing the recommendation given to the Lord
Chancellor under paragraph 16(3)(a) of that Schedule,
(b) decide whether or not to make an order under this section in respect of the
activity, and
(c) publish a notice of that decision,
within the period of 90 days beginning with the day on which the report was given
to the Lord Chancellor.
(5) Where the Lord Chancellor decides not to make an order under this section in respect
of an activity, the notice under subsection (4)(c) must state the reasons for that
decision.
Commencement Information
19S, 24 wholly in force at 1.1.2010; s. 24 not in force at Royal Assent see s. 211; s. 24(3) in force at
1.1.2009 by S.I. 2008/3149, art. 2(b)(i); s. 24 in force otherwise at 1.1.2010 by S.I. 2009/3250, art.
2(b)(i) (with art. 9)
25 Provisional designation as approved regulators and licensing authorities
sion—
(1) The Lord Chancellor may, by order, make prov’
(a) enabling applications to be made, considered and determined under Part 2
of Schedule 4 or Part 1 of Schedule 10 in relation to a provisional reserved
activity, as if the activity were a reserved legal activity;
(b) enabling provisional designation orders to be made by the Lord Chancellor
in respect of a provisional reserved activity, as if the activity were a reserved
legal activity.
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Part 3 — Reserved legal activities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) An order under subsection (1) may, in particular, provide that Part 2 of Schedule 4 or
Part 1 of Schedule 10 is to apply, in relation to such cases as may be specified by the
order, with such modifications as may be so specified.
(3) The Lord Chancellor may also, by order, make provision—
(a) for the purpose of enabling applications for authorisation to carry on an
activity which is a provisional reserved activity to be made to and considered
and determined by—
(i) a body in respect of which a provisional designation order is made, or
(ii) the Board in its capacity as a licensing authority;
(b) for the purpose of enabling persons to be deemed to be authorised to carry
on an activity which is a new reserved legal activity by a relevant approved
regulator in relation to the activity, or by the Board in its capacity as a licensing
authority, for a period specified in the order.
(4) For this purpose—
“provisional reserved activity” means an activity in respect of which a
provisional report under paragraph 10 of Schedule 6 states that the Board is
minded to make a recommendation for the purposes of section 24;
“provisional designation order” means an order made by the Lord
Chancellor under Part 2 of Schedule 4 or Part 1 of Schedule 10 which is
conditional upon the Lord Chancellor making an order under section 24 in
respect of the provisional reserved activity, pursuant to a recommendation
made by the Board following the provisional report;
“new reserved legal activity” means a legal activity which has become a
reserved legal activity by virtue of an order under section 24.
Commencement Information
110 _ S. 25 partly in force: s. 25 not in force at Royal Assent see s. 211; s. 25 in force for certain purposes
at 1.1.2010 by S.L 2009/3250, art. 2(b)(i) (subject to art. 3(2) (as amended (30.9.2011) by S.I.
2011/2196, arts. 1(2), 5) and with art. 9)
TIL S. 25 in force at 2.8.2010 subject to the transitional provision previously made in relation to s. 25(3)(a)
(b) by S.L. 2010/1118, art. 2(a)
26 Recommendations that activities should cease to be reserved legal activities
(1) The Board may recommend that an activity should cease to be a reserved legal activity.
(2) Schedule 6 makes provision about the making of recommendations for the purposes
of this section.
(3) The Lord Chancellor must consider any recommendation made by the Board for the
purposes of this section (but nothing in section 208 (minor and consequential provision
etc) authorises the Lord Chancellor to give effect to such a recommendation).
(4) Where the Lord Chancellor disagrees with a recommendation (or any part of it), the
Lord Chancellor must publish a notice to that effect which must include the Lord
Chancellor's reasons for disagreeing.
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Legal Services Act 2007 (c. 29) 17
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
112 S. 26 wholly in force at 1.1.2010; s. 26 not in force at Royal Assent see s. 211; s. 26(2) in force at
1.1.2009 by S.I. 2008/3149, art. 2(b)(j); s. 26 in force otherwise at 1.1.2010 by S.1. 2009/3250, art.
2(b)(i) (with art. 9)
PART 4
REGULATION OF APPROVED REGULATORS
Introductory
27 Regulatory and representative functions of approved regulators
(1) In this Act references to the “regulatory functions” of an approved regulator are to any
functions the approved regulator has—
(a) under or in relation to its regulatory arrangements, or
(b) in connection with the making or alteration of those arrangements.
(2) In this Act references to the “representative functions” of an approved regulator are
to any functions the approved regulator has in connection with the representation, or
promotion, of the interests of persons regulated by it.
General duties of approved regulators
28 Approved regulator's duty to promote the regulatory objectives etc
(1) In discharging its regulatory functions (whether in connection with a reserved legal
activity or otherwise) an approved regulator must comply with the requirements of
this section.
(2) The approved regulator must, so far as is reasonably practicable, act ina way—
(a) which is compatible with the regulatory objectives, and
(b) which the approved regulator considers most appropriate for the purpose of
meeting those objectives.
(3) The approved regulator must have regard to—
(a) the principles under which regulatory activities should be transparent,
accountable, proportionate, consistent and targeted only at cases in which
action is needed, and
(b) any other principle appearing to it to represent the best regulatory practice.
Separation of regulatory and representative functions
29 Prohibition on the Board interfering with representative functions
(1) Nothing in this Act authorises the Board to exercise its functions in relation to any
representative function of an approved regulator.
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Document Generated: 2024-12-05
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Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) But subsection (1) does not prevent the Board exercising its functions for the purpose
of ensuring—
(a) that the exercise of an approved regulator's regulatory functions is not
prejudiced by its representative functions, or
(b) that decisions relating to the exercise of an approved regulator's regulatory
functions are, so far as reasonably practicable, taken independently from
decisions relating to the exercise of its representative functions.
30 Rules relating to the exercise of regulatory functions
(1) The Board must make rules (“internal governance rules”) setting out requirements to
be met by approved regulators for the purpose of ensuring—
(a) that the exercise of an approved regulator's regulatory functions is not
prejudiced by its representative functions, and
(b) that decisions relating to the exercise of an approved regulator's regulatory
functions are so far as reasonably practicable taken independently from
decisions relating to the exercise of its representative functions.
(2) The internal governance rules must require each approved regulator to have in place
arrangements which ensure—
(a) that the persons involved in the exercise of its regulatory functions are, in
that capacity, able to make representations to, be consulted by and enter into
communications with the Board, the Consumer Panel, the OLC and other
approved regulators, and
(b) that the exercise by those persons of those powers is not prejudiced by the
approved regulator's representative functions and is, so far as reasonably
practicable, independent from the exercise of those functions.
(3) The internal governance rules must also require each approved regulator—
(a) to take such steps as are reasonably practicable to ensure that it provides such
resources as are reasonably required for or in connection with the exercise of
its regulatory functions;
(b) to make such provision as is necessary to enable persons involved in the
exercise of its regulatory functions to be able to notify the Board where they
consider that their independence or effectiveness is being prejudiced.
(4) The first set of rules under this section must be made before the day appointed by the
Lord Chancellor by order for the purposes of this section.
Performance targets
31 Performance targets and monitoring
(1) The Board may—
(a) set one or more performance targets relating to the performance by an
approved regulator of any of its regulatory functions, or
(b) direct an approved regulator to set one or more performance targets relating to
the performance by the approved regulator of any of its regulatory functions,
if the Board is satisfied that the conditions in subsection (2) are satisfied.
(2) Those conditions are—
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Legal Services Act 2007 (c. 29) 19
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) that an act or omission of the approved regulator (or a series of such acts or
omissions) has had, or is likely to have, an adverse impact on one or more of
the regulatory objectives, and
(b) that it is appropriate to take the action proposed under subsection (1) in all
the circumstances of the case (including in particular the impact of taking the
action on the other regulatory objectives).
(3) A direction under subsection (1)(b) may impose conditions with which the
performance targets must conform.
(4) If the Board proposes to take action under this section in respect of an approved
regulator it must give notice to the approved regulator—
(a) describing the action it proposes to take,
(b) specifying the acts or omissions to which the proposed action relates and any
other facts which, in the opinion of the Board, justify the taking of that action,
and
(c) specifying the time (not being earlier than the end of the period of 28
days beginning with the day on which the notice is given) before which
representations with respect to that action may be made.
(5) Before taking action under this section, the Board must consider any representations
which are duly made.
(6) In exercising its regulatory functions, an approved regulator must seek to meet any
performance target set for or by it under this section.
(7) The Board must publish any target set or direction given by it under this section.
(8) An approved regulator must publish any target set by it pursuant to a direction under
subsection (1)(b).
(9) The Board may take such steps as it regards as appropriate to monitor the extent to
which any performance target set under this section is being, or has been, met.
Directions
32 Directions
(1) This section applies if the Board is satisfied —
(a) that an act or omission of an approved regulator (or a series of such acts or
omissions) has had, or is likely to have, an adverse impact on one or more of
the regulatory objectives,
(b) that an approved regulator has failed to comply with any requirement imposed
on it by or under this Act (including this section) or any other enactment, or
(c) that an approved regulator—
(i) has failed to ensure that the exercise of its regulatory functions is not
prejudiced by any of its representative functions, or
(ii) has failed to ensure that decisions relating to the exercise of
its regulatory functions are, so far as reasonably practicable,
taken independently from decisions relating to the exercise of its
representative functions.
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Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) If, in all the circumstances of the case, the Board is satisfied that it is appropriate to
do so, it may direct the approved regulator to take—
(a) in a case within subsection (1)(a), such steps as the Board considers will
counter the adverse impact, mitigate its effect or prevent its occurrence or
recurrence;
(b) ina case within subsection (1)(b) or (c), such steps as the Board considers will
remedy the failure, mitigate its effect or prevent its recurrence.
(3) In a case within subsection (1)(a), before giving a direction under subsection (2) the
Board must in particular consider the impact of giving the direction on the other
regulatory objectives.
(4) A direction under subsection (2)—
(a) may only require an approved regulator to take steps which it has power to
take;
(b) may require an approved regulator to take steps with a view to the
modification of any part of its regulatory arrangements.
(5) The Board may not exercise its powers under this section so as to give a direction
requiring an approved regulator to take steps in respect of a specific disciplinary case
or other specific regulatory proceedings (as opposed to all, or a specified class of, such
cases or proceedings).
(6) For the purposes of this section a direction to take steps includes a direction which
requires an approved regulator to refrain from taking a particular course of action.
(7) The power to give a direction under this section is subject to any provision made by
or under any other enactment.
(8) The Board may take such steps as it regards as appropriate to monitor the extent to
which a direction under this section is being, or has been, complied with.
(9) Where the Board revokes a direction under this section, it must—
(a) _ give the approved regulator to whom the direction was given notice of the
revocation, and
(b) publish that notice.
33 Directions: procedure
Schedule 7 makes provision about the procedure which must be complied with before
a direction is given under section 32.
34 Enforcement of directions
(1) If at any time it appears to the Board that an approved regulator has failed to comply
with a direction given under section 32, the Board may make an application to the
High Court under this section.
(2) If, on an application under this section, the High Court decides that the approved
regulator has failed to comply with the direction in question, it may order the approved
regulator to take such steps as the High Court directs for securing that the direction
is complied with.
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Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) This section is without prejudice to any other powers conferred on the Board by this
Part.
Censure
35 Public censure
(1) This section applies if the Board is satisfied—
(a) that an act or omission of an approved regulator (or a series of such acts or
omissions) has had, or is likely to have, an adverse impact on one or more of
the regulatory objectives, and
(b) _ that it is appropriate to act under this section in all the circumstances of the
case (including in particular the impact of so acting on the other regulatory
objectives).
(2) The Board may publish a statement censuring the approved regulator for the act or
omission (or series of acts or omissions).
36 Public censure: procedure
(1) Ifthe Board proposes to publish a statement under section 35 in respect of an approved
regulator, it must give notice to the approved regulator—
(a) _ stating that the Board proposes to publish such a statement and setting out the
terms of the proposed statement,
(b) _ specifying the acts or omissions to which the proposed statement relates, and
(c) specifying the time (not being earlier than the end of the period of 28 days
beginning with the day on which the notice is given to the approved regulator)
before which representations with respect to the proposed statement may be
made.
(2) Before publishing the statement, the Board must consider any representations which
are duly made.
(3) Before varying any proposed statement set out in a notice under subsection (1)(a), the
Board must give notice to the approved regulator—
(a) _ setting out the proposed variation and the reasons for it, and
(b) specifying the time (not being earlier than the end of the period of 28 days
beginning with the day on which the notice is given to the approved regulator)
before which representations with respect to the proposed variation may be
made.
(4) Before varying the proposal, the Board must consider any representations which are
duly made.
Financial penalties
37 Financial penalties
(1) This section applies if the Board is satisfied—
(a) that an approved regulator has failed to comply with a requirement to which
this section applies, and
2 Legal Services Act 2007 (¢. 29)
Part 4— Regulation of approved regulators
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Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) _ that, in all the circumstances of the case, it is appropriate to impose a financial
penalty on the approved regulator.
(2) This section applies to any requirement imposed on the approved regulator—
(a) _ by rules under section 30 (internal governance rules),
(b) by a direction given under section 32 (Board directions), or
(c) by section 51 (control of practising fees charged by approved regulators) or
by rules under that section.
(3) The Board may impose a penalty, in respect of the failure, of such an amount as
it considers appropriate, but not exceeding the maximum amount prescribed under
subsection (4).
(4) The Board must make rules prescribing the maximum amount of a penalty which may
be imposed under this section.
(5) Rules may be made only under subsection (4) with the consent of the Lord Chancellor.
(6) A penalty under this section is payable to the Board.
(7) In sections 38 to 40 references to a “penalty” are to a penalty under this section.
Commencement Information
T13 _§. 37 wholly in force at 1.1.2010; s. 37 not in force at Royal Assent see s. 211; s. 37(4)(5) in force at
1.1.2009 by S.1. 2008/3149, art. 2(c)(i); s. 37 in force otherwise at 1.1.2010 by S.I. 2009/3250, art.
2(c)(@) (with art. 9)
38 Financial penalties: procedure
(1) If the Board proposes to impose a penalty on an approved regulator, it must give notice
to the approved regulator—
(a) stating that the Board proposes to impose a penalty and the amount of the
penalty proposed to be imposed,
(b) specifying the failure to which the proposed penalty relates,
(c) specifying the other facts which, in the Board's opinion, justify the imposition
of a penalty and the amount of the penalty, and
(d) specifying the time (not being earlier than the end of the period of 21 days
beginning with the day on which the notice is published under subsection (8))
before which representations with respect to the proposed penalty may be
made.
(2) Before imposing a penalty on an approved regulator, the Board must consider any
representations which are duly made.
(3) Where the Board proposes to vary the amount of a proposed penalty stated in a notice
under subsection (1)(a), the Board must give notice to the approved regulator—
(a) setting out the proposed variation and the reasons for it, and
(b) specifying the time (not being earlier than the end of the period of 21 days
beginning with the day on which the notice is published under subsection (8))
before which representations with respect to the proposed variation may be
made.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
i
3
(4) Before varying the proposal, the Board must consider any representations which are
duly made.
(5) As soon as practicable after imposing a penalty, the Board must give notice to the
approved regulator—
(a) _ stating that it has imposed a penalty on the approved regulator and its amount,
(b) _ specifying the failure to which the penalty relates,
(c) specifying the other facts which, in the Board's opinion, justify the imposition
of the penalty and its amount, and
(d) specifying a time (not being earlier than the end of the period of 3 months
beginning with the day on which the notice is given to the approved regulator),
before which the penalty is required to be paid.
(6) The approved regulator may, within the period of 21 days beginning with the day on
which it is given the notice under subsection (5), make an application to the Board for
it to specify different times by which different portions of the penalty are to be paid.
(7) If an application is made under subsection (6) in relation to a penalty, the penalty is
not required to be paid until the application has been determined.
(8) The Board must publish any notice given under this section.
39 Appeals against financial penalties
(1) An approved regulator on whom a penalty is imposed may appeal to the court on one
or more of the appeal grounds.
(2) The appeal grounds are—
(a) that the imposition of the penalty was not within the power of the Board under
section 37;
(b) that any of the requirements of section 38 have not been complied with in
relation to the imposition of the penalty and the interests of the approved
regulator have been substantially prejudiced by the non-compliance;
(c) that the amount of the penalty is unreasonable;
(d) that it was unreasonable of the Board to require the penalty imposed or any
portion of it to be paid by the time or times by which it was required to be paid.
(3) An appeal under subsection (1) must be made—
(a) within the period of 3 months beginning with the day on which the notice
under section 38(5) is given to the approved regulator in respect of the penalty,
or
(b) where the appeal relates to a decision of the Board on an application by
the approved regulator under section 38(6), within the period of 3 months
beginning with the day on which the approved regulator is notified of the
decision.
(4) On any such appeal, where the court considers it appropriate to do so in all the
circumstances of the case and is satisfied of one or more of the appeal grounds, the
court may—
(a) quash the penalty,
(b) _ substitute a penalty of such lesser amount as the court considers appropriate,
or
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Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(c) in the case of the appeal ground in subsection (2)(d), substitute for any time
imposed by the Board a different time or times.
(5) Where the court substitutes a penalty of a lesser amount it may require the payment
of interest on the substituted penalty at such rate, and from such time, as it considers
just and equitable.
(6) Where the court specifies as a time by which the penalty, or a portion of the penalty,
is to be paid a time before the determination of the appeal under this section, it may
require the payment of interest on the penalty, or portion, from that time at such rate
as it considers just and equitable.
(7) Except as provided by this section, the validity of a penalty is not to be questioned by
any legal proceedings whatever.
(8) In this section “the court” means the High Court.
40 Recovery of financial penalties
(1) If the whole or any part of a penalty is not paid by the time by which it is required to
be paid, the unpaid balance from time to time carries interest at the rate for the time
being specified in section 17 of the Judgments Act 1838 (c. 110).
(2) Ifan appeal is made under section 39 in relation to a penalty, the penalty is not required
to be paid until the appeal has been determined or withdrawn.
(3) If the Board grants an application under subsection (6) of section 38 in relation to a
penalty but any portion of the penalty is not paid by the time specified in relation to
it by the Board under that subsection, the Board may where it considers it appropriate
require so much of the penalty as has not already been paid to be paid immediately.
(4) Where a penalty, or any portion of it, has not been paid by the time when it is required
to be paid and—
(a) no appeal relating to the penalty has been made under section 39 during the
period within which such an appeal can be made, or
(b) an appeal has been made under that section and determined or withdrawn,
the Board may recover from the approved regulator, as a debt due to the Board, any
of the penalty and any interest which has not been paid.
Intervention
41 Intervention directions
(1) The Board may give an approved regulator an intervention direction in relation to any
of the approved regulator's regulatory functions if the Board is satisfied—
(a) that an act or omission of an approved regulator (or a series of such acts or
omissions) has had, or is likely to have, an adverse impact on one or more of
the regulatory objectives, and
(b) _ that it is appropriate to give the intervention direction in all the circumstances
of the case (including in particular the impact of giving the direction on the
other regulatory objectives).
(2) An intervention direction, in relation to a regulatory function of an approved regulator,
is a direction—
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Legal Services Act 2007 (c. 29) 25
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) that the regulatory function is to be exercised by the Board or a person
nominated by it, and
(b) that the approved regulator must comply with any instructions of the Board
or its nominee in relation to the exercise of the function.
(3) The Board may not determine that it is appropriate to give an intervention direction
unless it is satisfied that the matter cannot be adequately addressed by the Board
exercising the powers available to it under sections 31 to 40.
(4) Part 1 of Schedule 8 makes provision about the procedure which must be complied
with before an intervention direction is given and the manner in which such a direction
is to be given.
(5) The Board must make rules as to the persons it may nominate for the purposes of
subsection (2)(a).
Commencement Information
114 S. 41 wholly in force at 1.1.2010; s. 41 not in force at Royal Assent see s. 211; s. 41(4)(5) in force at
1.1.2009 by S.1. 2008/3149, art. 2(c)(i); s. 41 in force otherwise at 1.1.2010 by S.L 2009/3250, art.
2(e)(i) (with art. 9)
42 Intervention directions: further provision
(1) This section applies where an intervention direction has effect in respect of a function
of an approved regulator (“the relevant function”).
(2) The approved regulator must give the specified person all such assistance, in
connection with the proposed exercise of the relevant function by the specified person
in pursuance of the direction, as the approved regulator is reasonably able to give.
(3) On an application by the specified person (or a person appointed by the specified
person to act on its behalf) a judge of the High Court, Circuit judge or justice of the
peace may issue a warrant authorising that person to—
(a) enter and search the premises of the approved regulator, and
(b) _ take possession of any written or electronic records found on the premises.
(4) The person so authorised may, for the purpose of the exercise by the specified person
of the relevant function, take copies of written or electronic records found on a search
carried out by virtue of the warrant.
(5) The judge or justice of the peace may not issue the warrant unless satisfied that its
issue is necessary or desirable for the exercise by the specified person of the relevant
function.
(6) The Lord Chancellor must make regulations—
(a) specifying further matters which a judge or justice of the peace must be
satisfied of, or matters which a judge or justice of the peace must have regard
to, before issuing a warrant, and
(b) regulating the exercise of a power conferred by a warrant issued under
subsection (3) or by subsection (4) (whether by restricting the circumstances
in which a power may be exercised, by specifying conditions to be complied
with in the exercise of a power, or otherwise).
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26 Legal Services Act 2007 (¢. 29)
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(7) Regulations under subsection (6)(b) must in particular make provision as to the
circumstances in which written or electronic records of which a person has taken
possession by virtue of a warrant issued under subsection (3) may be copied or must
be returned.
(8) But the Lord Chancellor may not make regulations under subsection (6) unless—
(a) they are made in accordance with a recommendation made by the Board, or
(b) the Lord Chancellor has consulted the Board about the making of the
regulations.
(9) In this section “the specified person” means the Board or, where a person is nominated
by it as mentioned in section 41(2), that person.
(10) The Board must make rules as to the persons a specified person may appoint for the
purposes of subsection (3).
Commencement Information
TIS S. 42 wholly in force at 1.1.2010; s. 42 not in force at Royal Assent see s. 211; s. 42(6)-(10) in force
at 1.1.2009 by S.L 2008/3149, art. 2(c)(i); s. 42 in force otherwise at 1.1.2010 by S.1. 2009/3250, art.
2(¢)(i) (with art. 9)
43 Intervention directions: enforcement
(1) If at any time it appears to the Board that an approved regulator has failed to comply
with an obligation imposed on it by, or by virtue of, an intervention direction or
section 42(2), the Board may make an application to the High Court under this section.
(2) If, on an application under subsection (1), the High Court decides that the approved
regulator has failed to comply with the obligation in question, it may order the
approved regulator to take such steps as the High Court directs for securing that the
obligation is complied with.
(3) This section is without prejudice to any other powers conferred on the Board by this
Part,
44 Revocation of intervention directions
(1) An intervention direction has effect until such time as it is revoked by the Board
(whether on the application of the approved regulator or otherwise).
(2) Part 2 of Schedule 8 makes provision about the procedure which must be complied
with before an intervention direction is revoked and the manner in which notice of the
revocation is to be given.
Commencement Information
116 S. 44 wholly in force at 1.1.2010; s. 44 not in force at Royal Assent see s. 211; s. 44(2) in force at
1.1.2009 by S.I. 2008/3149, art. 2(¢)(i); s. 44 in force otherwise at 1.1.2010 by S.L 2009/3250, art.
2(c)(@) (with art. 9)
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Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Cancellation of approval
45 Cancellation of designation as approved regulator
(1) The Lord Chancellor may by order cancel a body's designation as an approved
regulator—
(a) in relation to all the reserved legal activities in relation to which it is an
approved regulator, or
(b) in relation to one or more, but not all, of those reserved legal activities,
with effect from a date specified in the order.
(2) But the Lord Chancellor may only make an order under subsection (1) in accordance
with a recommendation made by the Board under subsection (3) or (5).
(3) The Board must recommend that an order is made cancelling a body's designation as
an approved regulator in relation to one or more reserved legal activities, if—
(a) the body applies to the Board for such a recommendation to be made,
(b) _ the application is made in such form and manner as may be prescribed by rules
made by the Board, and is accompanied by the prescribed fee, and
(c) the body publishes a notice giving details of the application in accordance
with such requirements as may be specified in rules made by the Board.
(4) In this section “the prescribed fee”, in relation to an application, means the fee
specified in, or determined in accordance with, rules made by the Board, with the
consent of the Lord Chancellor.
(5) The Board may recommend that an order is made cancelling a body's designation as an
approved regulator in relation to one or more reserved legal activities if it is satisfied—
(a) that an act or omission of an approved regulator (or a series of such acts or
omissions) has had, or is likely to have, an adverse impact on one or more of.
the regulatory objectives, and
(b) _ that it is appropriate to cancel the body's designation in relation to the activity
or activities in question in all the circumstances of the case (including in
particular the impact of cancelling the designation on the other regulatory
objectives).
(6) The Board may not determine that it is appropriate to cancel a body's designation
in relation to an activity or activities unless it is satisfied that the matter cannot be
adequately addressed by the Board exercising the powers available to it under sections
31 to 43.
(7) Schedule 9 makes further provision about the making of recommendations under
subsection (5).
(8) If the Lord Chancellor decides not to make an order in response to a recommendation
made under subsection (3) or (5), the Lord Chancellor must give the Board notice of
the decision and the reasons for it.
(9) The Lord Chancellor must publish a notice given under subsection (8).
(10) The Board may not make a recommendation under subsection (5) in respect of a body's
designation as an approved regulator in relation to a reserved legal activity at any
time when, by virtue of Part 2 of Schedule 5 (protection of rights during a transitional
period), any person is being treated as authorised by the body to carry on that activity.
28 Legal Services Act 2007 (¢. 29)
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
117 _ S. 45 wholly in force at 1.1.2010; s. 45 not in force at Royal Assent see s. 211; s. 45(3)(b)(c)(4)(7) in
force at 1.1.2009 by S.1. 2008/3149, art. 2(c)(i); s. 45 in force otherwise at 1.1.2010 by S.I. 2009/3250,
art. 2(c)(i) (with art. 9)
46 Cancellation of designation: further provision
(1) This section applies where a body (“the former regulator”) has its designation in
relation to one or more reserved legal activities cancelled by an order under section 45.
(2) The Lord Chancellor may by order make—
(a) such modifications of provisions made by or under any enactment (including
this Act or any enactment passed after this Act), prerogative instrument or
other instrument or document, and
(b) such transitional or consequential provision,
as the Lord Chancellor considers necessary or expedient in consequence of the
cancellation.
(3) The Lord Chancellor may, by order, make transfer arrangements.
(4) “Transfer arrangements” are arrangements in accordance with which each person
authorised by the former regulator who consents to the arrangements is, from the time
the cancellation takes effect, treated as being authorised to carry on each protected
activity by either—
(a) a relevant approved regulator, in relation to the protected activity, who
consents to the transfer arrangements, or
(b) _ the Board acting in its capacity as a relevant approved regulator in relation to
the protected activity by virtue of an order made under section 62.
(5) The transfer arrangements—
(a) must make such provision as is necessary to ensure that, where a person
is treated under those arrangements as being authorised to carry on a
protected activity by the new regulator, that person is subject to the regulatory
arrangements of the new regulator;
(b) may make provision requiring amounts held by the former regulator which
represent amounts paid to it by way of practising fees by the persons to whom
the transfer arrangements apply (or a part of the amounts so held) to be paid
to the new regulator and treated as if they were amounts paid by those persons
by way of practising fees to the new regulator.
(6) Subsection (5)(a) is subject to any transitional provision which may be made by the
transfer arrangements, including provision modifying the regulatory arrangements of
the new regulator as they apply to persons to whom the transfer arrangements apply.
(7) The Lord Chancellor may make an order under this section only if—
(a) the Board has made a recommendation in accordance with section 47, and
(b) _ the order is in the same form as, or in a form which is not materially different
from, the draft order annexed to that recommendation.
(8) For the purposes of this section—
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) aperson is “authorised by the former regulator” ifimmediately before the time
the cancellation takes effect the person is authorised by the former regulator
(other than by virtue of a licence under Part 5) to carry on an activity which
is a reserved legal activity to which the cancellation relates, and
(b) _ in relation to that person—
(i) the activity which that person is authorised to carry on as mentioned
in paragraph (a) is a “protected activity”, and
(ii) “the new regulator” means the approved regulator within
paragraph (a) or (b) of subsection (4).
(9) In this section “practising fee”, in relation to an approved regulator, means a fee
payable by a person under the approved regulator's regulatory arrangements in
circumstances where the payment of the fee is a condition which must be satisfied
for that person to be authorised by the approved regulator to carry on one or more
activities which are reserved legal activities.
(10) But for the purposes of this section “practising fee” does not include a fee payable by
a licensed body to its licensing authority under licensing rules.
47 The Board's power to recommend orders made under section 46
(1) The Board may recommend to the Lord Chancellor that the Lord Chancellor make an
order under section 46 in the form of a drafi order prepared by the Board and annexed
to the recommendation.
(2) Before making a recommendation under this section, the Board must publish a draft
of—
(a) the proposed recommendation, and
(b) the proposed draft order.
(3) The draft must be accompanied by a notice which states that representations about the
proposals may be made to the Board within a specified period.
(4) Before making the recommendation, the Board must have regard to any
representations duly made.
(5) If the draft order to be annexed to the recommendation differs from the draft published
under subsection (2)(b) in a way which in the opinion of the Board is material, the
Board must, before making the recommendation, publish the draft order along with a
statement detailing the changes made and the reasons for those changes.
48 Cancellation of designation: powers of entry etc
(1) This section applies where a body (“the former regulator”) has its designation in
relation to one or more reserved legal activities cancelled by an order under section 45.
(2) The Board may request the former regulator to provide assistance to the new regulator
and the Board, for the purpose of continuing regulation.
(3) On an application by a person appointed by the Board to act on its behalf, a judge of
the High Court, Circuit judge or justice of the peace may issue a warrant authorising
that person to—
(a) enter and search the premises of the former regulator, and
(b) take possession of any written or electronic records found on the premises.
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30 Legal Services Act 2007 (¢. 29)
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) A person so authorised may, for the purpose of continuing regulation, take copies of
written or electronic records found on a search carried out by virtue of the warrant.
(5) The judge or justice of the peace may not issue the warrant unless satisfied that its
issue is necessary or desirable for the purpose of continuing regulation.
(6) The Lord Chancellor must make regulations—
(a) specifying further matters which a judge or justice of the peace must be
satisfied of, or matters which a judge or justice of the peace must have regard
to, before issuing a warrant, and
(b) regulating the exercise of a power conferred by a warrant issued under
subsection (3) or by subsection (4) (whether by restricting the circumstances
in which a power may be exercised, by specifying conditions to be complied
with in the exercise of a power, or otherwise).
(7) Regulations under subsection (6)(b) must in particular make provision as to
circumstances in which written or electronic records of which a person has taken
possession by virtue of a warrant issued under subsection (3) may be copied or must
be returned.
(8) But the Lord Chancellor may not make regulations under subsection (6) unless—
(a) they are made in accordance with a recommendation made by the Board, or
(b) the Lord Chancellor has consulted the Board about the making of the
regulations.
(9) The Board must make rules as to the persons it may appoint for the purposes of
subsection (3).
(10) For the purposes of this section—
“authorised by the former regulator”, “protected activity” and “new
regulator” have the same meaning as for the purposes of section 46;
“the purpose of continuing regulation” means the purpose of enabling
persons authorised by the former regulator to continue to be authorised and
regulated in relation to the protected activity.
Commencement Information
118 _ S. 48 wholly in force at 1.1.2010; s. 48 not in force at Royal Assent see s. 211; s. 48(6)-(9) in force at
1.1.2009 by S.I. 2008/3149, art. 2(¢)(i); s. 48 in force otherwise at 1.1.2010 by S.1. 2009/3250, art.
2(c)(i) (with art. 9)
Policy statements
49 The Board's policy statements
(1) The Board must prepare and issue a statement of policy with respect to the exercise
of its functions under—
(a) section 31 (performance targets and monitoring);
(b) — section 32 (directions);
(c) section 35 (public censure);
(d) section 37 (financial penalties);
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Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(e) section 41 (intervention directions);
(f) section 45 (cancellation of designation as approved regulator);
(g) section 76 (cancellation of designation as licensing authority by order).
(2) The Board may prepare and issue a statement of policy with respect to any other matter.
(3) In preparing a statement of policy, the Board must have regard to the principle that its
principal role is the oversight of approved regulators.
(4) The statement of policy prepared under subsection (1) must—
(a) take account of the desirability of resolving informally matters which arise
between the Board and an approved regulator, and
(b) specify how, in exercising the functions mentioned in that subsection, the
Board will comply with the requirements of section 3(3) (regulatory activities
to be proportionate, consistent and targeted only at cases in which action is
needed, etc),
and, in preparing that statement, the Board must have regard to the principle that the
Board should not exercise any of those functions by reason of an act or omission of
an approved regulator unless the act or omission was unreasonable.
(5) The Board's policy in determining what the amount of a penalty under section 37
should be must include having regard to—
(a) _ the seriousness of the failure in question, and
(b) _ the extent to which it was deliberate or reckless.
(6) The Board may at any time alter or replace any statement issued under this section.
(7) If a statement is altered or replaced, the Board must issue the altered or replacement
statement.
(8) In exercising or deciding whether to exercise any of its functions, the Board must have
regard to any relevant policy statement published under this section.
(9) The Board must publish a statement issued under this section.
(10) The Board may make a reasonable charge for providing a person with a copy of a
statement.
50 Policy statements: procedure
(1) Before issuing a statement under section 49, the Board must publish a drafi of the
proposed statement.
(2) The draft must be accompanied by a notice which states that representations about the
proposals may be made to the Board within a specified period.
(3) Before issuing the statement, the Board must have regard to any representations duly
made.
(4) If the statement differs from the draft published under subsection (1) in a way which is,
in the opinion of the Board, material, the Board must publish details of the differences.
(5) The Board may make a reasonable charge for providing a person with a copy of a draft
published under subsection (1).
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Practising fees
51 Control of practising fees charged by approved regulators
(1) In this section “practising fee”, in relation to an approved regulator, means a fee
payable by a person under the approved regulator's regulatory arrangements in
circumstances where the payment of the fee is a condition which must be satisfied
for that person to be authorised by the approved regulator to carry on one or more
activities which are reserved legal activities.
(2) An approved regulator may only apply amounts raised by practising fees for one or
more of the permitted purposes.
(3) The Board must make rules specifying the permitted purposes.
(4) Those rules must, in particular, provide that the following are permitted purposes—
(a) the regulation, accreditation, education and training of relevant authorised
persons and those wishing to become such persons, including—
(i) the maintaining and raising of their professional standards, and
(ii) the giving of practical support, and advice about practice
management, in relation to practices carried on by such persons;
(b) the payment of a levy imposed on the approved regulator under section 173;
(c) the participation by the approved regulator in law reform and the legislative
process;
(d) _ the provision by relevant authorised persons, and those wishing to become
relevant authorised persons, of reserved legal services, immigration advice or
immigration services to the public free of charge;
(e) the promotion of the protection by law of human rights and fundamental
freedoms;
(f) the promotion of relations between the approved regulator and relevant
national or international bodies, governments or the legal professions of other
jurisdictions.
(5) A practising fee is payable under the regulatory arrangements of an approved regulator
only if the Board has approved the level of the fee.
(6) The Board must make rules containing provision—
(a) about the form and manner in which applications for approval for the purposes
of subsection (5) must be made and the material which must accompany such
applications;
(b) requiring applicants to have consulted such persons as may be prescribed by
the rules in such manner as may be so prescribed before such an application
is made;
(c) about the procedures and criteria that will be applied by the Board when
determining whether to approve the level of a fee for the purposes of
subsection (5).
(7) Rules under subsection (6)(c) must, in particular, contain—
(a) provision requiring the Board, before it determines an application for approval
of the level of a fee, to consult such persons as it considers appropriate about
the impact of the proposed fee on persons providing non-commercial legal
services;
Legal Services Act 2007 (c. 29) 33
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) provision about the time limit for the determining of an application.
(8) In this section “relevant authorised persons”, in relation to an approved regulator,
means persons who are authorised by the approved regulator to carry on activities
which are reserved legal activities.
Commencement Information
19S. 51 wholly in force at 1.1.2010; s. 51 not in force at Royal Assent see s. 211; s. 51(1)(3)(4)(6)-(8) in
force at 1.1.2009 by S.I. 2008/3149, art. 2(c)(i); s. 51 in force otherwise at 1.1.2010 by S.1. 2009/3250,
art. 2(c)(i) (with art. 9)
Regulatory conflict
52 _ Regulatory conflict with approved regulators
(1) The regulatory arrangements of an approved regulator must make such provision as
is reasonably practicable to prevent regulatory conflicts.
(2) For the purposes of this section and section 53, a regulatory conflict is a conflict
between—
(a) arequirement of the approved regulator's regulatory arrangements, and
(b) arequirement of the regulatory arrangements of another approved regulator.
(3) Subsection (4) applies where a body is authorised by an approved regulator (“the entity
regulator”) to carry on an activity which is a reserved legal activity.
(4) Ifa conflict arises between—
(a) arequirement of the regulatory arrangements of the entity regulator, in relation
to the body authorised by the entity regulator or an employee or manager of
the body (“an entity requirement”), and
(b) a requirement of the regulatory arrangements of another approved regulator
in relation to an employee or manager of the body who is authorised by it to
carry on a reserved legal activity (“an individual requirement”),
the entity requirement prevails over the individual requirement.
53 Modification of provision made about regulatory conflict
(1) An approved regulator (“the applicant regulator”) may make an application under this
section if it considers that the regulatory arrangements of another approved regulator
(“the conflicting regulator”) do not make appropriate provision to prevent a regulatory
conflict with the applicant regulator.
(2) An application under this section is an application made to the Board for the Board to
exercise its powers under section 32 to direct the conflicting regulator—
(a) to take steps to modify, in such manner as may be specified in the direction, the
provision made by its regulatory arrangements to prevent a regulatory conflict
with the applicant regulator, or
(b) _ if its regulatory arrangements do not make any such provision, to make such
provision as may be specified in the direction to prevent such a conflict.
(3) An approved regulator must consider any request made by an affected person—
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34 Legal Services Act 2007 (¢. 29)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) for the approved regulator to reconsider the provision made by its regulatory
arrangements to prevent a regulatory conflict with another approved regulator,
or
(b) for the approved regulator to make an application under this section.
(4) An “affected person”, in relation to an approved regulator, means—
(a) a person authorised by the approved regulator to carry on a reserved legal
activity;
(b) an employee or manager of such a person.
(5) Where an application is made under this section, the Board—
(a) must give the applicant regulator and the conflicting regulator an opportunity
to make representations, and
(b) may consult any persons it considers appropriate.
(6) The Board must decide whether or not to give a warning notice in response to the
application.
(7) The Board must make that decision before the end of the period of 6 months beginning
with the day on which the application is received by it.
(8) The Board must give notice of its decision, and the reasons for it, to the applicant
regulator and the conflicting regulator.
(9) For the purposes of this section “warning notice” means a notice given under
paragraph 2(1) of Schedule 7 (warning of proposed direction under section 32).
54 Regulatory conflict with other regulatory regimes
(1) The regulatory arrangements of an approved regulator must make such provision as
is reasonably practicable and, in all the circumstances, appropriate—
(a) to prevent external regulatory conflicts,
(b) to provide for the resolution of any external regulatory conflicts which arise,
and
(c) to prevent unnecessary duplication of regulatory provisions made by an
external regulatory body.
(2) For the purposes of this section, an external regulatory conflict is a conflict between—
(a) arequirement of the regulatory arrangements of the approved regulator, and
(b) a requirement of any regulatory provision made by an external regulatory
body.
(3) For this purpose “external regulatory body” means a person (other than an approved
regulator) who exercises regulatory functions in relation to a particular description
of persons with a view to ensuring compliance with rules (whether statutory or non-
statutory) by those persons.
(4) Regulatory arrangements made for the purposes of subsection (1)(b) may, with the
consent of the Board, provide for the Board to exercise functions in connection with
the resolution of conflicts.
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Legal Services Act 2007 (c. 29) 35
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Information
55 Provision of information to the Board
(1) The Board may, by notice, require an approved regulator—
(a) to provide any information, or information of a description, specified in the
notice, or
(b) to produce documents, or documents of a description, specified in the notice.
(2) A notice under subsection (1)—
(a) may specify the manner and form in which any information is to be provided;
(b) must specify the period within which any information is to be provided or
document is to be produced;
(c) may require any information to be provided, or document to be produced, to
the Board or to a person specified in the notice.
(3) The Board may, by notice, require a person representing the approved regulator to
attend at a time and place specified in the notice to provide an explanation of any
information provided or document produced under this section.
(4) The Board may pay to any person such reasonable costs as may be incurred by that
person in connection with—
(a) the provision of any information, or the production of any document, by that
person pursuant to a notice under subsection (1), or
(b) that person's compliance with a requirement imposed under subsection (3).
(5) The Board, or a person specified under subsection (2)(c), may take copies of or extracts
from a document produced pursuant to a notice under subsection (1).
(6) For the purposes of this section and section 56, references to an approved regulator
include a body which was, but is no longer, an approved regulator.
56 Enforcement of notices under section 55
(1) Where an approved regulator is unable to comply with a notice given to it under
section 55(1), it must give the Board a notice to that effect stating the reasons why
it cannot comply.
(2) If an approved regulator refuses, or otherwise fails, to comply with a notice under
section 55(1), the Board may apply to the High Court for an order requiring the
approved regulator to comply with the notice or with such directions for the like
purpose as may be contained in the order.
(3) This section applies in relation to a person to whom a notice is given under
section 55(3) as it applies in relation to an approved regulator to whom a notice is
given under section 55(1).
Competition
57 Reports by the ["“CMA]
(1) If the [CMA] is of the opinion that the regulatory arrangements of an approved
regulator (or any part of them) prevent, restrict or distort competition within the market
36 Legal Services Act 2007 (¢. 29)
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
for reserved legal services to any significant extent, or are likely to do so, the ["“CMA]
may prepare a report to that effect.
(2) A report under subsection (1)—
(a) must state what, in the ["*CMA's] opinion, is the effect, or likely effect, on
competition of the regulatory arrangements or part of them to which the report
relates, and
(b) may contain recommendations as to the action which the Board should take
for the purpose of ensuring that the regulatory arrangements of the approved
regulator do not prevent, restrict or distort competition.
(3) Where the ["'°CMA] makes a report under subsection (1), it must—
(a) give a copy of the report to the Board, the Consumer Panel and the approved
regulator, and
(b) _ publish the report.
(4) Before publishing a report under subsection (3)(b), the ["*CMA] must, so far as
practicable, exclude any matter which relates to the private affairs of a particular
individual the publication of which, in the opinion of the ["°CMA], would or might
seriously and prejudicially affect the interests of that individual.
(5) The yvcMal may exercise any of the powers conferred on it by section 174(3) to
(5) ["and (6A)] of the Enterprise Act 2002 (c. 40) (investigation powers) for the
purpose of assisting it in exercising its functions under this section ["“and references
in section 174 of the Enterprise Act 2002 to a “permitted purpose” are to be construed
accordingly].
["°(SA) Where the CMA exercises any of its powers under section 174 of the Enterprise Act
2002 for the purpose referred to in subsection (5), “the relevant day” for the purposes
of section 174B of the Enterprise Act 2002 is the day on which the CMA publishes
its report. ]
(6) For the purposes of the law of defamation, absolute privilege attaches to any report
of the ["'*CMA] under this section.
Textual Amendments:
F13— Word in s. 57 heading substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s.
103(3), Sch. 6 para. 109(5); S.I. 2014/4116, art. 2(1)(@) (with Sch.)
F14 Word ins. 57(1) substituted (14.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s.
103(3), Sch. 6 para. 109(2); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F15 Word ins. 57(2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s
103(3), Sch. 6 para. 109(3); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F16 Words in s. 57(3)-(6) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s.
103(3), Sch. 6 para. 109(4); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F17 Words in s. 57(5) inserted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013
(Competition) (Consequential, Transitional and Saving Provisions) Order 2014 (S.L. 2014/892), art.
1(1), Seh. 1 para. 176(2)(a) (with art. 3, Sch. 2 para. 4)
F18 Words in s. 57(5) inserted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013
(Competition) (Consequential, Transitional and Saving Provisions) Order 2014 (S.L. 2014/892), art.
1(1), Seh. 1 para. 176(2)(b) (with art. 3, Sch. 2 para. 4)
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Legal Services Act 2007 (c. 29) 37
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
F19 _S.57(SA) inserted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013 (Competition)
(Consequential, Transitional and Saving Provisions) Order 2014 (S.L. 2014/892), art. 1(1), Sch. 1 para.
176(3) (with art. 3, Sch. 2 para. 4)
58 The Board's response to [""°CMA] report
(1) This section applies where a report is made by the ["*" CMA] under section 57 in
respect of an approved regulator.
(2) The Board must allow the approved regulator a period of 28 days beginning with
the day on which the copy of the report is given to the approved regulator under
section 57, or such longer period as the Board may specify in a particular case, to make
representations to the Board about the [*CMA's] report.
(3) The Consumer Panel may give the Board such advice as the Consumer Panel thinks
fit regarding the [**CMA's] report.
(4) Having considered any representations made under subsection (2) and any advice
given under subsection (3), the Board must notify the [*"CMA] of the action (if any)
it proposes to take in response to the report.
Textual Amendments
F20 Word in s. 58 heading substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s
103(3), Sch. 6 para. 110(5); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F21 Word in s. 58(1) substituted (1 4.2014) by Enterprise and Regulatory Reform Act 2013 (¢. 24), s.
103(3), Sch. 6 para. 110(2); S.1. 2014/416, art. 2(1)(4) (with Sch.)
F22 Words in s. 58(2)(3) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s.
103(3), Sch. 6 para. 110(3); S.. 2014/416, art. 2(1)(d) (with Sch.)
F23_ Word in s. 58(4) substituted (14.2014) by Enterprise and Regulatory Reform Act 2013 (¢. 24), s
103(3), Sch. 6 para. 110(4); S.1. 2014/416, art. 2(1)(d) (with Sch.)
59 Referral of report by the Lord Chancellor ™...
(1) This section applies where the ["**CMA] is satisfied that the Board has failed to give
full and proper consideration to a report made by the ["*CMAJ, in respect of an
approved regulator, under section 57.
(2) The [**CMAImay give a copy of its report to the Lord Chancellor.
(3) The [SCMA]must notify the Board and the approved regulator if it gives a copy of
its report to the Lord Chancellor.
(4) On receiving a report under subsection (2), the Lord Chancellor [%must make a
reference to the chair of the CMA for the constitution of a group under Schedule 4 to
the Enterprise and Regulatory Reform Act 2013, for the purpose of advising the Lord
Chancellor] on what action (if any) should be taken by the Lord Chancellor under
section 61.
['(5) Where a reference is made to the chair of the CMA under this section for the
constitution of a group, the functions of the CMA under section 60, in relation to
the matter concerned, are to be carried out on behalf of the CMA by the group so
38 Legal Services Act 2007 (¢. 29)
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
constituted (including functions under sections 109 to 115 of the Enterprise Act 2002,
as applied by section 60(9)).]
Textual Amendments
F24 Words in s. 59 heading omitted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s.
103(3), Sch. 6 para. 111(5); S.L. 2014/416, art. 2(1)(d) (with Sch.)
Text here
F25 Words in s. 59(1)-(3) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (¢. 24), s.
103(3), Sch. 6 para. 111(2); S.L. 2014/416, art. 2(1)(4) (with Sch.)
F26 Words in s. 59(4) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (©. 24), s
103(3), Sch. 6 para. 111(3); S.1. 2014/416, art. 2(1)(d) (with Sch.)
F27_S. 59(5) inserted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 1033), Sch. 6
para. 111(4); S.1. 2014/416, art. 2(1)(d) (with Sch.)
60 Duties of the [**CMA]
(1) Where the Lord Chancellor [**makes a reference under section 59, the CMA] under
section 59, the Commission must investigate the matter.
(2) [The CMA must then make a report] on the matter unless it considers that, as a result
of any change of circumstances, no useful purpose would be served by a report.
(3) If the [CMA ] decides in accordance with subsection (2) not to make a report, it
must make a statement setting out the change of circumstances which resulted in that
decision.
(4) The [CMA ] must comply with subsection (2) or (3) within the period of 3 months
beginning with the day on which [the reference in question is made to the chair of
the CMA under section 59].
(5) A report made under this section must state the ["“*CMA's] conclusion as to whether
any of the matters which is the subject of the report has or is likely to have the effect of
preventing, restricting or distorting competition within the market for reserved legal
services to a significant extent.
(6) A report under this section stating the ["*SCMA's] conclusion that there is, or is likely
to be, such an effect must also—
(a) state whether or not the ["*CMA] considers that that effect is justified, and
(b) if it states that the [*°CMA] considers that it is not justified, state its
conclusion as to what action, if any, ought to be taken by the Board.
(7) When determining under subsection (6)(b) any action to be taken by the Board, the
["CMA] must ensure—
(a) that the action stated is action which the Board has power to take, and
(b) so far as reasonably possible, that the action stated is compatible with the
functions conferred, and obligations imposed, on the Board by or under this
Act.
(8) A report under this section must contain such an account of the ["“*CMA's] reasons for
its conclusions as is expedient, in the opinion of the ["°CMA ], for facilitating proper
understanding of them.
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Legal Services Act 2007 (c. 29) 39
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(9) Sections [109 to 110A and 111 to 115] of the Enterprise Act 2002 (c. 40)
(investigation powers) apply in relation to an investigation under this section as they
apply in relation to an investigation made on a reference made ["*"to the CMA] under
Part 3 of that Act (mergers), but as if—
{"(a) references in section 109 of that Act (attendance of witnesses and production
of documents etc ) to a permitted purpose were references to the purpose of
assisting the CMA in carrying out any of its functions in connection with an
investigation under this section, and
(b) the relevant day in any case for the purposes of section 110A of that Act
(restriction on powers to impose penalties under section 110) were the day
on which the CMA makes a report under subsection (2) or a statement under
subsection (3) in connection with that case. ]
(10) If the [CMA] makes a report or a statement under this section it must—
(a) give a copy to the Lord Chancellor, the Board, the Consumer Panel and the
approved regulator to which the [report made by the CMA under section 57
] relates, and
(b) publish the report or statement.
Textual Amendments
F28 Word in s. 60 heading substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (©. 24), s
103(3), Sch. 6 para. 112(12); S.L 2014/416, art. 2(1)(4) (with Sch.)
F29 Words in s. 60(1) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s
103(3), Sch. 6 para. 112(2); S.1. 2014/416, art. 2(1)(d) (with Sch.)
F30 Words in s. 60(2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (¢. 24), s.
103(3), Sch. 6 para. 112(3); S.I. 2014/4 16, art. 2(1)(d) (with Sch.)
F31 Word in s. 60(3) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (¢. 24), s.
103(3), Sch. 6 para. 112(4); S.1. 2014/416, art. 2(1)(4) (with Sch.)
F32 Word in s. 60(4) substituted (14.2014) by Enterprise and Regulatory Reform Act 2013 (¢. 24), s.
103(3), Sch. 6 para. 112(5)(a); S.1. 2014/416, art. 2(1)(d) (with Sch.)
F33_ Words in s. 60(4) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s
103(3), Sch. 6 para. 112(5)(b); S.I. 2014/416, art. 2(1)(4) (with Sch.)
F34 Word in s. 60(5) substituted (14.2014) by Enterprise and Regulatory Reform Act 2013 (¢. 24), s.
103(3), Sch. 6 para. 112(6); S.1. 2014/416, art. 2(1)(4@) (with Sch.)
F35_ Word in s. 60(6) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s.
103(3), Sch. 6 para. 112(7)(a); S.I. 2014/416, art. 2(1)(4) (with Sch.)
F36 Word in s. 60(6) substituted (1 4.2014) by Enterprise and Regulatory Reform Act 2013 (¢. 24), s.
103(3), Sch. 6 para. 112(7)(b); 8.1. 2014/416, art. 2(1)(4) (with Sch.)
F37 Word in s. 60(7) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s
103(3), Sch. 6 para. 112(8); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F38 Word in s. 60(8) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (¢. 24), s.
103(3), Sch. 6 para. 112(9)(a); S.1. 2014/416, art. 2(1)(d) (with Sch.)
F39 Word in s. 60(8) substituted (1 4.2014) by Enterprise and Regulatory Reform Act 2013 (¢. 24), s.
103(3), Sch. 6 para. 112(9)(b); S.1. 2014/416, art. 2(1)(d) (with Sch.)
F40_ Words in s. 60(9) substituted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013
(Competition) (Consequential, Transitional and Saving Provisions) Order 2014 (S.I. 2014/892), art.
1(1), Seh. 1 para. 177(a) (with art, 3, Sch. 2 para. 2)
F41_ Words in s, 60(9) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (©. 24), s
103(3), Sch. 6 para. 112(10)(a); S.I. 2014/416, art. 2(1)(4) (with Sch.)
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40 Legal Services Act 2007 (¢. 29)
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
F42_ S. 60(9)(a)(b) substituted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013
(Competition) (Consequential, Transitional and Saving Provisions) Order 2014 (S.I. 2014/892), art.
1(1), Seh. 1 para. 177(b) (with art. 3, Sch. 2 para. 2)
F43 Word in s. 60(10) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s.
103(3), Sch. 6 para. 112(11)(a); S.I. 2014/416, art. 2(1)(4) (with Sch.)
F44 Words in s. 60(10) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s.
103(3), Sch. 6 para. 112(11)(b); S.L 2014/416, art. 2(1)(@) (with Sch.)
61 Lord Chancellor's power to give directions
(1) The Lord Chancellor may direct the Board to take such action as the Lord Chancellor
considers appropriate in connection with any matter raised in a report made by the ["*
CMA I under section 57.
(2) Before giving a direction under subsection (1), the Lord Chancellor must consider any
report from the [“CMA ] under section 60 on that matter.
(3) When exercising the power to give a direction under subsection (1), the Lord
Chancellor must ensure—
(a) that the action stated is action which the Board has power to take, and
(b) so far as reasonably possible, that the action stated in any direction is
compatible with the functions conferred, and obligations imposed, on the
Board by or under this Act.
(4) The Lord Chancellor must publish a direction given under this section.
Textual Amendments
F45_ Word in s. 61(1) substituted (14.2014) by Enterprise and Regulatory Reform Act 2013 (¢. 24), s.
103(3), Sch. 6 para. 113(2); S.1. 2014/416, art. 2(1)(d) (with Sch.)
F46 Word in s. 61(2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s.
103(3), Sch. 6 para. 113(3); S.1. 2014/416, art. 2(1)(d) (with Sch.)
The Board as approved regulator
62 The Board as an approved regulator
(1) The Lord Chancellor may by order—
(a) designate the Board as an approved regulator in relation to one or more
reserved legal activities;
(b) modify the functions of the Board, and make such other provision relating
to those functions as the Lord Chancellor considers necessary or expedient,
with a view to enabling the Board to discharge its functions as an approved
regulator effectively and efficiently;
(c) cancel the Board's designation as an approved regulator in relation to one or
more reserved legal activities.
(2) But the Lord Chancellor may make an order under subsection (1) only if—
(a) the Board has made a recommendation in accordance with section 66, and
(b) the order is in the same form as, or in a form which is not materially different
from, the draft order annexed to that recommendation.
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Legal Services Act 2007 (c. 29) 41
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) If the Lord Chancellor decides not to make an order pursuant to a recommendation
made under section 66, the Lord Chancellor must—
(a) give the Board a notice stating the reasons for that decision, and
(b) publish the notice.
(4) In discharging its functions as an approved regulator the Board must take such steps as
are necessary to ensure an appropriate financial and organisational separation between
the activities of the Board that relate to the carrying out of those functions and the
other activities of the Board.
(5) An order under this section may make such modifications of provision made by or
under any enactment (including this Act or any Act passed after this Act) as the Lord
Chancellor considers necessary or expedient.
63 The Board's designation under section 62(1)(a)
(1) This section applies in relation to an order under section 62(1)(a) (an order designating
the Board as an approved regulator).
(2) Subject to subsection (3), the order may designate the Board as an approved regulator
in relation to a reserved legal activity only where—
(a) a body's designation as an approved regulator in relation to the activity is
cancelled under section 45, or
(b) the activity becomes a reserved legal activity by virtue of an order under
section 24,
(3) Subsection (2) does not prevent the order having effect in advance of an event within
paragraph (a) or (b) of that subsection for the purpose of enabling the Board to
authorise persons to carry on activities which constitute the reserved legal activity in
question with effect from the occurrence of the event.
(4) The order must ensure that the Board, acting as an approved regulator, may make
regulatory arrangements or modify its regulatory arrangements only with the approval
of the Board (acting otherwise than in its capacity as an approved regulator or as a
licensing authority under Part 5).
64 Modification of the Board's functions under section 62(1)(b)
(1) This section applies in relation to an order under section 62(1)(b) (an order modifying
the functions of the Board).
(2) The order may include (among other things) provision conferring on the Board powers
to do any of the following—
(a) to authorise (otherwise than by the grant of a licence under Part 5) persons or
any category of persons (whether corporate or unincorporate) to carry on one
or more activities which are reserved legal activities in relation to which the
Board is designated as an approved regulator;
(b) to make qualification regulations;
(c) to make provision as to the educational, training and other requirements to be
met by regulated persons who are not relevant authorised persons;
(d) to make practice rules and conduct rules;
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a2 Legal Services Act 2007 (¢. 29)
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(e) to make disciplinary arrangements in relation to regulated persons (including
discipline rules);
(f) to make rules requiring the payment of fees specified in or determined in
accordance with the rules;
(g) to make indemnification arrangements;
(h) to make compensation arrangements;
(i) to make rules as to the treatment of money (including money held in trust)
which is received, held or dealt with for clients, or other persons, by regulated
persons, and as to the keeping by such persons of accounts in respect of such
money;
(j) to take steps for the purpose of ascertaining whether or not the provisions of
rules or regulations made, or any code or guidance issued, by the Board in
its capacity as an approved regulator are being complied with, and to make
rules requiring relevant authorised persons to produce documents and provide
information for that purpose;
(k) to delegate any of the functions exercisable by the Board in its capacity as an
approved regulator to such persons as it considers appropriate;
(1) to make regulations or rules providing for appeals to the High Court or another
body against decisions made by the Board in its capacity as an approved
regulator (including regulations or rules providing for a decision on such an
appeal to be final and for orders as to payment of costs).
(3) The order may—
(a) provide for any provision of Schedule 14 (licensing authority's powers of
intervention)—
(i) to apply in relation to the Board (in its capacity as an approved
regulator) and regulated persons as it applies in relation to a licensing
authority and licensed bodies (or managers or employees of such
bodies), or
(ii) to so apply with such modifications as are prescribed by the order, or
(b) make provision, in relation to the Board (in that capacity) and regulated
persons, corresponding to any of the provisions made, in relation to licensing
authorities and licensed bodies (or managers or employees of such bodies),
by that Schedule.
(4) For the purposes of giving effect to indemnification arrangements and compensation
arrangements, the order may authorise the Board to make rules—
(a) authorising or requiring the Board to establish and maintain a fund or funds;
(b) authorising or requiring the Board to take out and maintain insurance with
authorised insurers;
(c) requiring relevant authorised persons or relevant authorised persons of any
specific description to take out and maintain insurance with authorised
insurers.
(5) In this section—
“authorised insurer” means a person within any of the following
paragraphs—
(a) aperson who has permission under ["“’Part 4A] of the Financial Services
and Markets Act 2000 (c. 8) to effect or carry out contracts of insurance
of a relevant class;
(by **
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Legal Services Act 2007 (c. 29) 4B
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
() **
“regulated person” has the meaning given by section 21;
“relevant authorised person” means a person authorised by the Board (other
than by the grant of a licence under Part 5) to carry on one or more activities
which are reserved legal activities.
(6) For the purposes of this section—
(a) a contract of insurance is of a relevant class if it insures against a risk
arising from accident, credit, legal expenses, general liability to third parties,
sickness, suretyship or miscellaneous financial loss, and
(b) the definition of “authorised insurer” in subsection (5) must be read with
section 22 of the Financial Services and Markets Act 2000, and any relevant
order under that section, and with Schedule 2 to that Act.
Textual Amendments
F47 Words in s. 64(5) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Seh. 18
para. 125(2) (with Sch. 20); $.1. 2013/423, art. 3, Sch.
F48 Words in s. 64(5) omitted (31.12.2020) by virtue of The EEA Passport Rights (Amendment, etc., and
Transitional Provisions) (EU Exit) Regulations 2018 (8.1. 2018/1149), reg. 1(3), Sch. para. 39 (with
reg. 4); 2020 c. 1, Sch. 5 para. 1(1)
Modifications etc. (not altering text)
4S. 64(1)(2)(4)(5)(6) amendment to earlier commencing S.1. 2009/3250, art. 3(2) (30.9.2011) by The
Legal Services Act 2007 (Commencement No. 11, Transitory and Transitional Provisions and Related
Amendments) Order 2011 (S.I. 2011/2196), arts. 1(2), 5
Commencement Information
120 _ S. 64 partly in force; s. 64 not in force at Royal Assent see s. 211; s. 64(1)(2)(4)(5)(6) in force
at 1.1.2010 by S.1. 2009/3250, art. 2(¢)(i) (subject to art. 3(2) (as amended (30.9.2011) by S.L
2011/2196, arts. 1(2), 5) and with art. 9)
121 _ S. 64(3) in force at 1.10.2011 so far as not already in force by S.I. 2011/2196, art. 2(1)(b)
65 Cancellation of the Board's designation under section 62(1)(c)
(1) This section applies in relation to an order under section 62(1)(c) (cancellation of
Board's designation as an approved regulator).
(2) Where such an order is made, section 46 (other than subsection (4)(b)) and section 47
(transfer arrangements etc on cancellation of approved regulator's designation) apply
in relation to the Board and relevant authorised persons as they apply to an approved
regulator whose designation is cancelled under section 45 and persons authorised by
that approved regulator to carry on activities which are reserved legal activities.
(3) In this section “relevant authorised persons” has the same meaning as in section 64.
66 The Board's power to recommend orders made under section 62
(1) The Board may recommend to the Lord Chancellor that the Lord Chancellor make an
order under section 62 in the form of a drafi order prepared by the Board and annexed
to the recommendation.
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44 Legal Services Act 2007 (¢. 29)
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) Before making a recommendation under this section, the Board must give each of the
persons listed in subsection (3) a notice containing—
(a) acopy of the proposed recommendation,
(b) acopy of the proposed drafi order, and
(c) a statement specifying a period within which representations may be made
about the proposals.
(3) Those persons are—
(a) the Lord Chancellor,
(b) the [CMA ],
(c) the Consumer Panel,
(d) the Lord Chief Justice, and
(e) such other persons as the Board considers it reasonable to consult regarding
the proposals.
(4) The Board must publish a notice given under subsection (2).
(5) Before making the recommendation, the Board must have regard to any
representations duly made (whether by persons within subsection (3) or otherwise).
(6) If the draft order to be annexed to the recommendation differs from the draft contained
in the notice under subsection (2) in a way which is, in the opinion of the Board,
material, the Board must, before making the recommendation, publish the draft order
along with a statement detailing the changes made and the reasons for those changes.
Textual Amendments
F49_ Word in s. 66(3)(b) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (¢. 24), s
103(3), Sch. 6 para. 114; S.1. 2014/416, art. 2(1)(@) (with Sch.)
67 Effect of the Board's designation as an approved regulator
(1) The powers of the Board under sections 31 to 51 and 55 (regulatory powers in respect
of approved regulators) are not exercisable by it in relation to the Board in its capacity
as an approved regulator.
(2) In section 53 references to an approved regulator do not include the Board in its
capacity as an approved regulator.
(3) Sections 57 to 61 (reports by [CMA] etc) do not apply in relation to the Board in
its capacity as an approved regulator.
Textual Amendments
F50 Word in s. 67(3) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24),
103(3), Sch. 6 para. 115; S.1. 2014/416, art. 2(1)(d) (with Sch.)
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Legal Services Act 2007 (c. 29) 45
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
68
Regulatory conflict and the Board as approved regulator
(1) An approved regulator may make a request under subsection (4) if it considers that
the regulatory arrangements of the Board (in its capacity as an approved regulator) do
not make appropriate provision to prevent a conflict between—
(a) arequirement of those regulatory arrangements, and
(b) arequirement of the regulatory arrangements of the approved regulator.
(2) An affected person in relation to an approved regulator may request the approved
regulator to exercise its powers under subsection (1).
(3) An affected person in relation to the Board may make a request under subsection (4) if
the person considers that the regulatory arrangements of the Board (in its capacity as an
approved regulator) do not make appropriate provision to prevent a conflict between—
(a) arequirement of those regulatory arrangements, and
(b) a requirement of the regulatory arrangements of an approved regulator.
(4) The request is a request made to the Board (in its capacity as an approved regulator)
that it reconsider the provision made by its regulatory arrangements to prevent a
regulatory conflict with the conflicting regulator.
(5) An affected person in relation to the Board may make an application under
subsection (6) if the person considers that the regulatory arrangements of an approved
regulator do not make appropriate provision to prevent a conflict between—
(a) arequirement of those regulatory arrangements, and
(b) a requirement of the regulatory arrangements of the Board (in its capacity as
an approved regulator).
(6) The application is an application to the Board for it to exercise its powers under
section 32 to direct the approved regulator—
(a) to take steps to modify, in such manner as may be specified in the direction, the
provision made by its regulatory arrangements to prevent a regulatory conflict
with the Board (in its capacity as an approved regulator), or
(b) _ if its regulatory arrangements do not make any such provision, to make such
provision as may be specified in the direction to prevent such a conflict.
(7) An affected person in relation to an approved regulator (other than the Board) may
make a request under subsection (8) if the person considers that the regulatory
arrangements of the approved regulator do not make appropriate provision to prevent
a conflict between—
(a) arequirement of those regulatory arrangements, and
(b) a requirement of the regulatory arrangements of the Board (in its capacity as
an approved regulator).
(8) The request is a request to the approved regulator that it reconsider the provision made
by its regulatory arrangements to prevent a regulatory conflict with the Board.
(9) The Board (in its capacity as an approved regulator) and any other approved regulator
must consider any request made to it under this section.
(10) Subsections (5) to (8) of section 53 apply in relation to an application under
subsection (6) as they apply in relation to an application under that section, except
that—
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46 Legal Services Act 2007 (¢. 29)
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) _ references to the applicant regulator are to be read as references to the person
who made the application, and
(b) _ references to the conflicting regulator are to be construed in accordance with
this section.
(11) In this section—
“affected person” in relation to the Board or any other approved regulator,
means—
(a) any person authorised by the body to carry ona reserved legal activity, or
(b) an employee or manager of such a person;
“conflicting regulator” means—
(a) in a case within subsection (1), the approved regulator making the
request, and
(b) in a case within subsection (3) or (5), the approved regulator whose
regulatory arrangements are considered to conflict with those of the
Board.
Functions of approved regulators etc
69 Modification of the functions of approved regulators etc
(1) The Lord Chancellor may by order modify, or make other provision relating to, the
functions of an approved regulator or any other body (other than the Board).
(2) The Lord Chancellor may make an order under subsection (1) only if—
(a) the Board has made a recommendation under this section,
(b) a draft order was annexed to the recommendation, and
(c) the order is in the same form as, or a form not materially different from, that
draft order.
(3) The Board may make a recommendation under this section only with a view to an
order being made which enables the body to which it relates to do one or more of the
following—
(a) to become designated by an order under Part 2 of Schedule 4 as an approved
regulator, or designated by an order under Part 1 of Schedule 10 as a licensing
authority, in relation to one or more reserved legal activities;
(b) to authorise persons or any category of persons (whether corporate or
unincorporate) to carry on one or more activities which are reserved legal
activities in relation to which the body is (at the time the authorisation
has effect) designated as an approved regulator, or to make regulatory
arrangements;
(c) to carry out its role as an approved regulator (including its role, if any, as a
licensing authority) more effectively or efficiently;
(d) to become a qualifying regulator under Part I of Schedule 18;
(e) ifitis a designated qualifying regulator under section 86A of the Immigration
and Asylum Act 1999 (c. 33), to authorise persons to provide any additional
advice or services the provision of which amounts to the provision of
immigration advice or immigration services.
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Legal Services Act 2007 (c. 29) 47
Part 4— Regulation of approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) Subsections (2) (other than paragraph (a)), (3) and (4) of section 64 apply in relation
to an order under this section as they apply in relation to an order under section 62(1)
(b) in relation to the Board.
(5) An order under this section also may make provision in relation to—
(a) _ the provision of immigration advice or immigration services, and
(b) persons authorised to provide such advice and services by the body to which
the order relates,
corresponding to the provision which may be made by virtue of section 64(2) to (4) in
relation to reserved legal activities and persons authorised to carry on those activities.
(6) An order under this section may modify provisions made by or under any enactment
(including this Act or any Act passed after this Act), prerogative instrument or other
instrument or document.
(7) Any provision made by an order under this section may be expressed to be conditional
upon—
(a) the body to which the order relates being designated by an order under Part
2 of Schedule 4 as an approved regulator, or by an order under Part 1 of.
Schedule 10 as a licensing authority, in relation to one or more reserved legal
activities specified in the proposed draft order, or
(b) the body to which the order relates becoming a designated qualifying regulator
under section 86A of the Immigration and Asylum Act 1999 (c. 33).
(8) The powers to make an order conferred by this section are without prejudice to any
powers (statutory or non-statutory) which an approved regulator or other body may
have apart from this section.
Modifications etc. (not altering text)
CSS. 69 modified (temp.) (7.3.2008) by The Legal Services Act 2007 (Commencement No.1 and
Transitory Provisions) Order 2008 (S.1. 2008/222), art. 4
70 Procedural requirements relating to recommendations under section 69
(1) A recommendation may be made under section 69 only with the consent of the
approved regulator or other body to which the recommendation relates.
(2) Before making a recommendation under that section, the Board must publish a draft
of—
(a) the proposed recommendation, and
(b) _ the proposed draft order.
(3) The draft must be accompanied by a notice which states that representations about the
proposals may be made to the Board within a specified period.
(4) Before making the recommendation, the Board must have regard to any
representations duly made.
(5) If the draft order to be annexed to the recommendation differs from the drafi published
under subsection (2)(b) in a way which is, in the opinion of the Board, material, the
Board must, before making the recommendation, publish the draft order along with a
statement detailing the changes made and the reasons for those changes.
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48 Legal Services Act 2007 (¢. 29)
Part 5 — Alternative business structures
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Modifications etc. (not altering text)
C6 S. 70 modified (temp.) (7.3.2008) by The Legal Services Act 2007 (Commencement No.1 and
Transitory Provisions) Order 2008 (S.1. 2008/222), art. 5
PARTS
ALTERNATIVE BUSINESS STRUCTURES,
Introductory
wil Carrying on of activities by licensed bodies
(1) The provisions of this Part have effect for the purpose of regulating the carrying on of
reserved legal activities and other activities by licensed bodies.
(2) In this Act “licensed body” means a body which holds a licence in force under this Part.
Commencement Information
122 S. 71 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(e)
nT “Licensable body”
(1) A body (“B”) is a licensable body if a non-authorised person—
(a) is a manager of B, or
(b) _ has an interest in B.
(2) A body (“B”) is also a licensable body if—
(a) another body (“A”) is a manager of B, or has an interest in B, and
(b) non-authorised persons are entitled to exercise, or control the exercise of, at
least 10% of the voting rights in A.
(3) For the purposes of this Act, a person has an interest in a body if—
(a) the person holds shares in the body, or
(b) the person is entitled to exercise, or control the exercise of, voting rights in
the body.
(4) A body may be licensable by virtue of both subsection (1) and subsection (2).
(5) For the purposes of this Act, a non-authorised person has an indirect interest in a
licensable body if the body is licensable by virtue of subsection (2) and the non-
authorised person is entitled to exercise, or control the exercise of, voting rights in A.
(6) In this Act “shares” means—
(a) in relation to a body with a share capital, allotted shares (within the meaning
of the Companies Acts);
(b) in relation to a body with capital but no share capital, rights to share in the
capital of the body;
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Legal Services Act 2007 (c. 29) 49
Part 5 — Alternative business structures
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(c) in relation to a body without capital, interests—
(i) conferring any right to share in the profits, or liability to contribute
to the losses, of the body, or
(ii) giving rise to an obligation to contribute to the debts or expenses of
the body in the event of a winding up;
and references to the holding of shares, or to a shareholding, are to be construed
accordingly.
Commencement Information
123 S. 72 partly in force: s. 72 not in fore:
31.3.2009 by S.1. 2009/503, art. 3
124 §. 72 in force at 1.10.2011 in so far as not already in force by S.I. 2011/2196, art. 2(1)(c)
at Royal Assent see s. 211; s. 72 in force for certain purposes at
Licensing authorities
73 Licensing authorities and relevant licensing authorities
(1) In this Act “licensing authority” means—
(a) the Board, or
(b) an approved regulator which is designated as a licensing authority under Part
1 of Schedule 10 and whose licensing rules are approved for the purposes of
this Act.
(2) For the purposes of this Act—
(a) the Board is a licensing authority in relation to all reserved legal activities, and
(b) an approved regulator within subsection (1)(b) is a licensing authority in
relation to any reserved legal activity in relation to which the designation is
made.
(3) The Board—
(a) may delegate any of its functions as a licensing authority to such persons as
it considers appropriate;
(b) must take such steps as are necessary to ensure an appropriate financial and
organisational separation between the activities of the Board that relate to the
carrying out of its functions as a licensing authority and the other activities
of the Board.
(4) In this Part “relevant licensing authority”—
(a) in relation to a licensed body, means the licensing authority by which the
licensed body is authorised to carry on an activity which is a reserved legal
activity;
(b) inrelation to an applicant for a licence, means the licensing authority to which
the application is made.
Commencement Information
125 S. 73 partly in force; s. 73 not in fore
at 7.3.2008 by S.1. 2008/222, art. 3
126 _ S. 73(1)(b) in force at 1.10.2011 in so far as not already in force by S.1. 2011/2196, art. 2(1)(e)
at Royal Assent see s. 211; s. 73(1) in force for certain purposes
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50 Legal Services Act 2007 (¢. 29)
Part 5 — Alternative business structures
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
127 8. 73(2)(b)(4) in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)()
74 Designation of approved regulator as licensing authority
Part 1 of Schedule 10 makes provision for approved regulators to be designated, by
order, as licensing authorities in relation to one or more reserved legal activities.
7B Automatic cancellation of designation as licensing authority
(1) This section applies where a body is designated—
(a) as an approved regulator in relation to a reserved legal activity (“the activity”),
and
(b) asa licensing authority in relation to the activity.
(2) If the Lord Chancellor makes an order under section 45 cancelling the body's
designation as an approved regulator in relation to the activity, the body's designation
as a licensing authority in relation to the activity is also cancelled.
(3) The cancellation takes effect at the same time as cancellation of the body's designation
as an approved regulator.
Commencement Information
128 _ S. 75 in force at 28.2010 by S.1. 2010/1118, art. 2(a)
76 Cancellation of designation as licensing authority by order
(1) The Lord Chancellor may by order cancel an approved regulator's designation as a
licensing authority—
(a) in relation to all the reserved legal activities in relation to which it is
designated, or
(b) in relation to one or more, but not all, of those reserved legal activities,
with effect from a date specified in the order.
(2) But the Lord Chancellor may only make an order under subsection (1) in accordance
with a recommendation made by the Board under subsection (3) or (5).
(3) The Board must recommend that an order is made cancelling an approved regulator's
designation as a licensing authority in relation to one or more reserved legal activities,
if—
(a) the approved regulator applies to the Board for such a recommendation to be
made,
(b) _ the application is made in such form and manner as may be prescribed by rules
made by the Board, and is accompanied by the prescribed fee, and
(c) the approved regulator publishes a notice giving details of the application in
accordance with such requirements as may be specified in rules made by the
Board.
(4) In this section “the prescribed fee”, in relation to an application, means the fee
specified in or determined in accordance with rules made by the Board, with the
consent of the Lord Chancellor.
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Legal Services Act 2007 (c. 29) 51
Part 5 — Alternative business structures
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(5) The Board may recommend that an order is made cancelling an approved regulator's
designation as a licensing authority in relation to one or more reserved legal activities
if it is satisfied—
(a) that an act or omission of the licensing authority (or a series of such acts or
omissions) has had, or is likely to have, an adverse impact on one or more of
the regulatory objectives, and
(b) _ that it is appropriate to cancel the approved regulator's designation in relation
to the activity or activities in question in all the circumstances of the case
(including in particular the impact of cancelling the designation on the other
regulatory objectives).
(6) The Board may not determine that it is appropriate to cancel an approved regulator's
designation as a licensing authority in relation to an activity or activities unless it is
satisfied that the matter cannot be adequately addressed by the Board exercising the
powers available to it under sections 31 to 43.
(7) Part 2 of Schedule 10 makes further provision about the making of recommendations
under subsection (5).
(8) If the Lord Chancellor decides not to make an order in response to a recommendation
made under subsection (3) or (5), the Lord Chancellor must give the Board notice of
the decision and the reasons for it.
(9) The Lord Chancellor must publish a notice given under subsection (8).
Commencement Information
129 S. 76 partly in force; s. 76 not in force at Royal Assent see s. 211; s. 76(3)(b)(c)(4)(7) in force at
1.1.2009 by S.I. 2008/3149, art. 2(d)(i)
130 S. 76(1)(2)(3)(a)(5)(6)(8)(9) in force at 2.8.2010 by S.1. 2010/1118, art. 2(a)
77 Cancellation of designation: further provision
(1) This section applies where an approved regulator (“the former authority”) has its
designation as a licensing authority in relation to one or more reserved legal activities
cancelled—
(a) _ by virtue of section 75, or
(b) _ by an order under section 76.
(2) The Lord Chancellor may by order make—
(a) such modifications of provisions made by or under any enactment (including
this Act or any enactment passed after this Act), prerogative instrument or
other instrument or document, and
(b) such transitional or consequential provision,
as the Lord Chancellor considers necessary or expedient in consequence of the
cancellation.
(3) The Lord Chancellor may, by order, make transfer arrangements.
(4) “Transfer arrangements” are arrangements in accordance with which each consenting
licensed body is, from the time the cancellation takes effect, treated as being authorised
to carry on each protected activity by virtue of a licence issued under this Part by a
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52 Legal Services Act 2007 (¢. 29)
Part 5 — Alternative business structures
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
licensing authority, in relation to the protected activity, which consents to the transfer
arrangements.
(5) “Consenting licensed body” means a licensed body authorised by the former authority
which consents to the transfer arrangements.
(6) The transfer arrangements—
(a) must make such provision as is necessary to ensure that, where a licensed
body is treated under those arrangements as being authorised to carry on a
protected activity by the new authority, that licensed body is subject to the
licensing rules of the new authority;
(b) may make provision requiring amounts held by the former authority which
represent amounts paid to it by way of licensing fees by the consenting
licensed bodies (or a part of the amounts so held) to be paid to the new
authority and treated as if they were amounts paid by those licensed bodies
by way of licensing fees to the new authority.
(7) Subsection (6)(a) is subject to any transitional provision which may be made by the
transfer arrangements, including provision modifying the licensing rules of the new
authority as they apply to the bodies to whom the transfer arrangements apply.
(8) The Lord Chancellor may make an order under this section only if—
(a) the Board has made a recommendation in accordance with section 78, and
(b) _ the order is in the same form as, or in a form which is not materially different
from, the draft order annexed to that recommendation.
(9) For the purposes of this section—
(a) alicensed body is “authorised by the former authority” if immediately before
the time the cancellation takes effect the body is, by virtue of a licence under
this Part, authorised by the former authority to carry on an activity which is a
reserved legal activity to which the cancellation relates, and
(b) in relation to that body—
(i) the activity which the body is authorised to carry on as mentioned in
paragraph (a) is a “protected activity”, and
(ii) “the new authority” means the licensing authority by which (in
accordance with transfer arrangements under subsection (4)) the body
is treated as authorised to carry on a protected activity.
(10) In this section “licensing fee”, in relation to a licensing authority, means a fee payable
by a licensed body under the authority's licensing rules made in accordance with
paragraph 21 of Schedule 11.
Commencement Information
131 S. 77 in force at 2.8.2010 by S.1. 2010/1118, art. 2(a)
78 The Board's power to recommend orders made under section 77
(1) The Board may recommend to the Lord Chancellor that the Lord Chancellor make an
order under section 77 in the form of a drafi order prepared by the Board and annexed
to the recommendation.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) Before making a recommendation under this section, the Board must publish a draft
of—
(a) the proposed recommendation, and
(b) _ the proposed draft order.
(3) The draft must be accompanied by a notice which states that representations about the
proposals may be made to the Board within a specified period.
(4) Before making the recommendation, the Board must have regard to any
representations duly made.
(5) If the draft order to be annexed to the recommendation differs from the draft published
under subsection (2)(b) in a way which is, in the opinion of the Board, material, the
Board must, before making the recommendation, publish the draft order along with a
statement detailing the changes made and the reasons for those changes.
Commencement Information
132 S. 78 in force at 2.8.2010 by S.I. 2010/1118, art. 2(a)
79 Cancellation of designation: powers of entry etc
(1) This section applies where an approved regulator (“the former authority”) has its
designation in relation to one or more reserved legal activities cancelled by by virtue
of section 75 or an order under section 76.
(2) The Board may request the former authority to provide assistance to the new authority
and the Board, for the purpose of continuing regulation.
(3) On an application by a person appointed by the Board to act on its behalf, a judge of
the High Court, Circuit judge or justice of the peace may issue a warrant authorising
that person to—
(a) enter and search the premises of the former authority, and
(b) _ take possession of any written or electronic records found on the premises.
(4) A person so authorised may, for the purpose of continuing regulation, take copies of
written or electronic records found on a search carried out by virtue of the warrant.
(5) The judge or justice of the peace may not issue the warrant unless satisfied that its
issue is necessary or desirable for the purpose of continuing regulation.
(6) The Lord Chancellor must make regulations—
(a) specifying further matters which a judge or justice of the peace must be
satisfied of, or matters which a judge or justice of the peace must have regard
to, before issuing a warrant, and
(b) regulating the exercise of a power conferred by a warrant issued under
subsection (3) or by subsection (4) (whether by restricting the circumstances
in which a power may be exercised, by specifying conditions to be complied
with in the exercise of a power, or otherwise).
(7) Regulations under subsection (6)(b) must in particular make provision as to
circumstances in which written or electronic records of which a person has taken
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
possession by virtue of a warrant issued under subsection (3) may be copied or must
be returned.
(8) But the Lord Chancellor may not make regulations under subsection (6) unless—
(a) _ they are made in accordance with a recommendation made by the Board, or
(b) the Lord Chancellor has consulted the Board about the making of the
regulations.
(9) The Board must make rules as to the persons it may appoint for the purposes of
subsection (3).
(10) For the purposes of this section—
“authorised by the former authority”, “protected activity” and “new
authority” have the same meaning as for the purposes of section 77;
“the purpose of continuing regulation” means the purpose of enabling
bodies authorised by the former authority to continue to be authorised and
regulated in relation to the protected activity.
Commencement Information
133 _S. 79 partly in force; s. 79 not in force at Royal Assent see s. 211; s. 79(6)-(10) in force at 1.1.2009 by
S.L 2008/3149, art. 2(4)(i)
134 _ S. 79(1)-(5) in force at 2.8,2010 by S.L. 2010/1118, art. 2a)
Appeals
80 Functions of appellate bodies
(1) The Lord Chancellor may by order—
(a) establish a body to hear and determine appeals from decisions, made by a
person specified in the order in the person's capacity as a licensing authority,
which are appealable under this Part or licensing rules made by the person;
(b) modify, or make any other provision relating to, the functions of a body within
subsection (2) or any other body, for the purpose of enabling the body to hear
and determine appeals from such decisions.
(2) The bodies mentioned in subsection (1)(b) are—
(a) the Solicitors Disciplinary Tribunal;
(b) _ the Discipline and Appeals Committee established by the Council of Licensed
Conveyancers under section 25 of the Administration of Justice Act 1985
(c. 61).
(3) The Lord Chancellor may make an order under subsection (1) only if—
(a) the Board has made a recommendation in accordance with section 81,
(b) a draft order was annexed to the recommendation, and
(c) the order is in the same form as, or not materially different from, that draft
order.
(4) An order under this section may—
(a) make provision as to the payment of fees, and award of costs, in relation to
such appeals;
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) modify provisions made by or under any enactment (including this Act or
any Act passed after this Act), prerogative instrument or other instrument or
document.
(5) Any provision made by an order under this section may be expressed to be conditional
upon the person specified in the order being designated by an order under Part 1 of
Schedule 10 as a licensing authority in relation to one or more reserved legal activities.
(6) The powers to make an order conferred by this section are without prejudice to any
powers (statutory or non-statutory) which a body may have apart from this section.
Commencement Information
135 _ S. 80 in force at 30.11.2010 by S.1. 2010/2842, art. 2
81 Procedural requirements relating to recommendations under section 80
(1) A recommendation may be made under section 80 only with the consent of—
(a) the person from whose decisions the appeals are to be made, and
(b) where the recommendation is for an order under section 80(1)(b), the body to
which appeals are to be made.
(2) Before making a recommendation under that section, the Board must publish a draft
of—
(a) the proposed recommendation, and
(b) _ the proposed draft order.
(3) The draft must be accompanied by a notice which states that representations about the
proposals may be made to the Board within a specified period.
(4) Before making any recommendation, the Board must have regard to any
representations duly made.
(5) If the draft order to be annexed to the recommendation differs from the draft published
under subsection (2)(b) in a way which is, in the opinion of the Board, material, the
Board must, before making the recommendation, publish the draft order along with a
statement detailing the changes made and the reasons for those changes.
Commencement Information
136 _S. 81 in force at 30.11.2010 by S.1. 2010/2842, art. 2
Policy statement
82 Licensing authority policy statement
(1) Each licensing authority must prepare and issue a statement of policy as to how,
in exercising its functions under this Part, it will comply with the requirements of
section 28 (or, in the case of the Board, section 3) (duties to promote regulatory
objectives etc).
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56 Legal Services Act 2007 (¢. 29)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) A licensing authority may issue a statement under subsection (1) only with the
approval of the Board (acting otherwise than in its capacity as a licensing authority
or as an approved regulator).
(3) A licensing authority may, with the approval of the Board (acting otherwise than in
its capacity as a licensing authority or as an approved regulator), alter or replace a
statement issued under this section.
(4) If it does so, it must issue the altered or replacement statement.
(5) In exercising its functions under this Part, a licensing authority must have regard to
the statement issued by it under this section.
(6) A licensing authority must publish a statement issued by it under this section.
Commencement Information
137 S. 82 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(c) (with art. 4)
Licensing rules
83 Licensing rules
(1) The Board (acting in its capacity as a licensing authority)—
(a) must make suitable licensing rules before the end of the period of 12 months
beginning with the day on which a licensable body first becomes entitled to
make an application to it for a licence by virtue of a decision of the Board
(acting otherwise than in its capacity as a licensing authority or as an approved
regulator) under Schedule 12;
(b) may make or modify its licensing rules only with the approval of the Board
(acting otherwise than in its capacity as a licensing authority or as an approved
regulator).
(2) In subsection (1)(a), “suitable licensing rules” means licensing rules which constitute
suitable regulatory arrangements (within the meaning of Schedule 12) in respect of
licensable bodies entitled by virtue of a decision under that Schedule to make an
application to the Board for a licence.
(3) Licensing rules made by an approved regulator have effect only at a time when the
approved regulator is a licensing authority (subject to any provision made by an order
under section 25).
(4) Licensing rules of a licensing authority are rules as to—
(a) _ the licensing by the authority of licensable bodies, and
(b) _ the regulation by the licensing authority of licensable bodies licensed by it,
and their managers and employees.
(5) Licensing rules of a licensing authority must contain—
(a) appropriate qualification regulations in respect of licensable bodies to which
the licensing authority proposes to issue licences under this Part,
(b) provision as to how the licensing authority, when considering the regulatory
objectives (in compliance with its duties under section 3(2) or 28(2)) in
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
connection with an application for a licence, should take account of the
objective of improving access to justice,
(c) appropriate arrangements (including conduct rules, discipline rules and
practice rules) under which the licensing authority will be able to regulate the
conduct of bodies licensed by it, and their managers and employees,
(d) appropriate indemnification arrangements,
(ec) appropriate compensation arrangements,
(f) _ the provision required by sections 52 and 54 (resolution of regulatory conflict)
(including those provisions as applied by section 103),
(g) the provision required by sections 112 and 145 (requirements imposed in
relation to the handling of complaints), and
(h) any other provision required to be contained in licensing rules by this Act.
(6) Without prejudice to the generality of subsection (4), licensing rules of a licensing
authority may contain any provision authorised by this Act.
(7) Schedule 11 makes further provision as to the contents of licensing rules.
(8) Subsections (5) to (7) are subject to—
(a) section 105 (which exempts trade unions from certain provisions), and
(b) section 106 (which provides for the modification of licensing rules in their
application to bodies to which that section applies).
(9) Licensing rules may not apply to bodies to which section 106 applies in a way which
is different from the way they apply to other bodies, except by virtue of an order under
that section.
Commencement Information
138 S. 83(3)-(7) in force at 2.8.2010 by S.1. 2010/1118, art. 2(a)
Licensing
84 Application for licence
(1) A licensing authority other than the Board must determine any application for a licence
which is made to it.
(2) The Board (acting in its capacity as a licensing authority) may determine an application
for a licence which is made to it only if the applicant is entitled to make the application
by virtue of a decision of the Board (acting otherwise than in its capacity as a licensing
authority) under Schedule 12.
(3) A licensing authority may not grant an application for a licence unless it is satisfied
that if the licence is granted the applicant will comply with its licensing rules.
(4) If the licensing authority grants an application for a licence, it must issue the licence
as soon as reasonably practicable.
(5) The licence has effect from the date on which it is issued.
(6) References in this section to an application for a licence are to an application for a
licence which is—
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) made to a licensing authority by a licensable body, in accordance with the
authority's licensing rules, and
(b) accompanied by the required application fee (if any).
Commencement Information
139 S. 84 partly in force; s. 84 not in force at Royal Assent see s. 211; s. 84(2) in force at 1.1.2009 by S.L
2008/3149, art. 2(d)(i)
140 S. 84(1)(3)-(6) in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(c) (with arts. 3, 4)
85 Terms of licence
(1) A licence issued under section 84 must specify—
(a) the activities which are reserved legal activities and which the licensed body
is authorised to carry on by virtue of the licence, and
(b) any conditions subject to which the licence is granted.
(2) Ifan order under section 106 has been made in relation to the licensed body, the licence
must also specify the terms of the order.
(3) In the case of a licensing authority other than the Board, the licence may authorise
the licensed body to carry on activities which are reserved legal activities only if the
licensing authority is designated in relation to the reserved legal activities in question.
(4) A licence must be granted subject to the condition that—
(a) any obligation which may from time to time be imposed on the licensed body
or a person within subsection (5) by or under the licensing authority's licensing
tules is complied with, and
(b) any other obligations imposed on the licensed body or a person within that
subsection by or under this or any other enactment (whether passed before or
after this Act) are complied with.
(5) The persons mentioned in subsection (4) are the managers and employees of a licensed
body, and non-authorised persons having an interest or an indirect interest, or holding
a material interest, in the licensed body (in their capacity as such).
(6) A licence may be granted subject to such other conditions as the licensing authority
considers appropriate.
(7) Those conditions may include conditions as to the non-reserved activities which the
licensed body may or may not carry on.
(8) In this Part references to the terms of the licence are to the matters listed in subsections
(1) and (2).
Commencement Information
T41 __ S. 85 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(c) (with art. 4)
86 Modification of licence
(1) A licensing authority may modify the terms of a licence granted by it—
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) if the licensed body applies to the licensing authority, in accordance with its
licensing rules, for it to do so;
(b) in such other circumstances as may be specified in its licensing rules.
(2) Ifa licensed body is a body to which section 106 applies, the licensing authority may
modify the terms of its licence in accordance with sections 106 and 107.
(3) A licensing authority modifies the terms of a licensed body's licence by giving the
licensed body notice in writing of the modifications; and the modifications have effect
from the time the licensing authority gives the licensed body the notice or such later
time as may be specified in the notice.
(4) The licensing authority's power under this section is subject to—
(a) section 85(3) and (4), and
(b) licensing rules made under paragraph 6 of Schedule 11.
Commencement Information
142 S. 86(1)(3)(4) in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(¢)
87 Registers of licensed bodies
(1) Each licensing authority must keep a register containing the names and places of
business of all bodies which hold or have held licences granted by the licensing
authority.
(2) Where any licence held by a body is for the time being suspended, the licensing
authority shall cause that fact to be noted in the register in the entry for that body.
(3) A licensing authority must provide facilities for making the information contained in
the entries in its register available for inspection by any person during office hours
and without payment.
(4) The Board may make rules about—
(a) _ the register to be kept by the Board under this section, and
(b) _ the register to be kept under this section by each licensing authority designated
under Part 1 of Schedule 10.
(5) Rules under subsection (4) may in particular prescribe any further information which
must be contained in an entry in the register in relation to a licensed body or former
licensed body.
Commencement Information
143 S. 87 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(c)
88 Evidence of status
(1) A certificate signed by an officer of a licensing authority appointed for the purpose
and stating one of the matters within subsection (2) is, unless the contrary is proved,
evidence of the facts stated in the certificate.
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60 Legal Services Act 2007 (¢. 29)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) The matters are that any person does or does not, or did or did not at any time, hold a
licence granted by the licensing authority under this Part.
(3) A certificate purporting to be so signed is to be taken to have been so signed unless
the contrary is proved.
Commencement Information
144 S. 88 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(€)
Ownership of licensed bodies
89 Ownership of licensed bodies
Schedule 13 makes provision about the holding of certain interests in licensed bodies
by non-authorised persons.
Regulation of licensed bodies
90 Duties of non-authorised persons
A non-authorised person who is an employee or manager of a licensed body, or has
an interest or an indirect interest, or holds a material interest, in a licensed body, must
not do anything which causes or substantially contributes to a breach by—
(a) _ the licensed body, or
(b) an employee or manager of the licensed body who is an authorised person in
relation to an activity which is a reserved legal activity,
of the duties imposed on them by section 176.
Commencement Information
145 _—S. 90 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(c)
91 Duties of Head of Legal Practice
(1) The Head of Legal Practice of a licensed body must—
(a) _ take all reasonable steps to ensure compliance with the terms of the licensed
body's licence, and
(b) as soon as reasonably practicable, report to the licensing authority any failure
to comply with the terms of the licence.
(2) Subsection (1) does not apply to the terms of the licence so far as they require
compliance with licensing rules made under paragraph 20 of Schedule 11 (accounts)
(as to which see section 92).
(3) The Head of Legal Practice of a licensed body must—
(a) take all reasonable steps to ensure that the licensed body, and any of its
employees or managers who are authorised persons in relation to an activity
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
which is a reserved legal activity, comply with the duties imposed by
section 176, and
(b) as soon as reasonably practicable, report to the licensing authority such
failures by those persons to comply with those duties as may be specified in
licensing rules.
(4) The Head of Legal Practice of a licensed body must—
(a) _ take all reasonable steps to ensure that non-authorised persons subject to the
duty imposed by section 90 in relation to the licensed body comply with that
duty, and
(b) as soonas reasonably practicable, report to the licensing authority any failure
by a non-authorised person to comply with that duty.
Commencement Information
146 8S. 91 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(c)
92 Duties of Head of Finance and Administration
(1) The Head of Finance and Administration of a licensed body must take all reasonable
steps to ensure compliance with licensing rules made under paragraph 20 of
Schedule 11 (accounts).
(2) The Head of Finance and Administration must report any breach of those rules to the
licensing authority as soon as reasonably practicable.
Commencement Information
147 S. 92 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(€)
93 Information
(1) The relevant licensing authority in relation to a licensed body may by notice require
a person within subsection (2)—
(a) to provide information, or information of a description, specified in the notice,
or
(b) produce documents, or documents of a description, specified in the notice,
for the purpose of enabling the licensing authority to ascertain whether the terms of
the licensed body's licence are being, or have been, complied with.
(2) The persons are—
(a) the licensed body;
(b) any manager or employee (or former manager or employee) of the licensed
body;
(c) any non-authorised person who has an interest or an indirect interest, or holds
a material interest, in the licensed body.
(3) A notice under subsection (1)—
(a) may specify the manner and form in which any information is to be provided;
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io) Legal Services Act 2007 (¢. 29)
Part 5 — Alternative business structures
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) must specify the period within which the information is to be provided or the
document produced;
(c) may require the information to be provided, or the document to be produced,
to the licensing authority or to a person specified in the notice.
(4) The licensing authority may, by notice, require a person within subsection (2) (or a
representative of such a person) to attend at a time and place specified in the notice
to provide an explanation of any information provided or document produced under
this section.
(5) The licensing authority may pay to any person such reasonable costs as may be
incurred by that person in connection with—
(a) the provision of any information, or production of any document, by that
person pursuant to a notice under subsection (1), or
(b) _ that person's compliance with a requirement imposed under subsection (4).
(6) The licensing authority, or a person specified under subsection (3)(c) in a notice,
may take copies of or extracts from a document produced pursuant to a notice under
subsection (1).
(7) For the purposes of this section and section 94, references to a licensed body include
a body which was, but is no longer, a licensed body.
Commencement Information
148 ~~ S. 93 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(c)
94 Enforcement of notices under section 93
(1) Where a person is unable to comply with a notice given to the person under section 93,
the person must give the licensing authority a notice to that effect stating the reasons
why the person cannot comply.
(2) If a person refuses or otherwise fails to comply with a notice under section 93, the
licensing authority may apply to the High Court for an order requiring the person to
comply with the notice or with such directions for the like purpose as may be contained
in the order.
Commencement Information
149 S. 94 in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)()
95 Financial penalties
(1) A licensing authority may, in accordance with its licensing rules, impose on a licensed
body, or a manager or employee of a licensed body, a penalty of such amount as it
considers appropriate.
(2) The amount must not exceed the maximum amount prescribed under subsection (3).
(3) The Board must make rules prescribing the maximum amount of a penalty which may
be imposed under this section.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) Rules may be made under subsection (3) only with the consent of the Lord Chancellor.
(5) A penalty under this section is payable to the licensing authority.
(6) For the purposes of this section—
(a) references to a licensed body are to a body which was a licensed body at the
time the act or omission in respect of which the penalty is imposed occurred,
and
(b) references to a manager or employee of a licensed body are to a person who
was a manager or employee of a licensed body at that time,
(whether or not the body subsequently ceased to be a licensed body or the person
subsequently ceased to be a manager or employee).
(7) In sections 96 and 97 references to a “penalty” are to a penalty under this section.
Commencement Information
150 S. 95 partly in force; s. 95 not in force at Royal Assent see s. 211; s. 95(3)(4) in force at 1.1.2009 by
S.1 2008/3149, art. 2(4)(i)
151 S. 95(1)(2)(5)-(7) in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(c)
96 Appeals against financial penalties
(1) A person on whom a penalty is imposed under section 95 may, before the end of
such period as may be prescribed by rules made by the Board, appeal to the relevant
appellate body on one or more of the appeal grounds.
(2) The appeal grounds are—
(a) that the imposition of the penalty is unreasonable in all the circumstances of
the case;
(b) that the amount of the penalty is unreasonable;
(c) that it is unreasonable of the licensing authority to require the penalty imposed
or any portion of it to be paid by the time or times by which it was required
to be paid.
(3) On any such appeal, where the relevant appellate body considers it appropriate to do
so in all the circumstances of the case and is satisfied of one or more of the appeal
grounds, that body may—
(a) quash the penalty,
(b) substitute a penalty of such lesser amount as it considers appropriate, or
(c) _ im the case of the appeal ground in subsection (2)(c), substitute for any time
imposed by the licensing authority a different time or times.
(4) Where the relevant appellate body substitutes a penalty of a lesser amount it may
require the payment of interest on the substituted penalty at such rate, and from such
time, as it considers just and equitable.
(5) Where the relevant appellate body specifies as a time by which the penalty, or a portion
of the penalty, is to be paid a time before the determination of the appeal under this
section it may require the payment of interest on the penalty, or portion, from that time
at such rate as it considers just and equitable.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(6) A party to the appeal may appeal to the High Court on a point of law arising from the
decision of the relevant appellate body, but only with the permission of the High Court.
(7) The High Court may make such order as it thinks fit.
(8) Except as provided by this section, the validity of a penalty is not to be questioned by
any legal proceedings whatever.
Modifications etc. (not altering text)
C7 S. 96 modified (with effect in accordance with art. 2 of the amending S.L.) by Legal Services Act 2007
(Appeals from Licensing Authority Decisions) Order 2011 (S.1. 2011/1712), arts. 2(1), 5, Sch. para. 1
C8 — S. 96 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing Authority
Decisions) (Chartered Institute of Patent Attorneys and Institute of Trade Mark Attorneys) Order 2014
(S.L. 2014/1897), art. 2(1), Sch. para. 1 (with art. 2(2))
9S. 96 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing Authority
Decisions) (Institute of Chartered Accountants in England and Wales) Order 2014 (S.L. 2014/1898),
art. 2, Sch. para. 1
C10 S. 96 modified (1.10.2018) by The Legal Services Act 2007 (Appeals from Licensing Authority
Decisions) (General Council of the Bar) Order 2018 (S.1. 2018/457), art. 1, Sch. para. 1
Cll S. 96 modified (6.4.2020) by The Legal Services Act 2007 (Chartered Institute of Legal Executives)
(Appeals from Licensing Authority Decisions) Order 2020 (S.1. 2020/301), art. 1, Sch. para. 1
Commencement Information
152 _ S. 96 partly in force; s. 96 not in force at Royal Assent see s. 211; s. 96(1) in force at 1.1.2009 by S.1.
2008/3149, art. 2(4)(i)
153, 96(2)-(8) in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(c)
97 Recovery of financial penalties
(1) If the whole or any part of a penalty is not paid by the time by which, in accordance
with licensing rules, it is required to be paid, the unpaid balance from time to time
carries interest at the rate for the time being specified in section 17 of the Judgments
Act 1838 (c. 110).
(2) Where a penalty, or any portion of it, has not been paid by the time by which, in
accordance with licensing rules, it is required to be paid and—
(a) no appeal relating to the penalty has been made under section 96 during the
period within which such an appeal can be made, or
(b) an appeal has been made under that section and determined or withdrawn,
the licensing authority may recover from the person on whom the penalty was
imposed, as a debt due to the licensing authority, any of the penalty and any interest
which has not been paid.
(3) A licensing authority must pay into the Consolidated Fund any sum received by it as
a penalty (or as interest on a penalty).
Commencement Information
154 S, 97 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(€)
Legal Services Act 2007 (c. 29) 65
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
98 Referral of employees etc to appropriate regulator
(1) The relevant licensing authority may refer to an appropriate regulator any matter
relating to the conduct of—
(a) an employee or manager of a licensed body;
(b) a person designated as a licensed body's Head of Legal Practice or Head of
Finance and Administration.
(2) The licensing authority may also refer any matter relating to the conduct of such a
person to the Board.
(3) Appropriate regulators are—
(a) if the person is an authorised person in relation to a reserved legal activity,
any relevant approved regulator in relation to that person, and
(b) if the person carries on non-reserved activities, any person who exercises
regulatory functions in relation to the carrying on of such activities by the
person.
Commencement Information
155 _ S, 98 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(e)
99 Disqualification
(1) A licensing authority may in accordance with its licensing rules disqualify a person
from one or more of the activities mentioned in subsection (2) if—
(a) the disqualification condition is satisfied in relation to the person, and
(b) the licensing authority is satisfied that it is undesirable for the person to engage
in that activity or those activities.
(2) The activities are—
(a) acting as Head of Legal Practice of any licensed body,
(b) acting as Head of Finance and Administration of any licensed body,
(c) being a manager of any licensed body, or
(d) being employed by any licensed body.
(3) The disqualification condition is satisfied in relation to a person if, in relation to a
licensed body licensed by the licensing authority, the person (intentionally or through
neglect)—
(a) breaches a relevant duty to which the person is subject, or
(b) causes, or substantially contributes to, a significant breach of the terms of the
licensed body's licence.
(4) The relevant duties are—
(a) the duties imposed on a Head of Legal Practice by section 91,
(b) the duties imposed on a Head of Finance and Administration by section 92,
(c) the duties imposed by section 176 on regulated persons (within the meaning
of that section), and
(d) the duty imposed on non-authorised persons by section 90.
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66 Legal Services Act 2007 (¢. 29)
Part 5 — Alternative business structures
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
156 S. 99 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(e)
100 _Lists of disqualified persons
(1) The Board must keep lists of persons who are disqualified from—
(a) acting as Head of Legal Practice of any licensed body,
(b) acting as Head of Finance and Administration of any licensed body,
(c) being a manager of any licensed body, or
(d) being employed by any licensed body.
(2) A person is disqualified from acting in a way mentioned in subsection (1) if—
(a) _ the person has been disqualified from so acting by a licensing authority under
section 99, and
(b) the disqualification continues in force.
(3) The disqualification ceases to be in force if the appropriate licensing authority so
determines, on a review or otherwise, in accordance with licensing rules made under
paragraph 23 of Schedule 11.
(4) The appropriate licensing authority is—
(a) _ the licensing authority which disqualified the person, or
(b) if the person was disqualified by an approved regulator which is no longer
designated as a licensing authority, the successor licensing authority.
(5) The successor licensing authority is—
(a) the licensing authority which licenses the body in relation to which the
disqualification condition (within the meaning of section 99) was satisfied in
respect of the person, or
(b) if there is no such licensing authority, the licensing authority designated by
the Board on an application by the disqualified person.
(6) The Board must publish the lists kept by it under subsection (1).
Commencement Information
157 S. 100 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(¢)
101 Suspension and revocation of licence
(1) A licensing authority may, in accordance with its licensing rules, suspend or revoke
any licence granted by it under this Part.
(2) A licence is to be treated as not being in force at any time while it is suspended under
this section.
Commencement Information
158 S. 101 in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(c)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
102 “Intervention
Schedule 14 confers powers of intervention on licensing authorities.
Commencement Information
159 —S. 102 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(¢)
PROSPECTIV
103 Regulatory conflict and the Board as licensing authority
(1) Sections 52 and 54 (regulatory conflict between approved regulators and between
approved regulators and other regulators) apply in relation to the Board in its capacity
as a licensing authority and its licensing rules as they apply in relation to an approved
regulator (including the Board in its capacity as approved regulator) and its regulatory
arrangements.
(2) Section 68 (regulatory conflict and the Board as approved regulator) applies in relation
to the Board in its capacity as a licensing authority and its licensing rules as it applies
in relation to the Board in its capacity as an approved regulator and its regulatory
arrangements.
104 _—_— Prevention of regulatory conflict: accounts rules
(1) Where a licensed body carries on an activity through a solicitor, the rules made under
paragraph 20 of Schedule 11 apply instead of those made under sections 32 to 34 of
the Solicitors Act 1974 (c. 47).
(2) Where a licensed body carries on an activity through a licensed conveyancer ["“'or
licensed CLC practitioner], the rules made under paragraph 20 of Schedule 11 apply
instead of those made under sections 22 and 23 of the Administration of Justice Act
1985 (c. 61).
['(3) In this section “ licensed CLC practitioner ” means a person, other than a licensed
conveyancer, who holds a licence under section 53 of the Courts and Legal Services
Act 1990. I
Textual Amendments
51 Words ins, 104(2) inserted (29.6.2015) by Deregulation Act 2015 (c. 20), s. 115(6)(b), Seh. 19 para.
15(2); S.1. 2015/1402, art. 2(b)
F52__S. 104(3) inserted (29.6.2015) by Deregulation Act 2015 (c. 20), s. 115(6)(b), Sch. 19 para. 15(3); S.I.
2015/1402, art. 2(b)
Commencement Information
160 S. 104 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(¢)
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68 Legal Services Act 2007 (¢. 29)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Special kinds of body
PROSPECTIVE
105 —- Trade union exemptions
(1) Paragraphs 11 to 14 of Schedule 11 (Head of Legal Practice and Head of Finance and
Administration) do not apply in relation to a licensed body which is an independent
trade union.
(2) Schedule 13 (ownership) does not apply in relation to an applicant for a licence, or a
licensed body, which is an independent trade union.
PROSPECT!
106 Power to modify application of licensing rules etc to special bodies
(1) This section applies to a licensed body (or an applicant for a licence) which is—
(a) an independent trade union,
(b) anot for profit body,
(c) acommunity interest company,
(d) a low-risk body (see section 108), or
(ec) a body of such other description as may be prescribed by order made by the
Lord Chancellor on the recommendation of the Board.
(2) A body to which this section applies may apply to the relevant licensing authority,
in accordance with its licensing rules, for the authority to make an order under this
section.
(3) The licensing authority may make one or both of the following orders—
(a) that the authority's licensing rules apply in relation to the body with such
modifications as may be specified in the order;
(b) that Schedule 13 does not apply in relation to the body, or applies in relation
to the body with such modifications as may be specified in the order.
(4) On an application under subsection (2), the licensing authority may make any order
which the authority—
(a) has power to make under subsection (3), and
(b) considers appropriate in all the circumstances of the case,
whether or not it is the order for which the applicant applied.
(5) In deciding what order (if any) is appropriate in all the circumstances of the case, the
licensing authority must in particular have regard to—
(a) the reserved legal activities and non-reserved activities which the body carries
on (or proposes to carry on),
(b) _ the nature of the persons to whom the body provides (or proposes to provide)
services,
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Legal Services Act 2007 (c. 29) 69
Part 5 ~ Alternative business structures
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(c) any non-authorised persons who have an interest or an indirect interest in the
licensed body or hold a material interest in the licensed body, or are managers
of the body, and
(d) any other matter specified in the authority's licensing rules.
(6) If the licensing authority makes an order under subsection (3), the authority's licensing
tules or Schedule 13 or both (as the case may be) have effect in relation to that body
in accordance with that order.
(7) The licensing authority may not make an order under subsection (3)(a) in relation to
provisions of its licensing rules made in accordance with the following paragraphs of
Schedule 11—
(a) paragraphs 2 and 3 (determination and review of applications for a licence);
(b) paragraphs 7 and 8 (applications under this section);
(c) paragraphs 9(3), 18 and 23 (disqualifications);
(d) paragraph 10(2) (management);
(ec) paragraph 16 (carrying on of licensed activities);
(f) paragraph 24(1), (2), (3) and (8) (grounds for suspending and revoking
licences);
(g) paragraph 24(10) and (11) (procedure for suspending or revoking licence);
(h) paragraph 26(2) (review of decision to suspend or revoke licence).
(8) The licensing authority may not make an order under subsection (3)(a) which results
in its licensing rules, as they apply in relation to the body to which the order relates,
not making the provision required by—
(a) _ section 83(5)(a) to (g);
(b) paragraph I of Schedule 11 (applications for licences);
(c) paragraph 4(3) of that Schedule (renewal of licences);
(d) paragraph 6 of that Schedule (modification of licence);
(ce) paragraph 20 of that Schedule (accounts).
(9) If the licensing authority's licensing rules, as they apply in relation to a body to which
an order under subsection (3)(a) relates, make provision requiring the body to have—
(a) a Head of Legal Practice approved by the licensing authority, or
(b) a Head of Finance and Administration approved by the licensing authority,
they must also provide for a review by the licensing authority of any decision by it to
refuse or withdraw that approval.
107 Modifications under section 106: supplementary
(1) This section applies where a licensing authority has made an order under section 106
in relation to a body to which that section applies.
(2) The licensing authority must revoke the order under section 106 if it becomes aware
that the body in respect of which the order was made is no longer a body to which
that section applies.
(3) The licensing authority may revoke or otherwise modify an order under section 106—
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70 Legal Services Act 2007 (¢. 29)
Part 5 — Alternative business structures
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) on the application of the body in relation to which the order was made, or
(b) of its own motion.
(4) It may do so only if it considers it appropriate to do so in all the circumstances of the
case, having regard to the matters mentioned in section 106(5).
PROSPE
108 “Low risk body”
(1) A body (“B”) is a low risk body if the management condition and the ownership
condition are satisfied in relation to it.
(2) The management condition is that the number of managers of the body who are within
subsection (4) is less than 10% of the total number of managers.
(3) The ownership condition is that—
(a) the proportion of shares in B held by persons within subsection (4) is less than
10%, and
(b) the proportion of the voting rights in B which such persons are entitled to
exercise, or control the exercise of, is less than 10%, and
(c) if B has a parent undertaking (“P”)—
(i) the proportion of shares in P held by such persons is less than 10%,
and
(ii) the proportion of the voting rights in P which such persons are entitled
to exercise, or control the exercise of, is less than 10%.
(4) The persons within this subsection are—
(a) non-authorised persons;
(b) licensed bodies.
(5) For the purposes of this section “parent undertaking” has the same meaning as in the
Financial Services and Markets Act 2000 (c. 8) (see section 420 of that Act).
109 Foreign bodies
The Lord Chancellor may by order make provision for the modification of any
provision of this Part in its application to a body of persons formed under, or in so far
as the body is recognised by, law having effect outside England and Wales.
Commencement Information
161 S. 109 partly in force: s. 109 not in force at Royal Assent see s. 211; s. 109 in force for certain
purposes at 31.3.2009 by S.1. 2009/503, art. 3
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Legal Services Act 2007 (c. 29) 7
Part 5 — Alternative business structures
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Supplementary provision
110 Reporting requirements relating to Part 5
(1) The Board's annual report must deal with how, in the Board's opinion, the activities of
licensing authorities and licensed bodies have affected the regulatory objectives.
(2) This section does not apply to an annual report for a financial year before the first
financial year in which a licence is issued under this Part.
(3) In this section “annual report” and “financial year” have the same meaning as in
section 6.
Commencement Information
162 _ S. 110 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(c)
1 Interpretation of Part 5
(1) In this Part—
“licensed activity”, in relation to a licensed body, means an activity—
(a) which is a reserved legal activity, and
(b) which the licensed body is authorised to carry on by virtue of its licence;
“non-authorised person” means a person who is not within subsection (2);
“non-reserved activity” means an activity which is not a reserved legal
activity;
“relevant appellate body”, in relation to decisions made by a licensing
authority under this Part, means the body having power to hear appeals from
those decisions (whether by virtue of an order under section 80 or otherwise).
(2) The following persons are within this subsection—
(a) an authorised person in relation to an activity which constitutes a reserved
legal activity,
(b) a registered foreign lawyer (within the meaning of section 89 of the Courts
and Legal Services Act 1990 (c. 41)),
[*(c) an advocate or solicitor in Scotland,
(ca) a member of the Bar of Northern Ireland or a solicitor of the Court of
Judicature of Northern Ireland,]
(d) a body which provides professional services such as are provided by persons
within paragraph (a) or lawyers of other jurisdictions, and all the managers of
which and all the persons with an interest in which—
(i) are within [" paragraphs (a) to (ca)], or
(ii) are bodies in which persons within ["™ paragraphs (a) to (ca)] are
entitled to exercise, or control the exercise of, more than 90% of the
voting rights.
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n Legal Services Act 2007 (c. 29)
PART 5A — Approved regulators: information powers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Textual Amendments
F53__S. 111(2)(¢)(ca) substituted for s. 111(2)(c) 31.12.2020) by The Services of Lawyers and Lawyer’s
Practice (Revocation etc.) (EU Exit) Regulations 2020 (S.1. 2020/1342), reg. 1(1), Seh. para. 12(2)(a)
(with Sch. para. 13)
F54 Words in s. 111(2)(d) substituted (31.12.2020) by The Services of Lawyers and Lawyer’s Practice
(Revocation etc.) (EU Exit) Regulations 2020 (S.1. 2020/1342), reg. 1(1), Sch. para, 12(2)(b) (with
Sch. para. 13)
F55__S. 111(3) omitted (31.12.2020) by virtue of The Services of Lawyers and Lawyer's Practice
(Revocation etc.) (EU Exit) Regulations 2020 (S.1. 2020/1342), reg. 1(1), Seb. para. 12(2)(c) (with
Sch. para. 13)
Commencement Information
163 S. 111 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(c)
[°PART 5A
APPROVED REGULATORS: INFORMATION POWERS
Textual Amendments
FS56 Pt. SA inserted (26.10.2023 for specified purposes, 4.3.2024 in so far as not already in force)
by Economic Crime and Corporate Transparency Act 2023 (c. 56), ss. 210(2), 219(1)(2)(b); S.L.
2024/269, reg. 2(264)
The Law Society's information powers relating to economic crime
111A _ The Law Society’s information powers relating to economic crime
(1) The Law Society may, by notice, require a person falling within subsection (3) to—
(a) provide information, or information of a description, specified in the notice;
(b) produce documents, or documents of a description, specified in the notice.
(2) The Law Society may only exercise the power in subsection (1) in relation to
information or documents which the Law Society considers it necessary or expedient
to have for the purposes of, or in connection with, the performance of its regulatory
functions for purposes relating to the prevention or detection of economic crime.
(3) The persons are—
(a) asolicitor;
(b) an employee of a solicitor;
(c) abody recognised under section 9 of the Administration of Justice Act 1985;
(d) an employee or manager of, or person with an interest in, such a body;
(e) a licensed body;
(f) amanager or employee of a licensed body;
(g) anon-authorised person who has an interest or an indirect interest, or holds a
material interest (within the meaning of Part 5 of this Act), ina licensed body;
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Legal Services Act 2007 (c. 29) B
PART SA — Approved regulators: information powers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(h) aperson who was, but is no longer, of a description mentioned within any of
paragraphs (a) to (g).
(4) A notice under subsection (1)—
(a) may specify the manner and form in which the information is to be provided
or document produced;
(b) must specify the period within which the information is to be provided or
document produced;
(c) may require the information to be provided, or document to be produced, to
the Law Society or to a person specified in the notice.
(5) The Law Society may pay to any person such reasonable costs as may be incurred by
that person in connection with the provision of any information, or production of any
document, by that person pursuant to a notice under subsection (1).
(6) The Law Society, or a person specified under subsection (4)(c) in a notice, may
take copies of or extracts from a document produced pursuant to a notice under
subsection (1).
(7) In this section “economic crime” has the meaning given by section 193(1) of the
Economic Crime and Corporate Transparency Act 2023.
111B_—_ Enforcement of information powers relating to economic crime
(1) Ifa person refuses or otherwise fails to comply with a notice under section 111A(1),
the Law Society may apply to the High Court for an order requiring the person to
comply with the notice or with such directions for the like purpose as may be contained
in the order.
(2) On an application under subsection (1), the High Court may order a person other than
the person to whom the notice was given to provide information or produce documents
specified in the notice, if the High Court is satisfied that there is reason to suspect that
the information or documents have come into the possession or custody or under the
control of that other person.
(3) Section 111A(4) applies in relation to an order under subsection (2) as it applies in
relation to a notice under section 111 A(1).
(4) An order under this section may direct the Law Society to pay such reasonable costs
as may be incurred by a person in connection with the provision of any information,
or production of any document, by that person pursuant to the order.
(5) A person may take copies of or extracts from a document produced to them pursuant
to an order under this section.
111C _ Provision of information relating to economic crime by other persons
(1) The Law Society may apply to the High Court for an order requiring a person who
does not fall within section 111A(3) to—
(a) provide information, or information of a description, specified in the order, or
(b) produce documents, or documents of a description, specified in the order.
(2) The High Court may make an order under this section only if it is satisfied—
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74 Legal Services Act 2007 (c. 29)
PART 5A — Approved regulators: information powers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) that itis likely that the information or document is in the possession or custody
of, or under the control of, the person, and
(b) _ that it is necessary or expedient for the Law Society to have the information
or document for the purposes of, or in connection with, the performance of
its regulatory functions for purposes relating to the prevention or detection of
economic crime.
(3) Section 111A (4) applies in relation to an order under this section as it applies in relation
to a notice under section 111A(1).
(4) An order under this section may direct the Law Society to pay such reasonable costs
as may be incurred by a person in connection with the provision of any information,
or production of any document, by that person pursuant to the order.
(5) A person may take copies of or extracts from a document produced to them pursuant
to an order under this section.
(6) In this section “economic crime” has the meaning given by section 193(1) of the
Economic Crime and Corporate Transparency Act 2023.
Other approved regulators: information powers relating to economic crime
111D Order to confer information powers on other approved regulators
(1) The Lord Chancellor may by order amend this Part so as to—
(a) provide for sections 111A to 111C to apply in relation to an approved regulator
other than the Law Society as they apply in relation to the Law Society, and
(b) _ specify the persons to whom notices under section 111A(1) may be given by
that approved regulator.
(2) The Lord Chancellor may make an order under this section in relation to an approved
regulator only if—
(a) the Board has made a recommendation in accordance with section 111E in
relation to that approved regulator, and
(b) the persons specified in the order to whom notices under section 111 A(1) may
be given by that approved regulator are the same as those persons specified
in the recommendation.
111E = The Board’s power to recommend orders under section 111D
(1) The Board may recommend to the Lord Chancellor that the Lord Chancellor make an
order under section 111D in relation to an approved regulator.
(2) A recommendation must specify the persons to whom the approved regulator should
be able to give notices under section 111A(1).
(3) A recommendation may only be made with the consent of the approved regulator.
(4) Before making a recommendation under this section, the Board must publish a draft
of the proposed recommendation.
(5) The draft must be accompanied by a notice which states that representations about the
proposed recommendation may be made to the Board within a specified period.
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‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(6) Before making the recommendation, the Board must have regard to any
representations duly made.]
PART 6
LEGAL COMPLAINTS
Complaints procedures of authorised persons
112 Complaints procedures of authorised persons
(1) The regulatory arrangements of an approved regulator must make provision requiring
each relevant authorised person—
(a) to establish and maintain procedures for the resolution of relevant complaints,
or
(b) to participate in, or make arrangements to be subject to, such procedures
established and maintained by another person,
and provision for the enforcement of that requirement.
(2) The provision made for the purposes of subsection (1) must satisfy such requirements
as the Board may, from time to time, specify for the purposes of that subsection.
(3) In this section—
“relevant authorised person”, in relation to an approved regulator, means
a person in relation to whom the approved regulator is a relevant approved
regulator;
“relevant complaint”, in relation to a relevant authorised person, means a
complaint which—
(a) relates to an act or omission of that person, and
(b) may be made under the scheme provided for by this Part.
(4) The Board must publish any requirements specified by it for the purposes of
subsection (2).
(5) This section applies in relation to the licensing rules of the Board as it applies
in relation to the regulatory arrangements of an approved regulator except that
subsection (3) has effect as if for the definition of “relevant authorised person” there
were substituted—
‘relevant authorised person”, in relation to the Board, means a person
licensed by the Board under Part 5;”.
Commencement Information
164 S. 112 partly in force; s. 112 not in force at Royal Assent see s. 211; s. 112(2)(4) in force at 1.1.2009
by S.1. 2008/3149, art. 2(€)(i)
165 _S. 112(1)(3) in force at 6.10.2010 by S.1. 2010/2089, art. 2(a)
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Part 6 — Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Overview of the scheme
113 Overview of the scheme
(1) This Part provides for a scheme under which complaints which—
(a) relate to an act or omission of a person (“the respondent”) in carrying on an
activity, and
(b) are within the jurisdiction of the scheme (see section 125),
may be resolved quickly and with minimum formality by an independent person.
(2) Under the scheme—
(a) redress may be provided to the complainant, but
(b) no disciplinary action may be taken against the respondent.
(3) Section 157 prevents provision relating to redress being included in the regulatory
arrangements of an approved regulator, or licensing rules made by the Board in its
capacity as a licensing authority.
(4) But neither the scheme nor any provision made by this Part affects any power of
an approved regulator, or the Board in its capacity as a licensing authority, to take
disciplinary action.
(5) “Disciplinary action” means the imposition of sanctions, in respect of a breach of
conduct rules or discipline rules, on a person who is an authorised person in relation
to an activity which is a reserved legal activity.
Commencement Information
166 _ S. 113 in force at 6.10.2010 by S.1. 2010/2089, art. 2(a) (with art. 5) (as amended (30.9.2011) by S.I.
2011/2196, art. 6)
The Office for Legal Complaints
114 The Office for Legal Complaints
(1) There is to be a body corporate called the Office for Legal Complaints (in this Act
referred to as “the OLC”).
(2) Schedule 15 is about the OLC.
115 The ombudsman scheme
(1) The scheme provided for by this Part is to be administered by the OLC in accordance
with this Part and with scheme rules made under this Part.
(2) In this Part “scheme rules” means rules made by the OLC.
(3) The scheme is to be operated under a name (which must include the word
“ombudsman’”) chosen by the OLC, and is referred to in this Act as “the ombudsman
scheme”.
Legal Services Act 2007 (c. 29) 71
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‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
116 — General obligations
(1) In discharging its functions the OLC must comply with the requirements of this
section.
(2) The OLC must, so far as is reasonably practicable, act ina way—
(a) which is compatible with the regulatory objectives, and
(b) which it considers most appropriate for the purpose of meeting those
objectives.
(3) The OLC must have regard to any principles appearing to it to represent the best
practice of those who administer ombudsman schemes.
117 Corporate governance
In managing its affairs, the OLC must have regard to such generally accepted
principles of good corporate governance as it is reasonable to regard as applicable to it.
118 Annual report
(1) The OLC must prepare a report (“the annual report”) for each financial year.
(2) The annual report must deal with—
(a) _ the discharge of the functions of the OLC,
(b) the extent to which, in the OLC's opinion, the OLC has met the regulatory
objectives, and
(c) such other matters as the Board may from time to time direct.
(3) The OLC must include in the annual report a copy of the report prepared by the Chief
Ombudsman under section 123 for the financial year in question.
(4) As soon as reasonably practicable after the end of each financial year, the OLC must
give the Board a copy of the annual report prepared for that year.
(5) The Board must give a copy of the annual report to the Lord Chancellor.
(6) The Lord Chancellor must lay a copy of the annual report before Parliament.
(7) In this section “financial year” means—
(a) _ the period beginning with the day on which the OLC is established and ending
with the next following 31 March, and
(b) each successive period of 12 months.
119 Supplementary powers
The OLC may do anything calculated to facilitate, or incidental or conducive to, the
carrying out of any of its functions.
120 —_ Reporting to the Board
(1) The Board may require the OLC to prepare and give the Board, within a specified
period, a report in respect of any specified matter relating to the functions of the OLC.
(2) In subsection (1) “specified” means specified in the requirement.
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Part 6 — Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) The Board must publish any report given to it under this section.
121 Performance targets and monitoring
(1) The Board may—
(a) set one or more performance targets relating to the performance by the OLC
of any of its functions, or
(b) direct the OLC to set one or more performance targets relating to the
performance by the OLC of any of its functions.
(2) A direction under subsection (1)(b) may impose conditions with which the
performance targets must conform.
(3) The Board must publish any target set or direction given by it under this section.
(4) The OLC must publish any target set by it pursuant to a direction under subsection (1)
(b).
(5) The Board may take such steps as it regards as appropriate to monitor the extent to
which any performance target set under this section is being, or has been, met.
The ombudsmen
122 Appointment of the Chief Ombudsman and assistant ombudsmen
(1) The OLC—
(a) must appoint a person to act as Chief Ombudsman for the purposes of the
ombudsman scheme, and
(b) may, with the consent of the Chief Ombudsman, appoint one or more other
persons to act as assistant ombudsmen for those purposes.
(2) The person appointed under subsection (1)(a) must be a lay person.
["*"(3) Itis a condition of appointment under subsection (1)(b) that the person appointed must
not during the appointment carry on for or in expectation of any fee, gain or reward—
(a) any activity which is a reserved legal activity, or
(b) a regulated claims management activity (within the meaning given by
section 417(1) of the Financial Services and Markets Act 2000 (definitions))]
(4) Each person appointed under subsection (1)(a) or (b) must be a person appearing to
the OLC to have appropriate qualifications and experience to act as an ombudsman
for the purposes of the ombudsman scheme.
(5) In this Act a reference to an “ombudsman” (except in the expressions “ombudsman
scheme”, “Chief Ombudsman” and “assistant ombudsman”) is a reference to the Chief
Ombudsman or an assistant ombudsman.
(6) A person's appointment as Chief Ombudsman ceases if that person ceases to be a lay
person.
(7) The terms and conditions on which a person is appointed as an assistant ombudsman.
must specify the consequences of a breach of the condition imposed by subsection (3).
Legal Services Act 2007 (c. 29) 719
Part 6 — Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(8) Subject to that, a person's appointment as an ombudsman is to be on such terms
and conditions (including terms as to the duration and termination of a person's
appointment and as to remuneration) as the OLC considers—
(a) consistent with ensuring the independence of the person appointed, and
(b) otherwise appropriate.
(9) Appointment as an ombudsman does not confer the status of Crown servant.
(10) In this section “lay person” has the same meaning as in Schedule 15.
Textual Amendments
F57_S. 122(3) substituted (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force)
by The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.L
2018/1253), arts. 1(2)(3), 953)
123 Annual report of Chief Ombudsman
(1) The Chief Ombudsman must prepare a report for each financial year on the discharge
of the functions of the ombudsmen.
(2) A report under this section must comply with any requirements specified by the OLC.
(3) The OLC must publish any requirements specified for the purposes of subsection (2).
(4) As soon as reasonably practicable after the end of each financial year, the Chief
Ombudsman must give the OLC a copy of the report prepared under this section for
the year.
(5) In this section “financial year” has the meaning given by section 118(7).
124 Addi
ional reports of Chief Ombudsman
(1) The OLC may require the Chief Ombudsman to prepare and give the OLC, within a
specified period, a report in respect of any specified matter relating to the functions
of the ombudsmen.
(2) In subsection (1) “specified” means specified in the requirement.
Jurisdiction and operation of the ombudsman scheme
125 —_ Jurisdiction of the ombudsman scheme
(1) A complaint which relates to an act or omission of a person (“the respondent”) in
carrying on an activity is within the jurisdiction of the ombudsman scheme if—
(a) the complaint is not excluded from the jurisdiction of the scheme by
section 126, or by scheme rules made under section 127,
(b) the respondent is within section 128, and
(c) the complainant is within section 128 and wishes to have the complaint dealt
with under the scheme.
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‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) In subsection (1) references to an act or omission include an act or omission which
occurs before the coming into force of this section.
(3) The right of a person to make a complaint under the ombudsman scheme, and the
jurisdiction of an ombudsman to investigate, consider and determine a complaint, may
not be limited or excluded by any contract term or by notice.
Modifications etc. (not altering text)
C12 S. 125 modified (20.1.2015) by The Legal Services Act 2007 (Commencement No. 12, Supplementary
and Transitory Provision) Order 2014 (S.I. 2014/3307), arts. 1(1), 3
Commencement Information
167 _ S. 125 in force at 6.10.2010 by S.1. 2010/2089, art. 2(a)
126 Complaints excluded because respondent's complaints procedures not used
(1) A complaint is excluded from the jurisdiction of the ombudsman scheme if the
complainant has not first used the respondent's complaints procedures in relation to
the complaint.
(2) The respondent's complaints procedures are the procedures established by the
respondent, or which the respondent participates in or is subject to, in accordance with
regulatory arrangements (or licensing rules of the Board) made in accordance with
section 112.
(3) Scheme rules may provide that subsection (1) does not apply in specified
circumstances.
Commencement Information
168 _S. 126 partly in force; s. 126 not in force at Royal Assent see s. 211; s. 126(3) in force at 1.1.2009 by
S.1. 2008/3149, art. 2(@)(i)
169 S. 126(1)(2) in force at 6.10.2010 by S.1. 2010/2089, art. 2(a) (with art. 5) (as amended (30.9.2011) by
S.1. 2011/2196, art. 6)
127 Complaints excluded by scheme rules
(1) Scheme rules may make provision excluding complaints of a description specified in
the rules from the jurisdiction of the ombudsman scheme.
(2) But they may not make provision excluding a complaint from the jurisdiction of the
ombudsman scheme on the ground that it relates to a matter which has been or could be
dealt with under the disciplinary arrangements of the respondent's relevant authorising
body.
128 Parties
(1) The respondent is within this section if, at the relevant time, the respondent was an
authorised person in relation to an activity which was a reserved legal activity (whether
or not the act or omission relates to a reserved legal activity).
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) The complainant (“C”) is within this section if C—
(a) meets the first and second conditions, and
(b) _ is not excluded by subsection (5).
(3) The first condition is that C is—
(a) an individual, or
(b) a person (other than an individual) of a description prescribed by order made
by the Lord Chancellor in accordance with a recommendation made under
section 130.
(4) The second condition is that—
(a) _ the services to which the complaint relates were provided by the respondent
toC;
(b) _ the services to which the complaint relates were provided by the respondent
to an authorised person who procured them on C's behalf;
(c) _ the services to which the complaint relates were provided by the respondent—
(i) in the respondent's capacity as a personal representative or trustee, or
(ii) to a person acting as a personal representative or trustee,
and C is a beneficiary of the estate or trust in question; or
(d)__C satisfies such other conditions, in relation to the services to which the
complaint relates, as may be prescribed by order made by the Lord Chancellor
in accordance with a recommendation made under section 130.
(5) C is excluded if, at the relevant time—
(a) C was an authorised person in relation to an activity which was a reserved
legal activity and the services to which the complaint relates were procured
by C on behalf of another person,
(b) C was a public body or was acting on behalf of such a body in relation to the
services to which the complaint relates, or
(c) Cwasa person prescribed, or of a description prescribed, as excluded by order
made by the Lord Chancellor in accordance with a recommendation made
under section 130.
(6) In subsection (4)(b) “authorised person” means an authorised person in relation to any
activity which is a reserved legal activity.
(7) In this section—
“public body” means any government department, local authority or other
body constituted for purposes of the public services, local government or the
administration of justice;
“relevant time”, in relation to a complaint, means the time when the act or
omission to which the complaint relates took place.
Commencement Information
170 S. 128 partly in force; s. 128 not in force at Royal Assent see s. 211; s. 128(3)(b)(4)(d)(5)(c) in force at
1.1.2009 by S.I. 2008/3149, art. 2(e)(i)
ITS. 128(1) 2) 3)(a) (4)(a)-(6) (5)(a) (b) (6) (7) in force at 6.10.2010 by S.1. 2010/2089, art. 2(a)
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‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
129 Pre-commencement acts and omissions
(1) For the purposes of section 128 a person is to be regarded as an authorised person in
relation to an activity which is a reserved legal activity, at a time before section 125
comes into force, if the person was at that time—
(a) aperson of the kind mentioned in paragraph 2(4) of Schedule 15,
(b) a body recognised under section 9 or 32 of the Administration of Justice Act
1985 (c. 61) (recognised bodies), or
(c) a legal partnership, a conveyancing partnership, a patent attorney body or a
trade mark attorney body.
(2) In this section—
“conveyancing partnership” has the meaning given by paragraph 11(5) of
Schedule 5;
“legal partnership” has the meaning given by paragraph 7(4) of that
Schedule;
“patent attorney body” has the meaning given by paragraph 14(7) of that
Schedule;
“trade mark attorney body” has the meaning given by paragraph 16(7) of
that Schedule.
Commencement Information
172 S. 129 in force at 6.10.2010 by S.1. 2010/2089, art. 2(a)
130 Orders under section 128
(1) An interested body may, at any time, recommend to the Lord Chancellor that the Lord
Chancellor make an order under section 128(3)(b), (4)(d) or (5)(c).
(2) An interested body must, if requested to do so by the Lord Chancellor, consider
whether or not it is appropriate to make a recommendation under subsection (1).
(3) An interested body must, before making a recommendation under subsection (1)—
(a) publish a draft of the proposed recommendation,
(b) _ invite representations regarding the proposed recommendation, and
(c) consider any such representations which are made.
(4) Where the Lord Chancellor receives a recommendation under subsection (1), the Lord
Chancellor must consider whether to follow the recommendation.
(5) If the Lord Chancellor decides not to follow the recommendation, the Lord Chancellor
must publish a notice to that effect which includes the Lord Chancellor's reasons for
the decision.
(6) In this section “interested body” means—
(a) the OLC,
(b) the Board, or
(c) the Consumer Panel.
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‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
131. Acts and omissions by employees etc
(1) For the purposes of this Part and the ombudsman scheme, any act or omission by
a person in the course of the person's employment is to be treated as also an act or
omission by the person's employer, whether or not it was done with the employer's
knowledge or approval.
(2) For the purposes of this Part and the ombudsman scheme, any act or omission by a
partner in a partnership in the course of carrying on, in the usual way, business of the
kind carried on by the partnership is to be treated as also an act or omission by the
partnership.
(3) But subsection (2) does not apply if the partner had no authority to act for the
partnership and the person purporting to rely on that subsection knew, at the time of
the act or omission, that the partner had no such authority.
Commencement Information
173 S. 131 in force at 6.10.2010 by S.1. 2010/2089, art. 2¢a)
132 Continuity of complaints
(1) The ability of a person to make a complaint about an act or omission of a partnership
or other unincorporated body is not affected by any change in the membership of the
partnership or body.
(2) Scheme rules must make provision determining the circumstances in which, for the
purposes of the ombudsman scheme, an act or omission of a person (“A”) is, where
A ceases to exist and another person (“B”) succeeds to the whole or substantially the
whole of the business of A, to be treated as an act or omission of B.
(3) Rules under subsection (2) must, in relation to cases where an act or omission of A is
treated as an act or omission of B, make provision about the treatment of complaints
under the ombudsman scheme which are outstanding against A at the time A ceases
to exist.
(4) Scheme rules must make provision permitting such persons as may be specified in the
rules to continue a complaint made by a person who has died or is otherwise unable
to act; and for that purpose may modify references to the complainant in this Part and
in scheme rules.
133 Operation of the ombudsman scheme
(1) Scheme rules must set out the procedure for—
(a) the making of complaints under the ombudsman scheme, and
(b) the investigation, consideration and determination of complaints by an
ombudsman.
(2) Scheme rules—
(a) must provide that a complaint is to be entertained under the ombudsman
scheme only if the complainant has made the complaint under that scheme
before the applicable time limit (determined in accordance with the scheme
rules) has expired, and
84
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Part 6 — Legal Complaints
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‘Status:
This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b)
may provide that an ombudsman may extend that time limit in specified
circumstances.
(3) Scheme rules made under subsection (1) may (among other things) make provision—
(a)
(b)
(©)
(dd)
(©)
(6)
(g)
(h)
@
@
(k)
for the whole or part of a complaint to be dismissed, in specified
circumstances, without consideration of its merits;
for the reference of a complaint, in specified circumstances and with the
consent of the complainant, to another body with a view to it being determined
by that body instead of by an ombudsman;
for a person who, at the relevant time (within the meaning of section 128(7))
was an authorised person in relation to an activity to be treated in specified
circumstances, for the purposes of the scheme and this Part, as if that person
were a co-respondent in relation to a complaint;
about the evidence which may be required or admitted and the extent to which
it should be oral or written;
for requiring parties to the complaint to attend to give evidence and produce
documents, and for authorising the administration of oaths by ombudsmen;
about the matters which are to be taken into account in determining whether
an act or omission was fair and reasonable;
for an ombudsman, in such circumstances as may be specified, to award
expenses to persons in connection with attendance at a hearing before an
ombudsman;
for an ombudsman to award costs against the respondent in favour of the
complainant;
for an ombudsman to award costs against the complainant or the respondent
in favour of the OLC for the purpose of providing a contribution to resources
deployed in dealing with the complaint, if in the ombudsman's opinion that
person acted so unreasonably in relation to the complaint that it is appropriate
in all the circumstances of the case to make such an award;
for the purpose of facilitating the settlement of a complaint with the agreement
of the parties to it;
for specified persons to be notified of complaints, determinations and
directions under the ombudsman scheme.
(4) The circumstances specified under subsection (3)(a) may include the following—
(a)
(b)
(©)
(d)
(e)
the ombudsman considers the complaint or part to be frivolous or vexatious
or totally without merit;
the ombudsman considers that the complaint or part would be better dealt
with under another ombudsman scheme, by arbitration or by other legal
proceedings;
the ombudsman considers that there has been undue delay in the making of
the complaint or part, or the provision of evidence to support it;
the ombudsman is satisfied that the matter which is the subject of the
complaint or part has previously been dealt with under another ombudsman
scheme, by arbitration or by other legal proceedings;
the ombudsman considers that there are other compelling reasons why it is
inappropriate for the complaint or part to be dealt with under the ombudsman
scheme.
(5) No person may be required by scheme rules—
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‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) to provide any information or give any evidence which that person could not
be compelled to provide or give in evidence in civil proceedings before the
High Court, or
(b) to produce any document which that person could not be compelled to produce
in such proceedings.
(6) Scheme rules may authorise an ombudsman making an award of costs in accordance
with rules within subsection (3)(h) or (i) to order that the amount payable under the
award bears interest, from a time specified in or determined in accordance with the
order, at a rate specified in or determined in accordance with the rules.
(7) Anamount due under an award made in favour of a person by virtue of provision made
under subsection (3)(g), (h) or (i) is recoverable as a debt due to that person.
(8) In this section—
“party”, in relation to a complaint, means—
(a) the complainant,
(b) the respondent, and
(c) any other person who in accordance with scheme rules is to be regarded
as a party to the complaint;
“specified” means specified in scheme rules.
134 Delegation of an ombudsman's functions
(1) An ombudsman may delegate to a member of the OLC's staff appointed under
paragraph 13 of Schedule 15—
(a) any function of the ombudsman in relation to the making, investigation or
consideration of a complaint;
(b) any other function conferred on the ombudsman by or by virtue of this Part.
(2) Nothing in subsection (1) applies to the following functions—
(a) the function of determining a complaint;
(b) the function of deciding that a complaint should be dismissed by virtue of
rules under section 133(3)(a);
(c) the Chief Ombudsman's power to consent to the appointment of an assistant
ombudsman under section 122;
(d) the duties imposed on the Chief Ombudsman by section 123 (Chief
Ombudsman's report).
Commencement Information
174 S. 134 in force at 6.10.2010 by S.I. 2010/2089, art. 2(a)
135 Notification requirements
(1) This section applies where a complaint—
(a) _ is excluded from the jurisdiction of the ombudsman scheme under section 126,
or by virtue of scheme rules made under section 127;
(b) _ is dismissed, or referred to another body, by virtue of scheme rules;
86 Legal Services Act 2007 (c. 29)
Part 6 — Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(c) _ is settled, withdrawn or abandoned (or treated as withdrawn or abandoned by
virtue of scheme rules).
(2) The ombudsman must notify—
(a) the complainant;
(b) the respondent;
(c) any relevant authorising body, in relation to the respondent, notified of the
complaint in accordance with rules within section 133(3)(k),
and, in a case within subsection (1)(a) or (b), must give reasons for the exclusion,
dismissal or referral.
Commencement Information
175 S. 135 in force at 6.10.2010 by S.I. 2010/2089, art. 2(a)
136 Charges payable by respondents
(1) Scheme rules must require respondents, in relation to complaints under the
ombudsman scheme, to pay to the OLC such charges as may be specified in the rules.
(2) The rules must provide for charges payable in relation to a complaint to be waived (or
wholly refunded) where—
(a) the complaint is determined or otherwise resolved in favour of the respondent,
and
(b) the ombudsman is satisfied that the respondent took all reasonable steps to try
to resolve the complaint under the respondent's complaints procedures.
(3) The rules may make provision as to—
(a) the circumstances in which a complaint is to be treated as determined
or otherwise resolved in favour of the respondent (which may include
circumstances where a complaint is settled, withdrawn or abandoned (or
treated as withdrawn or abandoned by virtue of scheme rules));
(b) matters to be taken into account by the ombudsman for the purposes of
subsection (2)(b).
(4) The respondent's complaints procedures are the procedures established by the
respondent, or which the respondent participates in or is subject to, in accordance with
regulatory arrangements (or licensing rules of the Board) made in accordance with
section 112.
(5) The rules may, among other things—
(a) provide for the OLC to reduce or waive a charge in such other circumstances
as may be specified;
(b) set different charges for different stages of the proceedings on a complaint;
(c) provide for charges to be wholly or partly refunded in such other
circumstances as may be specified;
(d) provide that if the whole or any part of a charge is not paid by the time by
which it is required to be paid under the rules, the unpaid balance from time
to time carries interest at the rate specified in, or determined in accordance
with, the rules.
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Legal Services Act 2007 (c. 29) 87
Part 6 — Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(6) Any charge which is owed to the OLC by virtue of rules made under this section may
be recovered as a debt due to the OLC.
Determinations under the scheme
137 Determination of complaints
(1) A complaint is to be determined under the ombudsman scheme by reference to what
is, in the opinion of the ombudsman making the determination, fair and reasonable in
all the circumstances of the case.
(2) The determination may contain one or more of the following—
(a) adirection that the respondent make an apology to the complainant;
(b) adirection that—
(i) the fees to which the respondent is entitled in respect of the services
to which the complaint relates (“the fees”) are limited to such amount
as may be specified in the direction, and
(ii) the respondent comply, or secure compliance, with such one or more
of the permitted requirements as appear to the ombudsman to be
necessary in order for effect to be given to the direction under sub-
paragraph (i);
(c) a direction that the respondent pay compensation to the complainant of such
an amount as is specified in the direction in respect of any loss which has been
suffered by, or any inconvenience or distress which has been caused to, the
complainant as a result of any matter connected with the complaint;
(d) a direction that the respondent secure the rectification, at the expense of
the respondent, of any such error, omission or other deficiency arising in
connection with the matter in question as the direction may specify;
(e) a direction that the respondent take, at the expense of the respondent, such
other action in the interests of the complainant as the direction may specify.
(3) For the purposes of subsection (2)(b) “the permitted requirements” are—
(a) that the whole or part of any amount already paid by or on behalf of the
complainant in respect of the fees be refunded;
(b) that the whole or part of the fees be remitted;
(c) _ that the right to recover the fees be waived, whether wholly or to any specified
extent.
(4) Where—
(a) a direction is made under subsection (2)(b) which requires that the whole or
part of any amount already paid by or on behalf of the complainant in respect
of the fees be refunded, or
(b) adirection is made under subsection (2)(c),
the direction may also provide for the amount payable under the direction to carry
interest from a time specified in or determined in accordance with the direction, at the
rate specified in or determined in accordance with scheme rules.
(5) The power of the ombudsman to make a direction under subsection (2) is not confined
to cases where the complainant may have a cause of action against the respondent for
negligence.
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88 Legal Services Act 2007 (c. 29)
Part 6 — Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
176 S. 137 partly in force; s. 137 not in force at Royal Assent see s. 211; s. 137(4) in force at 1.1.2009 by
S.1, 2008/3149, art. 2(e)(i)
177. 137(1)-(3) (5) in force at 6.10.2010 by S.1. 2010/2089, art. 2(a)
138 Limitation on value of directions under the ombudsman scheme
(1) Where a determination is made under the ombudsman scheme in respect of a
complaint, the total value of directions under section 137(2)(c) to (e) contained in the
determination must not exceed [***£50,000.]
(2) For this purpose the total value of such directions is the aggregate of —
(a) the amount of any compensation specified in a direction under subsection (2)
(c) of section 137, and
(b) the amount of any expenses reasonably incurred by the respondent when
complying with a direction under subsection (2)(d) or (e) of that section.
(3) For the purposes of determining that total value, any interest payable on an amount
within subsection (2)(a) of this section, by virtue of section 137(4), is to be ignored.
Textual Amendments
F58__S. 138(1) substituted (1.2.2013) by The Legal Services Act 2007 (Alteration of Limit) Order 2012 (S.L
2012/3091), arts. 1, 2
Commencement Information
178 _ S. 138 in force at 6.10.2010 by S.I. 2010/2089, art. 2(a)
139 Alteration of limit
(1) The Lord Chancellor may by order amend section 138(1) in accordance with a
recommendation made by an interested body under subsection (2).
(2) An interested body may, at any time, recommend to the Lord Chancellor that
section 138(1) should be amended so as to substitute the amount specified in the
recommendation for the amount for the time being specified in that provision.
(3) An interested body must, if requested to do so by the Lord Chancellor, consider
whether or not it is appropriate to make a recommendation under subsection (2).
(4) An interested body must, before making a recommendation under subsection (2)—
(a) publish a draft of the proposed recommendation,
(b) invite representations regarding the proposed recommendation, and
(c) consider any such representations which are made.
(5) Where the Lord Chancellor receives a recommendation under subsection (2), the Lord
Chancellor must consider whether to follow the recommendation.
(6) If the Lord Chancellor decides not to follow the recommendation, the Lord Chancellor
must publish a notice to that effect which includes the Lord Chancellor's reasons for
the decision.
Legal Services Act 2007 (c. 29) 89
Part 6 — Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(7) In this section “interested body” means—
(a) the OLC,
(b) the Board, or
(c) the Consumer Panel.
Commencement Information
179 S$. 139 in force at 6.10.2010 by S.
. 2010/2089, art. 2(a)
140 Acceptance or rejection of determination
(1) When an ombudsman has determined a complaint the ombudsman must prepare a
written statement of the determination.
(2) The statement must—
(a) give the ombudsman's reasons for the determination,
(b) be signed by the ombudsman, and
(c) require the complainant to notify the ombudsman, before a time specified
in the statement (“the specified time”), whether the complainant accepts or
rejects the determination.
(3) The ombudsman must give a copy of the statement to—
(a) the complainant,
(b) _ the respondent, and
(c) any relevant authorising body in relation to the respondent.
(4) If the complainant notifies the ombudsman that the determination is accepted by the
complainant, it is binding on the respondent and the complainant and is final.
(5) If, by the specified time, the complainant has not notified the ombudsman of the
complainant's acceptance or rejection of the determination, the complainant is to be
treated as having rejected it.
(6) But if—
(a) the complainant notifies the ombudsman after the specified time that the
determination is accepted by the complainant,
(b) the complainant has not previously notified the ombudsman of the
complainant's rejection of the determination, and
(c) the ombudsman is satisfied that such conditions as may be prescribed by the
scheme rules for the purposes of this subsection are satisfied,
the determination is treated as if it had never been rejected by virtue of subsection (5).
(7) The ombudsman must give notice of the outcome to—
(a) the complainant,
(b) the respondent, and
(c) any relevant authorising body in relation to the respondent.
(8) Where a determination is rejected by virtue of subsection (5), that notice must contain
a general description of the effect of subsection (6).
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90 Legal Services Act 2007 (c. 29)
Part 6 — Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(9) A copy of the determination on which appears a certificate signed by an ombudsman
is evidence that the determination was made under the scheme.
(10) Such a certificate purporting to be signed by an ombudsman is to be taken to have
been duly signed unless the contrary is shown.
(11) Neither the complainant nor the respondent, in relation to a complaint, may institute or
continue legal proceedings in respect of a matter which was the subject of a complaint,
after the time when a determination by an ombudsman of the complaint becomes
binding and final in accordance with this section.
Commencement Information
180 S. 140 partly in force; s. 140 not in force at Royal Assent see s. 211; s. 140(6)(c) in force at 1.1.2009
by S.1. 2008/3149, art. 2(€)(i)
181 S. 140(1)-(5) (6)(a) (b) (7)-(11) in force at 6.10.2010 by S.
2010/2089, art. 2(a)
141 Enforcement by complainant of directions under section 137
(1) This section applies where—
(a) a determination is made in respect of a complaint under the ombudsman
scheme,
(b) one or more directions are made under section 137(2), and
(c) _ the determination is final by virtue of section 140(4).
(2) An amount payable in accordance with—
(a) a direction under subsection (2)(b) of section 137 which requires that the
whole or part of any amount already paid by or on behalf of the complainant
in respect of the fees be refunded, or
(b) adirection under subsection (2)(c) of that section,
including any interest payable by virtue of subsection (4) of that section, is
recoverable, if a court so orders on the application of the complainant or an
ombudsman, as if it were payable under an order of that court.
(3) If the respondent fails to comply with any other direction under section 137(2), the
complainant or an ombudsman may make an application to the court under this
subsection.
(4) If, on an application under subsection (3), the court decides that the respondent has
failed to comply with the direction in question, it may order the respondent to take
such steps as the court directs for securing that the direction is complied with.
(5) An ombudsman may make an application under subsection (2) or (3) only in such
circumstances as may be specified in scheme rules, and with the complainant's
consent.
(6) If the court makes an order under subsection (2) on the application of an ombudsman,
the ombudsman may in such circumstances as may be specified in scheme rules and
with the complainant's consent recover the amount mentioned in that subsection on
behalf of the complainant.
Pe
(7) In this section “court” means the High Court or ["*’the county court].
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Legal Services Act 2007 (c. 29) 91
Part 6 — Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Textual Amendments
F59 Words ins. 141(7) substituted (22.4.2014) by Crime and Courts Act 2013 (¢. 22), s. 61(3), Sch.
9 para. 52; S.1, 2014/954, art. 2(¢) (with art. 3) (with transitional provisions and savings in S.1
2014/956, arts. 3-11)
Commencement Information
182. 141 partly in force; s. 141 not in force at Royal Assent see s. 211; s. 141(5)-(7) in force at 1.1.2009
by S.I. 2008/3149, art. 2(e)(i)
183 S. 141(1)-(4) in force at 6.10.2010 by S.1. 2010/2089, art. 2(a)
142 Reporting court orders made against authorised persons
(1) Where a court makes an order under section 141, it must give the OLC notice to that
effect.
(2) Where the order is made against a person who is an authorised person in relation to
any activity which is a reserved legal activity, the OLC must make arrangements to
ensure that an ombudsman gives to each relevant authorising body, in relation to that
person, a report which states that the order has been made.
(3) A report under subsection (2) may require the relevant authorising body to report to
the ombudsman the action which has been or is to be taken by it in response to the
report under subsection (2) and the reasons for that action being taken.
(4) If an ombudsman, having regard to any report produced by the relevant authorising
body in compliance with a requirement imposed under subsection (3), or any failure
to comply with such a requirement, considers—
(a) that there has been a serious failure by the relevant authorising body to
discharge its regulatory functions, or
(b) if such a requirement has been imposed on the body on more than one
occasion, that the relevant authorising body has persistently failed adequately
to discharge its regulatory functions,
the ombudsman may make a report to that effect to the Board.
Commencement Information
184 S. 142 in force at 6.10.2010 by S.I. 2010/2089, art. 2(a)
Reporting misconduct
143 Reporting possible misconduct to approved regulators
(1) This section applies where—
(a) anombudsman is dealing, or has dealt, with a complaint under the ombudsman
scheme, and
(b) the ombudsman is of the opinion that the conduct of the respondent or any
other person in relation to any matter connected with the complaint is such that
arelevant authorising body in relation to that person should consider whether
to take action against that person.
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92 Legal Services Act 2007 (c. 29)
Part 6 — Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) The ombudsman must give the relevant authorising body a report which—
(a) _ states that the ombudsman is of that opinion, and
(b) gives details of that conduct.
(3) The ombudsman must give the complainant a notice stating that a report under
subsection (2) has been given to the relevant authorising body.
(4) A report under subsection (2) may require the relevant authorising body to report to
the ombudsman the action which has been or is to be taken by it in response to the
report and the reasons for that action being taken.
(5) The duty imposed by subsection (2) is not affected by the withdrawal or abandonment
of the complaint.
(6) If an ombudsman, having regard to any report produced by the relevant authorising
body in compliance with a requirement imposed under subsection (4), or any failure
to comply with such a requirement, considers—
(a) that there has been a serious failure by the relevant authorising body to
discharge its regulatory functions, or
(b) if such a requirement has been imposed on the body on more than one
occasion, that the relevant authorising body has persistently failed adequately
to discharge its regulatory functions,
the ombudsman may make a report to that effect to the Board.
Commencement Information
185 S. 143 in force at 6.10.2010 by S.1. 2010/2089, art. 2(a)
Co-operation with investigations
144 Duties to share information
(1) Scheme rules must make provision requiring persons within subsection (3) to disclose
to an approved regulator information of such description as may be specified in the
rules, in such circumstances as may be so specified.
(2) The regulatory arrangements of an approved regulator must make provision requiring
the approved regulator to disclose to persons within subsection (3) information of such
description as may be specified in the arrangements, in such circumstances as may
be so specified.
(3) The persons are—
(a) the OLC;
(b) an ombudsman;
(c) amember of the OLC's staff appointed under paragraph 13 of Schedule 15.
(4) Provision made under subsection (1) or (2) must satisfy such requirements as the Board
may, from time to time, specify.
(5) In specifying requirements under subsection (4) the Board must have regard to the
need to ensure that, so far as reasonably practicable—
(a) duplication of investigations is avoided;
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Legal Services Act 2007 (c. 29) 93
Part 6 — Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) the OLC assists approved regulators to carry out their regulatory functions,
and approved regulators assist with the investigation, consideration and
determination of complaints under the ombudsman scheme.
(6) The Board must publish any requirements specified by it under subsection (4).
(7) The OLC must—
(a) before publishing under section 205(2) a drafi of rules it proposes to make
under subsection (1), consult each approved regulator to which the proposed
rules apply, and
(b) when seeking the Board's consent to such rules under section 155, identify
any objections made by an approved regulator to the rules and not withdrawn.
(8) An approved regulator must—
(a) consult the OLC before making provisions in its regulatory arrangements of
the kind mentioned in subsection (2), and
(b) where an application is made for the Board's approval of such provisions,
identify any objections made by the OLC to the provisions and not withdrawn.
(9) This section applies to the Board in its capacity as a licensing authority and licensing
rules made by the Board as it applies to an approved regulator and its regulatory
arrangements; and for this purpose the reference in subsection (5)(b) to “regulatory
functions” is to be read as a reference to the Board's functions under its licensing rules.
Commencement Information
186 S. 144 partly in force; s. 144 not in force at Royal Assent see s. 211; s. 144(1)(3) in force at 1.1.2009
by S.1. 2008/3149, art. 2(e)(i)
187 S. 144(2)(8)(9) in force at 6.10.2010 by S.I. 2010/2089, art. 2(a) (with art. 5) (as amended (30.9.2011)
by S.L 2011/2196, art. 6)
145 Duties of authorised persons to co-operate with investigations
(1) The regulatory arrangements of an approved regulator, and licensing rules made by
the Board in its capacity as a licensing authority, must make—
(a) provision requiring each relevant authorised person to give ombudsmen all
such assistance requested by them, in connection with the investigation,
consideration or determination of complaints under the ombudsman scheme,
as that person is reasonably able to give, and
(b) provision for the enforcement of that requirement.
(2) The provision made for the purposes of subsection (1) must satisfy such requirements
as the Board may, from time to time, specify for the purposes of that subsection.
(3) The Board must publish any requirements specified by it under subsection (2).
(4) In this section “relevant authorised person” —
(a) in relation to an approved regulator, has the same meaning as in section 112,
and
(b) in relation to the Board in its capacity as a licensing authority, means a person
licensed by the Board under Part 5.
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94 Legal Services Act 2007 (c. 29)
Part 6 — Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
188 S. 145 partly in force; s. 145 not in force at Royal Assent see s. 211; s. 145(2)(3) in force at 1.1.2009
by S.I. 2008/3149, art. 2(¢)(i)
189 S, 145(1)(4) in force at 6.10.2010 by S.1. 2010/2089, art. 2(a) (with art. 5) (as amended (30.9.2011) by
S.L 2011/2196, art. 6)
146 Reporting failures to co-operate with an investigation to approved regulators
(1) This section applies where an ombudsman is of the opinion that an authorised person
has failed to give an ombudsman all such assistance requested by the ombudsman,
in connection with the investigation, consideration or determination of a complaint
under the ombudsman scheme, as that person is reasonably able to give.
(2) The ombudsman must give each relevant authorising body, in relation to that person,
a report which—
(a) _ states that the ombudsman is of that opinion, and
(b) gives details of the failure.
(3) A report under subsection (2) may require the relevant authorising body to report to
the ombudsman the action which has been or is to be taken by it in response to the
report under that subsection and the reasons for that action being taken.
(4) The duty imposed by subsection (2) is not affected by the withdrawal or abandonment
of the complaint.
(5) If an ombudsman, having regard to any report produced by the relevant authorising
body in compliance with a requirement imposed under subsection (3), or any failure
to comply with such a requirement, considers—
(a) that there has been a serious failure by the relevant authorising body to
discharge its regulatory functions, or
(b) if such a requirement has been imposed on the body on more than one
occasion, that the relevant authorising body has persistently failed adequately
to discharge its regulatory functions,
the ombudsman may make a report to that effect to the Board.
(6) In this section “authorised person” means an authorised person in relation to any
activity which is a reserved legal activity.
Commencement Information
190 —S. 146 in force at 6.10.2010 by S.1. 2010/2089, art. 2(a)
Information
147 Information and documents
(1) An ombudsman may, by notice, require a party to a complaint under the ombudsman.
scheme—
(a) to produce documents, or documents of a description, specified in the notice,
or
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Legal Services Act 2007 (c. 29) 95
Part 6 — Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) to provide information, or information of a description, specified in the notice.
(2) A notice under subsection (1) may require the information or documents to be provided
or produced—
(a) _ before the end of such reasonable period as may be specified in the notice, and
(b) _ in the case of information, in such manner or form as may be so specified.
(3) This section applies only to information and documents the provision or production
of which the ombudsman considers necessary for the determination of the complaint.
(4) An ombudsman may—
(a) take copies of or extracts from a document produced under this section, and
(b) require the person producing the document to provide an explanation of it.
(5) Ifa person who is required under this section to produce a document fails to do so, an
ombudsman may require that person to state, to the best of that person's knowledge
and belief, where the document is.
(6) No person may be required under this section—
(a) to provide any information which that person could not be compelled to
provide or give in evidence in civil proceedings before the High Court, or
(b) to produce any document which that person could not be compelled to produce
in such proceedings.
(7) In this section “party”, in relation to a complaint, means—
(a) the complainant;
(b) _ the respondent;
(c) any other person who in accordance with the scheme rules is to be regarded
as a party to the complaint.
Commencement Information
191 S. 147 in force at 6.10.2010 by S.I. 2010/2089, art. 2(a)
148 Reporting failures to provide information or produce documents
(1) This section applies where an ombudsman is of the opinion that an authorised person
has failed to comply with a requirement imposed under section 147(1).
(2) The ombudsman must give each relevant authorising body, in relation to that person,
a report which—
(a) _ states that the ombudsman is of that opinion, and
(b) gives details of the failure.
(3) A report under subsection (2) may require the relevant authorising body to report to
the ombudsman the action which has been or is to be taken by it in response to the
report under that subsection and the reasons for that action being taken.
(4) The duty imposed by subsection (2) is not affected by the withdrawal or
abandonment of the complaint in relation to which the requirement was imposed under
section 147(1).
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(5) If an ombudsman, having regard to any report produced by the relevant authorising
body in compliance with a requirement imposed under subsection (3), or any failure
to comply with such a requirement, considers—
(a) that there has been a serious failure by the relevant authorising body to
discharge its regulatory functions, or
(b) if such a requirement has been imposed on the body on more than one
occasion, that the relevant authorising body has persistently failed adequately
to discharge its regulatory functions,
the ombudsman may make a report to that effect to the Board.
(6) In this section “authorised person” means an authorised person in relation to any
activity which is a reserved legal activity.
Commencement Information
192 S. 148 in force at 6.10.2010 by S.I. 2010/2089, art. 2(a)
149 Enforcement of requirements to provide information or produce documents
(1) This section applies where an ombudsman is of the opinion that a person (“the
defaulter”) has failed to comply with a requirement imposed under section 147(1).
(2) The ombudsman may certify the defaulter's failure to comply with the requirement
to the court.
(3) Where an ombudsman certifies a failure to the court under subsection (2), the court
may enquire into the case.
(4) If the court is satisfied that the defaulter has failed without reasonable excuse to
comply with the requirement, it may deal with—
(a) the defaulter, and
(b) _ in the case of a body, any manager of the body,
as if that person were in contempt.
(5) Subsection (6) applies in a case where the defaulter is an authorised person in relation
to any activity which is a reserved legal activity.
(6) The ombudsman (“the enforcing ombudsman”) may not certify the defaulter's failure
to the court until a report by that or another ombudsman has been made as required
by section 148(2) and the enforcing ombudsman is satisfied—
(a) that each relevant authorising body to whom such a report was made has
been given a reasonable opportunity to take action in respect of the defaulter's
failure, and
(b) that the defaulter has continued to fail to provide the information or produce
the documents to which the requirement under section 147 related.
(7) In this section “court” means the High Court.
Commencement Information
193 S. 149 in force at 6.10.2010 by S.I. 2010/2089, art. 2(a)
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‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
150 —_ Reports of investigations
(1) The OLC may, if it considers it appropriate to do so in any particular case, publish
a report of the investigation, consideration and determination of a complaint made
under the ombudsman scheme.
(2) A report under subsection (1) must not (unless the complainant consents)—
(a) mention the name of the complainant, or
(b) include any particulars which, in the opinion of the OLC, are likely to identify
the complainant.
Commencement Information
194 S. 150 in force at 6.10.2010 by S.I. 2010/2089, art. 2(a)
151 Restricted information
(1) Except as provided by section 152, restricted information must not be disclosed—
(a) by a restricted person, or
(b) by any person who receives the information directly or indirectly from a
restricted person.
(2) In this section and section 152—
“restricted information” means information (other than excluded
information) which is obtained by a restricted person in the course of, or for
the purposes of, an investigation into a complaint made under the ombudsman
scheme (including information obtained for the purposes of deciding whether
to begin such an investigation or in connection with the settlement of a
complaint);
“restricted person” means—
(a) the OLC,
(b) an ombudsman, or
(c) a person who exercises functions delegated under paragraph 22 of
Schedule 15.
(3) For the purposes of subsection (2) “excluded information” means—
(a) information which is in the form of a summary or collection of information
so framed as not to enable information relating to any particular person to be
ascertained from it;
(b) information which at the time of the disclosure is or has already been made
available to the public from other sources;
(c) information which was obtained more than 70 years before the date of the
disclosure.
Commencement Information
195 S. 151 partly in force: s. 151 not in force at Royal Assent see s. 211; s. 151 in force for certain
purposes at 1.1.2010 by S.I. 2009/3250, art. 2(d) (with art. 9)
196 S. 151 in force at 6.10.2010 in so far as not already in force by S.I. 2010/2089, art. 2(a)
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98 Legal Services Act 2007 (c. 29)
Part 6 — Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
152 _ Disclosure of restricted information
(1) A restricted person may disclose restricted information to another restricted person.
(2) Restricted information may be disclosed for the purposes of the investigation in the
course of which, or for the purposes of which, it was obtained.
(3) Section 151 also does not preclude the disclosure of restricted information—
(a) in areport made under—
(i) section 143(2) (report of possible misconduct to approved regulators),
(ii) section 146(2) (report of failure to co-operate with investigation),
(iii) section 148 (reporting failures to provide information or produce
documents), or
(iv) section 150 (reports of investigations),
(b) for the purposes of enabling or assisting the Board to exercise any of its
functions,
(c) to an approved regulator for the purposes of enabling or assisting the approved
regulator to exercise any of its regulatory functions,
(d) with the consent of the person to whom it relates and (if different) the person
from whom the restricted person obtained it,
(e) for the purposes of an inquiry with a view to the taking of any criminal
proceedings or for the purposes of any such proceedings,
(f) where the disclosure is required by or by virtue of any provision made by or
under this Act or any other enactment or other rule of law,
(g) to such persons (other than approved regulators) who exercise regulatory
functions as may be prescribed by order made by the Lord Chancellor, for
such purposes as may be so prescribed.
(4) Subsections (2) and (3) are subject to subsection (5).
(5) The Lord Chancellor may by order prevent the disclosure of restricted information by
virtue of subsection (2) or (3) in such circumstances, or for such purposes, as may be
prescribed in the order.
Commencement Information
197 S. 152 partly in force: s. 152 not in force at Royal Assent see s. 211; s. 152 in force for certain
purposes at 1.1.2010 by S.L. 2009/3250, art. 2(d) (with art. 9)
198 S. 152 in force at 6.10.2010 in so far as not already in force by S.I. 2010/2089, art. 2(a)
153 Data protection
In section 31 of the Data Protection Act 1998 (c. 29) (regulatory activity), after
subsection (4B) (inserted by section 170) insert—
“(4C) Personal data processed for the purposes of the function of considering a
complaint under the scheme established under Part 6 of the Legal Services Act
2007 (legal complaints) are exempt from the subject information provisions in
any case to the extent to which the application of those provisions to the data
would be likely to prejudice the proper discharge of the function.”
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Part 6 — Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
199 _ S. 153 in force at 6.10.2010 by S.1. 2010/2089, art. 2(a)
Defamation
154 Protection from defamation claims
For the purposes of the law of defamation—
(a) proceedings in relation to a complaint under the ombudsman scheme are to
be treated as if they were proceedings before a court, and
(b) the publication of any matter by the OLC under this Part is absolutely
privileged.
Commencement Information
1100S. 154 in force at 6.10.2010 by S.I. 2010/2089, art. 2(a)
Scheme rules
155 Consent requirements for rules
(1) Before making scheme rules under any provision of this Part, the OLC must obtain—
(a) the consent of the Board, and
(b) _ in the case of rules under section 136 (charges payable by respondents), the
consent of the Lord Chancellor.
(2) In subsection (1) the reference to making rules includes a reference to modifying rules.
156 The Board's powers in respect of rules
(1) The Board may direct the OLC to take such steps as are necessary—
(a) to modify its scheme rules in accordance with such general requirements as
are specified in the direction, or
(b) to make a specified modification to its scheme rules.
(2) Before giving a direction under subsection (1)(b), the Board must—
(a) give the OLC a notice giving details of the proposed modification and
containing a statement that representations about the proposal may be made
to the Board within a period specified in the notice,
(b) _ publish a copy of that notice, and
(c) have regard to any representations duly made.
(3) The following provisions do not apply in relation to any modification made by the
OLC to its rules in compliance with a direction under subsection (1)(b)—
(a) section 155(1)(a) (requirement to obtain the Board's consent to rules);
(b) _ section 205 (requirement to consult before making rules).
(4) Where the Board revokes a direction, it must—
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100 Legal Services Act 2007 (. 29)
Part 6 — Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) give the OLC notice of the revocation, and
(b) _ publish that notice.
Effect on existing arrangements for redress ete
157 Approved regulators not to make provision for redress
(1) The regulatory arrangements of an approved regulator must not include any provision
relating to redress.
(2) If at the time this subsection comes into force the regulatory arrangements of
an approved regulator contravene subsection (1), any provision relating to redress
included in those regulatory arrangements ceases to have effect at that time, subject
to subsection (3).
(3) An order under section 211 which appoints a day for the coming into force of
subsection (2) may include transitional provision in respect of any proceedings which,
immediately before that day are awaiting determination under any provision relating
to redress made by an approved regulator.
This subsection is without prejudice to any other transitional provision which may be
made by or under this Act.
(4) For the purposes of this section “provision relating to redress” means any provision
made in regulatory arrangements (whether it is statutory or non-statutory) for redress
in respect of acts or omissions of authorised persons and any provision connected with
such provision.
(5) Nothing in this section prevents an approved regulator making—
(a) provision in its regulatory arrangements of the kind required by section 112
(requirement for authorised persons to have complaints procedures etc),
(b) indemnification arrangements or compensation arrangements, or
(c) provision which by virtue of section 158 is not prohibited by this section.
(6) In subsection (4) “authorised person” means an authorised person in relation to any
activity which is a reserved legal activity.
(7) This section applies to licensing rules made by the Board in its capacity as a licensing
authority as it applies in relation to the regulatory arrangements of an approved
regulator.
Modifications etc. (not altering text)
C13 S. 157 restricted (7.3.2008) by 1985 c. 61 s. 43(3A) (as inserted by Legal Services Act 2007 (c. 29), ss.
177, 211 {Sch. 16 para. 84(3)} (with ss. 29, 192, 193); S.I. 2008/222, art. 2(f)
C14 S. 157 restricted by 1985 c. 61, s. 43(3A) (as inserted (1.10.2011) by Legal Services Act 2007 (c. 29),
s. 211(2), Sch. 16 para. 84(3) (With ss. 29, 192, 193); S.I. 2011/2196, art. 2(1)(D)
Commencement Information
1101S. 157(1) (2) (4)-(7) in force at 6.10.2010 by S.I. 2010/2089, art. 2(a) (with arts. 5-8) (as amended
(30.9.2011) by S.. 2011/2196, art. 6)
1102S. 157(3) in force at 2.8.2010 by S.1. 2010/1118, art. 2(a)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
158 Regulatory arrangements not prohibited by section 157
(1) Section 157 does not prohibit the regulatory arrangements of an approved regulator
from making provision requiring, or authorising the approved regulator to require, a
relevant authorised person—
(a) to investigate whether there are any persons who may have a claim against the
relevant authorised person in relation to a matter specified by the approved
regulator;
(b) to provide the approved regulator with a report on the outcome of the
investigation;
(c) to identify persons (“affected persons”) who may have such a claim;
(d) to notify affected persons that they may have such a claim;
(e) to provide affected persons with information about the relevant authorised
person's complaints procedures and the ombudsman scheme;
(f) to ensure that the relevant authorised person's complaints procedures operate
as if an affected person had made a complaint against the relevant authorised
person in respect of the act or omission to which the claim relates.
(2) For the purposes of subsection (1) “claim”, in relation to a relevant authorised person,
means a claim for redress resulting from an act or omission of that person.
(3) For the purposes of this section—
(a) “relevant authorised person”, in relation to an approved regulator, means a
person authorised by that approved regulator to carry on an activity which is
areserved legal activity, and
(b) a relevant authorised person's complaints procedures are the procedures
established by that person, or which that person participates in or is subject
to, in accordance with regulatory arrangements made in accordance with
section 112.
(4) This section applies in relation to the Board in its capacity as a licensing authority as
it applies in relation to an approved regulator, and in relation to the Board references
to regulatory arrangements are to be read as references to the Board's licensing rules.
Commencement Information
1103. S. 158 in force at 6.10.2010 by S.
2011/2196, art. 6)
1010/2089, art. 2¢a) (with art. 5) (as amended (30.9.2011) by S.I
159 Legal Services Complaints Commissioner and Legal Services Ombudsman
(1) The offices of Legal Services Complaints Commissioner and Legal Services
Ombudsman are abolished.
(2) Accordingly—
(a) sections 51 and 52 of, and Schedule 8 to, the Access to Justice Act 1999 (c. 22),
and
(b) sections 21 to 26 of, and Schedule 3 to, the Courts and Legal Services Act
1990 (c. 41),
are repealed.
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102 Legal Services Act 2007 (. 29)
Part 7 — Further provisions relating to the Board and the OLC
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1104S. 159(1)(2)(b) in force at 6.10.2010 for specified purposes by S.I. 2010/2089, art. 2(a)
1105. S. 159(1)(2)(b) in force at 31.12.2011 for specified purposes by S.1. 2010/2089, art. 4(a)
1106S. 159(2)(a) in force at 6.10.2010 by S.I. 2010/2089, art. 2(a)
1107S. 159(2)(b) in force at 1.1.2011 for specified purposes by S.I. 2010/2089, art. 3(a)
Interpretation
160 Interpretation of Part 6
In this Part—
“complainant”, in relation to a complaint, means the person who makes the
complaint;
“relevant authorising body”, in relation to a person, means—
(a) an approved regulator by which the person is authorised to carry on an
activity which is a reserved legal activity, or
(b) where the person is authorised to carry on such an activity by the Board
in its capacity as a licensing authority, the Board;
“respondent”, in relation to a complaint, is to be construed in accordance
with section 125 (except that, where scheme rules of the kind mentioned in
section 133(3)(c) have effect, references to the “respondent” include a person
treated as a co-respondent under those rules).
Claims management services
¥161 Extension of Part 6 to claims management services
Textual Amendments
F60 —S. 161 omitted (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force) by virtue
of The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.L
2018/1253), arts. 1(2)(3), 95(4) (with arts. 106, 109)
PART 7
FURTHER PROVISIONS RELATING TO THE BOARD AND THE OLC
Guidance
162 Guidance
(1) The Board may give guidance—
(a) about the operation of this Act and of any order made under it;
(b) about the operation of any rules made by the Board under this Act;
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(c) about any matter relating to the Board's functions;
(d) for the purpose of meeting the regulatory objectives;
(e) about the content of licensing rules;
(f) about any other matters about which it appears to the Board to be desirable
to give guidance.
(2) Guidance under this section may consist of such information and advice as the Board
considers appropriate.
(3) The Board may give financial or other assistance to persons giving information or
advice of a kind which the Board could give under this section.
(4) The Board may—
(a) publish its guidance,
(b) _ offer copies of its published guidance for sale at a reasonable price, and
(c) if it gives guidance in response to a request made by any person, make a
reasonable charge for that guidance.
(5) When exercising its functions, the Board may have regard to the extent to which an
approved regulator has complied with any guidance issued under this section which
is applicable to the approved regulator.
(6) When exercising its functions—
(a) in its capacity as an approved regulator by virtue of an order under
section 62(1)(a), or
(b) _ in its capacity as a licensing authority under Part 5,
the Board must have regard to any guidance it has issued under this section.
Voluntary arrangements
163 Voluntary arrangements
(1) The Board may enter into arrangements with any person under which the Board is to
provide assistance for the purpose of improving standards of service and promoting
best practice in connection with the carrying on of any legal activity.
(2) These arrangements may (among other things) provide for the Board to give advice
on—
(a) _ the best regulatory practice, or
(b) the contents of codes of practice or other voluntary arrangements.
(3) Arrangements under this section may include provision as to the terms on which
assistance is to be provided by the Board (including provision as to payment).
(4) Where the Board enters into arrangements under this section, it must publish a
statement giving details of the arrangements and explaining what they are intended
to achieve.
164 Power to establish voluntary scheme for resolving complaints
(1) This section and section 166 provide for a scheme under which legal services
complaints may be resolved quickly and with minimum formality by an independent
person.
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104 Legal Services Act 2007 (. 29)
Part 7 — Further provisions relating to the Board and the OLC
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) The OLC may make rules (“voluntary scheme rules”) establishing such a scheme (“the
voluntary scheme”), but only in relation to such kinds of legal services complaints
as may be specified by order made by the Lord Chancellor for the purposes of this
section.
(3) An order under subsection (2) may in particular specify a kind of legal services
complaint by reference to the description of the complainant, of the respondent, or of
the legal services to which the complaint relates.
(4) “Legal services complaint” means a complaint which relates to an act or omission
of an eligible person (“the respondent”) in the course of that person providing legal
services.
(5) For that purpose a person is eligible if at the time the act or omission took place there
was no activity in relation to which the person—
(a) was an authorised person, or
(b) _ is to be regarded as having been such a person by virtue of section 129.
(6) Under the voluntary scheme—
(a) redress may be provided to the complainant, but
(b) no disciplinary action may be taken against the respondent.
(7) Voluntary scheme rules may confer functions on ombudsmen for the purposes of the
voluntary scheme.
(8) Section 131 applies for the purposes of the voluntary scheme as it applies for the
purposes of the ombudsman scheme.
(9) Sections 155 and 156 apply in relation to voluntary scheme rules as they apply in
relation to scheme rules.
(10) In this section—
“legal services” means services provided by a person which consist of or
include legal activities carried on by, or on behalf of, that person;
“the voluntary scheme” and “voluntary scheme rules” have the meaning
given by subsection (2).
Commencement Information
T108_ S. 164 in force at 6.10.2010 by S.
1010/2089, art. 2(a)
165 Procedure for making orders under section 164
(1) The Lord Chancellor may make an order under section 164(2) only on the
recommendation of an interested body.
(2) An interested body must, if requested to do so by the Lord Chancellor, consider
whether or not it is appropriate to make a recommendation for such an order.
(3) An interested body must, before making a recommendation for such an order—
(a) publish a draft of the proposed recommendation,
(b) _ invite representations regarding the proposed recommendation, and
(c) consider any such representations which are made.
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Part 7 — Further provisions relating to the Board and the OLC
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) Where the Lord Chancellor receives a recommendation from an interested body for
an order under section 164(2), the Lord Chancellor must consider whether to follow
the recommendation.
(5) If the Lord Chancellor decides not to follow the recommendation, the Lord Chancellor
must publish a notice to that effect which includes the Lord Chancellor's reasons for
the decision.
(6) In this section “interested body” means—
(a) the OLC,
(b) the Board, or
(c) the Consumer Panel.
Commencement Information
1109S. 165 in force at 6.10.2010 by S.I. 2010/2089, art. 2(a)
166 Operation of voluntary scheme
(1) A complaint may be determined under the voluntary scheme only if—
(a) the complainant falls within a class of persons specified in voluntary scheme
rules as qualified to make a complaint,
(b) the complainant wishes to have the complaint dealt with under the scheme,
(c) atthe time of the act or omission to which the complaint relates, the respondent
was participating in the scheme and voluntary scheme rules were in force in
relation to the legal services in question, and
(d) at the time the complaint is made under the scheme the respondent has not
withdrawn from the scheme in accordance with its provisions.
(2) A person qualifies for participation in the voluntary scheme if the person falls within
a class of persons specified as qualified in voluntary scheme rules.
(3) In such circumstances as may be specified in voluntary scheme rules, a complaint
may be dealt with under the voluntary scheme even though subsection (1)(c) would
otherwise prevent that.
(4) Subsection (3) applies only if the respondent participates in the voluntary scheme on
the basis that complaints of that kind are to be dealt with under the scheme.
(5) Complaints are to be dealt with and determined under the voluntary scheme on
standard terms fixed by the OLC with the consent of the Board.
(6) The OLC may modify standard terms only with the consent of the Board.
(7) Section 204(3) applies to standard terms as it applies to rules made by the OLC.
(8) The standard terms may in particular make provision—
(a) requiring the making of payments to the OLC by persons participating in the
scheme of such amounts, at such times and in such circumstances, as may be
determined by the OLC;
(b) as to the award of costs on the determination of a complaint (including
provision for an award of costs in favour of the OLC for the purpose of
providing a contribution to resources deployed in dealing with the complaint).
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106 Legal Services Act 2007 (. 29)
Part 7 — Further provisions relating to the Board and the OLC
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(9) In this section “legal services”, “the voluntary scheme” and “voluntary scheme rules”
have the same meaning as in section 164.
Commencement Information
1110S. 166 in force at 6.10.2010 by S.1. 2010/2089, art. 2(a)
Disclosure and use of information
167 _ Restricted information
(1) Except as provided by section 168, restricted information must not be disclosed—
(a) by a restricted person, or
(b) by any person who receives the information directly or indirectly from a
restricted person.
(2) In this section and section 168—
“restricted information” means information (other than excluded
information) which is obtained by the Board in the exercise of its functions;
“restricted person” means—
(a) the Board (including the Board in its capacity as an approved regulator
or a licensing authority),
(b) a person who exercises functions delegated under paragraph 23 of
Schedule 1 or section 73 or by virtue of section 64(2)(k).
(3) For the purposes of subsection (2) “excluded information” means—
(a) information which is in the form of a summary or collection of information
so framed as not to enable information relating to any particular person to be
ascertained from it;
(b) information which at the time of the disclosure is or has already been made
available to the public from other sources;
(c) information which was obtained more than 70 years before the date of the
disclosure.
Commencement Information
T111 _S. 167 wholly in force at 1.1.2010 see s. 211 and S.I. 2009/3250, art. 2(e) (subject to art. 3(2) (as
amended (30.9.2011) by S.1. 2011/2196, arts. 1(2), 5) and with art. 9)
168 Disclosure of restricted information
(1) A restricted person may disclose restricted information to another restricted person.
(2) Restricted information may be disclosed for the purposes of enabling or assisting the
Board to exercise its functions (whether as an approved regulator, a licensing authority
or otherwise).
(3) Section 167 also does not preclude the disclosure of restricted information—
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Part 7 — Further provisions relating to the Board and the OLC
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) where the disclosure is a result of the Board exercising any power to publish
information under this Act;
(b) for the purposes of enabling or assisting the OLC, ombudsmen or persons who
exercise functions delegated under paragraph 22 of Schedule 15, to exercise
any of its or their functions,
(c) to an approved regulator for the purposes of enabling or assisting the approved
regulator to exercise any of its functions,
(d) with the consent of the person to whom it relates and (if different) the person
from whom the restricted person obtained it,
(e) for the purposes of an inquiry with a view to the taking of any criminal
proceedings or for the purposes of any such proceedings,
(f) where the disclosure is required by or by virtue of any provision made by or
under this Act or any other enactment or other rule of law, or
(g) to such persons (other than approved regulators) who exercise regulatory
functions as may be prescribed by order made by the Lord Chancellor, for
such purposes as may be so prescribed.
(4) Subsections (2) and (3) are subject to subsection (5).
(5) The Lord Chancellor may by order prevent the disclosure of restricted information by
virtue of subsection (2) or (3) in such circumstances, or for such purposes, as may be
prescribed in the order.
Commencement Information
T1128. 168 wholly in force at 1.1.2010 see s. 211 and S.1. 2009/3250, art. 2(e) (subject to art. 3(2) (as
amended (30.9.2011) by S.I. 2011/2196, arts. 1(2), 5) and with art. 9)
169 _ Disclosure of information to the Board
(1) Information which is held by or on behalf of a permitted person (whether obtained
before or after this section comes into force) may be disclosed to the Board for the
purposes of enabling or assisting the Board to exercise its functions (whether as an
approved regulator, a licensing authority or otherwise).
(2) A disclosure under this section is not to be taken to breach any restriction on the
disclosure of information (however imposed).
(3) But nothing in this section authorises the making of a disclosure—
(a) which contravenes [**'the data protection legislation], or
(b) which is prohibited by ["@any of Parts 1 to 7 or Chapter I of Part 9 of the
Investigatory Powers Act 2016].
(4) This section does not affect a power to disclose which exists apart from this section.
(5) The following are permitted persons—
(a) achief officer of police of a police force in England and Wales;
[**(b) _ the chief constable of the Police Service of Scotland;]
(c) the Chief Constable of the Police Service of Northern Ireland;
(d) the [*“Director General of the National Crime Agency];
(e) the Commissioners for Her Majesty's Revenue and Customs;
108 Legal Services Act 2007 (. 29)
Part 7 — Further provisions relating to the Board and the OLC
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
[(f)__ the Financial Conduct Authority;
(g) the Prudential Regulation Authority;
(h) _ the Bank of England.]
(6) The Lord Chancellor may by order designate as permitted persons other persons
who exercise functions which the Lord Chancellor considers are of a public nature
(including a person discharging regulatory functions in relation to any description of
activities).
(7) Information must not be disclosed under this section on behalf of the Commissioners
for Her Majesty's Revenue and Customs unless the Commissioners authorise the
disclosure.
(8) The power to authorise a disclosure under subsection (7) may be delegated (either
generally or for a specific purpose) to an officer of Revenue and Customs.
["°(9) In this section, “the data protection legislation” has the same meaning as in the Data
Protection Act 2018 (see section 3 of that Act).]
Textual Amendments
F61 Words in s. 169(3)(a) substituted (25.5.2018) by Data Protection Act 2018 (c. 12), s. 212(1), Seh. 19
para. 147(2) (with ss. 117, 209, 210); S.I. 2018/625, reg. 2(1)(g)
F62 Words in s. 169(3)(b) substituted (27.6.2018) by Investigatory Powers Act 2016 (c. 25), s. 272(1), Sch.
10 para. 20 (with Sch. 9 paras. 7, 8, 10); S.I. 2018/652, reg. 12(g)(iii)
F63__S. 169(5)(b) substituted (1.4.2013) by The Police and Fire Reform (Scotland) Act 2012 (Consequential
Provisions and Modifications) Order 2013 (S.L. 2013/602), art. 1(2), Sch. 2 para. 58
F64 Words in s. 169(5)(d) substituted (7.10.2013) by Crime and Courts Act 2013 (c. 22), s. 61(2), Sch. 8
para. 187; S.I. 2013/1682, art. 3(v)
F65__S. 169(5)()-(h) substituted for s. 169(5)(f) (14.2013) by Financial Services Act 2012 (c. 21), s.
122(3), Sch. 18 para. 125(3) (with Sch. 20); S.I. 2013/423, art. 3, Sch.
F66 S. 169(9) inserted (25.5.2018) by Data Protection Act 2018 (c. 12), s. 212(1), Sch. 19 para. 147(3)
(with ss. 117, 209, 210); S.. 2018/625, reg. 2(1)(g)
Commencement Information
T113_S. 169 wholly in force at 1.1.2010 see s. 211 and S.I. 2009/3250, art. 2(e) (subject to art
amended (30.9.2011) by S.L. 2011/2196, arts. 1(2), 5) and with art. 9)
170 __—Data protection
In section 31 of the Data Protection Act 1998 (c. 29) (regulatory activity), after
subsection (4A) insert—
“(4B) Personal data processed for the purposes of discharging any function of the
Legal Services Board are exempt from the subject information provisions in
any case to the extent to which the application of those provisions to the data
would be likely to prejudice the proper discharge of the function.”
171 Use of information
Information obtained by the Board (whether in its capacity as an approved regulator
or licensing authority or otherwise) may be used by the Board for the purposes of, or
for any purpose connected with or incidental to, the exercise of its functions.
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Legal Services Act 2007 (c. 29) 109
Part 7 — Further provisions relating to the Board and the OLC
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1114S. 171 wholly in force at 1.1.2010 see s. 211 and S.I. 2009/3250, art. 2(e) (subject to art. 3(2) (as
amended (30.9.2011) by S.L. 2011/2196, arts. 1(2), 5) and with art. 9)
Payments by Lord Chancellor
172, Funding
(1) The Lord Chancellor may—
(a) pay to the Board such sums as the Lord Chancellor may determine as
appropriate for the purpose of meeting the expenditure of the Board incurred
under or for the purposes of this Act or any other enactment (including any
expenditure incurred by it in its capacity as an approved regulator or its
capacity as a licensing authority), and
(b) pay to the OLC such sums as the Lord Chancellor may determine as
appropriate for the purposes of meeting the expenditure of the OLC incurred
under or for the purposes of this Act.
(2) The Lord Chancellor may—
(a) determine the manner in which and times at which the sums mentioned in
subsection (1) are to be paid, and
(b) impose conditions on the payment of those sums.
The levy
173 The levy
(1) The Board must make rules providing for the imposition of a levy on leviable bodies
for the purpose of raising an amount corresponding to the aggregate of—
(a) the leviable Board expenditure,
(b) the leviable OLC expenditure, and
(c) _ the leviable Lord Chancellor expenditure.
(2) A levy imposed under this section is payable to the Board.
(3) Before making rules under this section, the Board must satisfy itself that the
apportionment of the levy as between different leviable bodies will be in accordance
with fair principles.
(4) The Board may not make rules under this section except with the consent of the Lord
Chancellor.
(5) “Leviable body” means—
(a) an approved regulator,
I) ee ene rr ere
(c) any other person prescribed by the Lord Chancellor by order.
(6) The “leviable Board expenditure” means the difference between—
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110 Legal Services Act 2007 (. 29)
Part 7 — Further provisions relating to the Board and the OLC
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) the expenditure of the Board incurred under or for the purposes of this Act
or any other enactment (including any expenditure incurred in connection
with its establishment and any expenditure incurred by it in its capacity as an
approved regulator or its capacity as a licensing authority), and
(b) the aggregate of the amounts which the Board pays into the Consolidated Fund
under section 175(1)(a), (c) to (¢) and (k) to (m) ™....
(7) The “leviable OLC expenditure” means the difference between—
(a) the expenditure of the OLC incurred under or for the purposes of this Act
(including any expenditure incurred in connection with its establishment), and
(b) the aggregate of the amounts which the OLC pays into the Consolidated Fund
under section 175(1)(g), (h) or (n).
(8) But subsection (7)(a) does not include such proportion of the expenditure of the OLC
incurred under or for the purposes of this Act as may reasonably be attributed to the
exercise of its functions under sections 164 to 166.
(9) The “leviable Lord Chancellor expenditure” means any expenditure incurred by
the Lord Chancellor in connection with the establishment of the Board or the
OLC (including expenditure incurred under or for the purposes of paragraph 10 of
Schedule 22 (Interim Chief Executive of the OLC)).
(10) But the leviable Lord Chancellor expenditure does not include any expenditure under
section 172 (funding of Board and OLC).
(11) In subsection (5) the reference to “an approved regulator” does not include the Board
where it is designated as an approved regulator under section 62.
Textual Amendments
F67__S. 173(5)(b) omitted (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force) by
virtue of The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018
(S.. 2018/1253), arts. 1(2)(3), 95(5)(a)
F68 Words in s. 173(6)(b) omitted (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in
force) by virtue of The Financial Services and Markets Act 2000 (Claims Management Activity) Order
2018 (S.1. 2018/1253), arts. 1(2)(3), 95(5)(b)
Commencement Information
T1158. 173 wholly in force at 1.1.2010; s. 173 not in force at Royal Assent see s. 211; s. 173(1)(3)-(11) in
force at 1.1.2009 by S.I. 2008/3149, art. 2(f) (subject to art. 3); s. 173 in force otherwise at 1.1.2010
by S.L. 2009/3250, art. 2(e) (with art. 9)
174 The levy: supplementary provisions
(1) In this section—
“Jeviable body” has the meaning given by section 173;
“the levy” means the levy payable by virtue of that section;
“the levy rules” means the rules made in accordance with that section.
(2) The levy is to be payable at such rate and at such times as may be specified in the
levy rules.
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Legal Services Act 2007 (c. 29) ll
Part 7 — Further provisions relating to the Board and the OLC
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) The provision made in the levy rules for determining the amount of the levy payable
in respect of a particular period—
(a) may require account to be taken of estimated as well as actual expenditure
and receipts, and
(b) must require the Board to obtain the Lord Chancellor's agreement to the
amount payable in respect of a particular period.
(4) The levy rules may provide for different parts of the levy to be payable at different
rates.
(5) Any amount which is owed to the Board in accordance with the levy rules may be
recovered as a debt due to the Board.
(6) The levy rules must require the Board—
(a) to calculate the amount of the levy payable by each leviable body,
(b) to notify each leviable body of its liability to pay an amount of levy and the
time or times at which it becomes payable.
(7) Without prejudice to subsections (2) to (6), the levy rules may—
(a) make provision about the collection and recovery of the levy;
(b) make provision about the circumstances in which any amount of the levy
payable may be waived;
(c) provide that if the whole or any part of an amount of the levy payable under the
levy rules is not paid by the time when it is required to be paid under the rules,
the unpaid balance from time to time carries interest at the rate determined by
or in accordance with the levy rules.
Commencement Information
T116 S. 174 wholly in force at 1.1.2010; s. 174 not in force at Royal Assent see s. 211; s. 174(1)(3)(4)(6)(7)
in force at 1.1.2009 by S.I. 2008/3149, art. 2(f) (subject to art. 3); s. 174 in force otherwise at 1.1.2010
by S.L 2009/3250, art. 2(e) (with art. 9)
['@OLC expenditure relating to claims management services]
Textual Amendments
F69__S.174A and cross-heading inserted (21.3.2014) by Financial Services (Banking Reform) Act 2013
(©. 33), ss. 140(5), 148(4); S.I. 2014/785, art. 2
*174A OLC expenditure relating to claims management services
Textual Amendments
F70__S. 174A omitted (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force) by
Virtue of The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018
(S.. 2018/1253), arts. 1(2)(3), 95(6)
Legal Services Act 2007 (. 29)
Part 7 — Further provisions relating to the Board and the OLC
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
175
Payments into the Consolidated Fund
Amounts payable into the Consolidated Fund
(1) The following must be paid into the Consolidated Fund—
(a)
(b)
(©)
(d)
(©)
()
(g)
(h)
(i)
@
(k)
0)
(m)
(n)
any application fee received by the Board;
any sum received by the Board under sections 37 to 40 (financial penalties
and interest);
amounts paid to the Board under section 49(10) or 50(5) (charges for
providing draft and final policy statements);
any sums received by the Board in its capacity as an approved regulator by
virtue of rules within section 64(2)(f) (practising fees etc);
any sums received by the Board in its capacity as a licensing authority by
virtue of its licensing rules within paragraph 1, 4, 6, 7 or 21 of Schedule 11 or
by virtue of paragraph 17 or 18 of Schedule 14;
any sums received by the Board in its capacity as a licensing authority under
sections 95 to 97 (financial penalties and interest);
any charges received by the OLC by virtue of rules under section 136 (charges
payable by respondents), together with any interest payable in accordance
with those rules;
any amount payable to the OLC in accordance with scheme rules within
subsection (3)(i) of section 133 (costs of OLC payable by the complainant or
the respondent in relation to a complaint), together with any interest payable
on such an amount under subsection (6) of that section;
any amount payable to the OLC by virtue of standard terms within
section 166(8);
any sum received by the Board in accordance with rules under section 173
(the levy);
amounts paid to the Board under section 162(4)(c) (charges for providing
copies of guidance);
any amount payable to the Board under arrangements entered into under
section 163 (voluntary arrangements);
amounts paid to the Board under subsection (8) of section 205 (charges for
providing copies of rules and draft rules);
amounts paid to the OLC under that subsection.
(2) In this section “application fee” means a fee within—
(a)
(b)
(©)
(d)
(©)
paragraph 3(3)(d) of Schedule 4 (application fees in respect of designation as
approved regulator);
section 45(3)(b) (application fees in respect of cancellation of designation as
approved regulator);
paragraph 1(4)(d) of Schedule 10 (application fees in respect of designation
as licensing authority);
section 76(3)(b) (application fees in respect of cancellation of designation as
licensing authority);
paragraph 3(4)(c) of Schedule 18 (application fees in respect of designation as
qualifying regulator for the purposes of Part 5 of the Immigration and Asylum
Act 1999 (¢. 33)).
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Legal Services Act 2007 (c. 29) 113
Part 8 — Miscellaneous provisions about lawyers etc
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
I117 S. 175 partly in force; s. 175 not in force at Royal Assent see s. 211; s. 175(1)(c)(k)(m)(n) in force
at 1.1.2009 by S.1. 2008/3149, art. 2(f); s. 175(1)(a)(b)(4)(4))2)(a)(b) in force at 1.1.2010 by S.1
2009/3250, art. 2(e) (with art. 9)
T1118 S. 175(1)(g)(h)(i) in force at 6.10.2010 by S.1. 2010/2089, art. 2(a)
I119_S. 175(2)(c)(4) in force at 2.8.2010 by S.1. 2010/1118, art. 2(a)
1120S. 175(2)(e) in force at 1.4.2011 by S.L. 201/720, art. 2(a)
PART 8
MISCELLANEOUS PROVISIONS ABOUT LAWYERS ETC
Duties of regulated persons
176 Duties of regulated persons
(1) A person who is a regulated person in relation to an approved regulator has a duty
to comply with the regulatory arrangements of the approved regulator as they apply
to that person.
(2) A person is a regulated person in relation to an approved regulator if the person—
(a) is authorised by the approved regulator to carry on an activity which is a
reserved legal activity, or
(b) is not so authorised, but is a manager or employee of a person who is so
authorised.
(3) This section applies in relation to the Board in its capacity as a licensing authority and
its licensing rules, as it applies in relation to an approved regulator and its regulatory
arrangements.
Commencement Information
1121S. 176 partly in force: s. 176 not in force at Royal Assent see s. 211; s 176(1)(2) in force at 1.1.2010 by
S.1, 2009/3250, art. 2(1)(i) (with art. 9)
Solicitors, the Law Society and the Disciplinary Tribunal
177 The Law Society, solicitors, recognised bodies and foreign lawyers
Schedule 16 contains amendments of —
(a) the Solicitors Act 1974 (c. 47),
(b) Part 1 of the Administration of Justice Act 1985 (c. 61) (recognised bodies),
and
(c) section 89 of, and Schedule 14 to, the Courts and Legal Services Act 1990
(c. 41) (foreign lawyers: partnerships and recognised bodies).
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114 Legal Services Act 2007 (¢. 29)
Part 8 ~ Miscellaneous provisions about lawyers etc
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
178 The Solicitors Disciplinary Tribunal: approval of rules
(1) If the Solicitors Disciplinary Tribunal (“the Tribunal”) makes an alteration of its rules
under section 46(9)(b) of the Solicitors Act 1974 (“the tribunal rules”), the alteration
does not have effect unless it is approved for the purposes of this Act.
(2) An alteration is approved for the purposes of this Act if—
(a) itis approved by the Board under Part 3 of Schedule 4 (alteration of approved
regulator's regulatory arrangements),
(b) it is an exempt alteration, or
(c) itis an alteration made in compliance with a direction under section 32 (given
by virtue of section 179).
(3) For the purposes of subsection (2)(a), paragraphs 20 to 27 of Schedule 4 (procedure for
approval of alterations of regulatory arrangements) apply in relation to an application
by the Tribunal for approval of an alteration or alterations of the tribunal rules as
they apply in relation to an application by an approved regulator for approval of an
alteration or alterations of its regulatory arrangements, but as if—
(a) paragraph 23 of that Schedule applied in relation to the Law Society as well
as the Tribunal,
(b) in paragraph 25(3) (grounds for refusal of application), paragraphs (d) and (e)
were omitted, and
(c) in paragraph 27(3) the reference to section 32 were a reference to that section
as applied (with modifications) by section 179.
(4) For the purposes of subsection (2)(b), an exempt alteration is an alteration which the
Board has directed is to be treated as exempt for the purposes of this section.
(5) A direction under subsection (4) may be specific or general, and must be published
by the Board.
(6) In this section references to an “alteration” of the tribunal rules include the making of
such rules and the modification of such rules.
179 Board's power to give directions to the Tribunal
Sections 32 to 34 and Schedule 7 (Board's powers to give directions) apply in relation
to the Tribunal as they apply in relation to an approved regulator, but as if—
(a) _ in section 32(1)—
(i) paragraphs (a) and (c) were omitted, and
(ii) in paragraph (b) after “failed” there were inserted “ to perform any of
its functions to an adequate standard (or at all) or”,
(b) in subsection (4)(b) of that section for “regulatory arrangements” there were
substituted “ rules under section 46(9)(b) of the Solicitors Act 1974”,
(c) section 34(3) were omitted, and
(d) paragraphs 2 and 10 of Schedule 7 applied in relation to the Law Society,
as well as the Tribunal, where it is proposed to give the Tribunal a direction
under section 32.
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Legal Services Act 2007 (c. 29) 11s
Part 8 — Miscellaneous provisions about lawyers etc
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
180 Functions of the Tribunal
Sections 69 and 70 (modification of functions of approved regulators) apply in relation
to the Tribunal as they apply in relation to an approved regulator, but as if—
(a) for section 69(3) (purpose for which modifying order may be made) there
were substituted—
“(3) The Board may make a recommendation under this section only with
a view to an order being made which enables the Tribunal to carry out
its role more effectively or efficiently.”, and
(b) subsections (4), (5) and (7) of that section were omitted.
Modifications etc. (not altering text)
C15 _S. 180 modified (temp.) (7.3.2008) by The Legal Services Act 2007 (Commencement No.1 and
Transitory Provisions) Order 2008 (S.I. 2008/222), art. 6
Other lawyers
181 Unqualified person not to pretend to be a barrister
(1) It is an offence for a person who is not a barrister—
(a) wilfully to pretend to be a barrister, or
(b) with the intention of implying falsely that that person is a barrister to take or
use any name, title or description.
(2) A person who is guilty of an offence under subsection (1) is liable—
(a) on summary conviction, to imprisonment for a term not exceeding [*”'the
general limit in a magistrates’ court] or a fine not exceeding the statutory
maximum (or both), and
(b) onconviction on indictment, to imprisonment for a term not exceeding 2 years
or a fine (or both).
(3) In relation to an offence under subsection (1) committed before [2 May 2022], the
reference in subsection (2)(a) to [*the general limit in a magistrates’ court] is to be
read as a reference to 6 months.
Textual Amendments:
F71 Words in s. 181(2)(a) substituted (7.2.2023 at 12.00 p.m.) by The Judicial Review and Courts Act 2022
(Magistrates’ Court Sentencing Powers) Regulations 2023 (S.L. 2023/149), regs. 1(2), 2(1), Sch. Pt. 1
table
F72_ Words in s. 181(3) substituted (28.4.2022) by The Criminal Justice Act 2003 (Commencement No. 33)
and Sentencing Act 2020 (Commencement No. 2) Regulations 2022 (S.1. 2022/500), regs. 1(2), 5(1),
Sch. Pt. 1
F73 Words in s. 181(3) substituted (7.2.2023 at 12.00 p.m.) by The Judicial Review and Courts Act 2022
(Magistrates’ Court Sentencing Powers) Regulations 2023 (S.I. 2023/149), regs. 1(2), 2(1), Sch. Pt. 1
table
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116 Legal Services Act 2007 (¢. 29)
Part 8 ~ Miscellaneous provisions about lawyers etc
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
182 Licensed conveyancers
Schedule 17 contains amendments relating to the Council for Licensed Conveyancers,
licensed conveyancers and bodies recognised under section 32 of the Administration
of Justice Act 1985 (c. 61).
183 Commissioners for oaths
(1) For the purposes of any enactment or instrument (including an enactment passed or
instrument made after the passing of this Act) “commissioner for oaths” includes an
authorised person in relation to the administration of oaths (“a relevant authorised
person”).
(2) A relevant authorised person has the right to use the title “Commissioner for Oaths”.
(3) A relevant authorised person may not carry on the administration of oaths in any
proceedings in which that person represents any of the parties or is interested.
(4) A relevant authorised person before whom an oath or affidavit is taken or made must
state in the jurat or attestation at which place and on what date the oath or affidavit
is taken or made.
(5) A document containing such a statement and purporting to be sealed or signed by a
relevant authorised person must be admitted in evidence without proof of the seal or
signature, and without proof that that person is a relevant authorised person.
(6) The Lord Chancellor may by order prescribe the fees to be charged by relevant
authorised persons in respect of the administration of an oath or the taking of an
affidavit.
(7) The Lord Chancellor may make an order under subsection (6) only—
(a) after consultation with the Board, and
(b) with the consent of the Lord Chief Justice and the Master of the Rolls.
(8) In this section “affidavit” has the same meaning as in the Commissioners for Oaths
Act 1889 (c. 10).
184 Trade mark attorneys
(1) The Trade Marks Act 1994 (c. 26) is amended as follows.
(2) In section 82 (recognition of agents) after “rules” insert “ and subject to the Legal
Services Act 2007”.
(3) For section 83 (the register of trade mark agents) substitute—
“83 The register of trade mark attorneys
(1) There is to continue to be a register of persons who act as agent for others for
the purpose of applying for or obtaining the registration of trade marks.
(2) In this Act a registered trade mark attorney means an individual whose name
is entered on the register kept under this section.
(3) The register is to be kept by the Institute of Trade Mark Attorneys.
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‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) The Secretary of State may, by order, amend subsection (3) so as to require
the register to be kept by the person specified in the order.
(5) Before making an order under subsection (4), the Secretary of State must
consult the Legal Services Board.
(6) An order under this section must be made by statutory instrument.
(7) An order under this section may not be made unless a draft of it has been laid
before, and approved by a resolution of, each House of Parliament.
83A Regulation of trade mark attorneys
(1) The person who keeps the register under section 83 may make regulations
which regulate—
(a) the keeping of the register and the registration of persons;
(b) the carrying on of trade mark agency work by registered persons.
(2) Those regulations may, amongst other things, make—
(a) provision as to the educational and training qualifications, and other
requirements, which must be satisfied before an individual may be
registered or for an individual to remain registered;
(b) provision as to the requirements which must be met by a body
(corporate or unincorporate) before it may be registered or for it
to remain registered, including provision as to the management and
control of the body;
(c) provision as to the educational, training or other requirements to be
met by regulated persons;
(d) provision regulating the practice, conduct and discipline of registered
persons or regulated persons;
(ec) provision authorising in such cases as may be specified in the
regulations the erasure from the register of the name of any person
registered in it, or the suspension of a person's registration;
(f) provision requiring the payment of such fees as may be specified in
or determined in accordance with the regulations;
(g) provision about the provision to be made by registered persons in
respect of complaints made against them;
(h) provision about the keeping of records and accounts by registered
persons or regulated persons;
(i) _ provision for reviews of or appeals against decisions made under the
regulations;
(j)__ provision as to the indemnification of registered persons or regulated
persons against losses arising from claims in respect of civil liability
incurred by them.
(3) Regulations under this section may make different provision for different
purposes.
(4) Regulations under this section which are not regulatory arrangements within
the meaning of the Legal Services Act 2007 are to be treated as such
arrangements for the purposes of that Act.
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‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(5) Before the appointed day, regulations under this section may be made only
with the approval of the Secretary of State.
(6) The powers conferred to make regulations under this section are not to be
taken to prejudice—
(a) any other power which the person who keeps the register may have
to make rules or regulations (however they may be described and
whether they are made under an enactment or otherwise);
(b) any rules or regulations made by that person under any such power.
(7) In this section—
“appointed day” means the day appointed for the coming into force
of paragraph I of Schedule 4 to the Legal Services Act 2007;
“manager”, in relation to a body, has the same meaning as in the
Legal Services Act 2007 (see section 207);
“registered person” means—
(a) a registered trade mark attorney, or
(b) a body (corporate or unincorporate) registered in the register
kept under section 83;
“regulated person” means a person who is not a registered person.
but is a manager or employee of a body which is a registered person;
“trade mark agency work” means work done in the course of
carrying on the business of acting as agent for others for the purpose
of—
(a) applying for or obtaining the registration of trade marks in the
United Kingdom [or elsewhere] , or
(b) conducting proceedings before the Comptroller relating to
applications for or otherwise in connection with the registration
of trade marks.”
(4) In section 84 (unregistered persons not to be described as registered trade mark agents)
(a) in subsection (2)—
(i) after “partnership” (in the first place) insert “ or other unincorporated
body ”, and
(ii) for “all the partners” to the end substitute “ the partnership or other
body is registered in the register kept under section 83. ”, and
(b) in subsection (3) for “all the directors” to the end substitute “ the body
corporate is registered in the register kept under section 83.”
(5) Omit section 85 (power to prescribe conditions ete for mixed partnerships and bodies
corporate).
(6) In section 87 (privilege for communications with registered trade mark attorneys), in
subsection (3)(c) at the beginning insert “ any other unincorporated body or”.
Textual Amendments
F74 Words in s. 184(3) inserted (16.12.2009) by The Legal Services Act 2007 (Functions of an Approved
Regulator) Order 2009 (S.I. 2009/3339), arts. 1, 2
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‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
185 Patent attorneys
(1) The Copyright, Designs and Patents Act 1988 (c. 48) is amended as follows.
(2) In section 274 (persons permitted to carry on business of a patent agent) in
subsection (1) after “this Part” insert “ and to the Legal Services Act 2007 ”.
(3) For section 275 (the register of patent agents) substitute—
“275 The register of patent attorneys
(1) There is to continue to be a register of persons who act as agent for others for
the purpose of applying for or obtaining patents.
(2) In this Part a registered patent attorney means an individual whose name is
entered on the register kept under this section.
(3) The register is to be kept by the Chartered Institute of Patent Attorneys.
(4) The Secretary of State may, by order, amend subsection (3) so as to require
the register to be kept by the person specified in the order.
(5) Before making an order under subsection (4), the Secretary of State must
consult the Legal Services Board.
(6) An order under this section must be made by statutory instrument.
(7) An order under this section may not be made unless a draft of it has been laid
before, and approved by a resolution of, each House of Parliament.
275A Regulation of patent attorneys
(1) The person who keeps the register under section 275 may make regulations
which regulate—
(a) the keeping of the register and the registration of persons;
(b) _ the carrying on of patent attorney work by registered persons.
(2) Those regulations may, amongst other things, make—
(a) provision as to the educational and training qualifications, and other
requirements, which must be satisfied before an individual may be
registered or for an individual to remain registered;
(b) provision as to the requirements which must be met by a body
(corporate or unincorporate) before it may be registered, or for it
to remain registered, including provision as to the management and
control of the body;
(c) provision as to the educational, training and other requirements to be
met by regulated persons;
(d) provision regulating the practice, conduct and discipline of registered
persons or regulated persons;
(e) provision authorising in such cases as may be specified in the
regulations the erasure from the register of the name of any person
registered in it, or the suspension of a person's registration;
(f) provision requiring the payment of such fees as may be specified in
or determined in accordance with the regulations;
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‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(g) provision about the provision to be made by registered persons in
respect of complaints made against them;
(h) provision about the keeping by registered persons or regulated
persons of records and accounts;
(i) _ provision for reviews of or appeals against decisions made under the
regulations;
(j)__ provision as to the indemnification of registered persons or regulated
persons against losses arising from claims in respect of civil liability
incurred by them.
(3) Regulations under this section may make different provision for different
purposes.
(4) Regulations under this section which are not regulatory arrangements within
the meaning of the Legal Services Act 2007 are to be treated as such
arrangements for the purposes of that Act.
(5) Before the appointed day, regulations under this section may be made only
with the approval of the Secretary of State.
(6) The powers conferred to make regulations under this section are not to be
taken to prejudice—
(a) any other power which the person who keeps the register may have
to make rules or regulations (however they may be described and
whether they are made under an enactment or otherwise);
(b) any rules or regulations made by that person under any such power.
(7) In this section—
“appointed day” means the day appointed for the coming into force
of paragraph I of Schedule 4 to the Legal Services Act 2007;
“manager”, in relation to a body, has the same meaning as in the
Legal Services Act 2007 (see section 207);
“patent attorney work” means work done in the course of carrying
on the business of acting as agent for others for the purpose of—
(a) applying for or obtaining patents, in the United Kingdom or
elsewhere, or
(b) conducting proceedings before the comptroller relating to
applications for, or otherwise in connection with, patents;
“registered person” means—
(a) a registered patent attorney, or
(b) a body (corporate or unincorporate) registered in the register
kept under section 275;
“regulated person” means a person who is not a registered person.
but is a manager or employee of a body which is a registered person.”
(4) In section 276 (persons entitled to describe themselves as patent attorneys)—
(a) in subsection (2)—
(i) after “partnership” (in the first place) insert “ or other unincorporated
body ”, and
(ii) for “all the partners” to the end substitute “ the partnership or other
body is registered in the register kept under section 275 ”, and
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) in subsection (3) for “all the directors” to the end substitute “ the body
corporate is registered in the register kept under section 275. ”
(5) Omit section 279 (power to prescribe conditions etc for mixed partnerships and bodies
corporate).
(6) In section 280 (privilege for communications with patent agents), in subsection (3),
at the end of paragraph (b) insert—
“(ba) an unincorporated body (other than a partnership) entitled to describe
itself as a patent attorney, or”.
186 Immigration advisers and immigration service providers
(1) Schedule 18 makes provision relating to Part 5 of the Immigration and Asylum Act
1999 (c, 33) (immigration advisers and immigration service providers).
(2) In that Schedule—
(a) Part 1 makes provision for approved regulators to become qualifying
regulators for the purposes of Part 5 of the Immigration and Asylum Act 1999,
(b) Part 2 contains amendments of that Act (which amongst other things enable
persons authorised by qualifying regulators to provide immigration advice and
immigration services in England and Wales), and
(c) Part 3 makes provision for certain persons to be treated, during a transitional
period, as authorised by qualifying regulators to provide such advice and
services.
Commencement Information
1122. S. 186 in force at 1.4.2011 by S.I. 2011/720, art. 2(a)
5187 Claims management services
Textual Amendments.
F75__S. 187 omitted (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force) by virtue
of The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.L
2018/1253), arts. 1(2)(3), 95(7) (with arts. 106, 108)
Advocates and litigators
188 Duties of advocates and li
(1) This section applies to a person who—
(a) exercises before any court a right of audience, or
(b) conducts litigation in relation to proceedings in any court,
by virtue of being an authorised person in relation to the activity in question.
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‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) A person to whom this section applies has a duty to the court in question to act with
independence in the interests of justice.
(3) That duty, and the duty to comply with relevant conduct rules imposed on the person
by section 176(1), override any obligations which the person may have (otherwise
than under the criminal law) if they are inconsistent with them.
(4) “Relevant conduct rules” are the conduct rules of the relevant authorising body which
relate to the exercise of a right of audience or the conduct of litigation.
(5) The relevant authorising body is—
(a) _ the approved regulator by which the person is authorised to exercise the right
of audience or conduct the litigation, or
(b) where the person is authorised to exercise the right of audience or conduct the
litigation by the Board in its capacity as a licensing authority, the Board.
189 Employed advocates
(1) This section applies where an authorised person in relation to the exercise of a
right of audience is employed as a Crown Prosecutor or in any other description of
employment.
(2) Qualification regulations or conduct rules of the approved regulator by whom the
person is authorised to carry on that activity which relate to the right of audience do
not have effect in relation to the person if—
(a) they—
(i) limit the courts before which, or proceedings in which, that activity
may be carried on by persons who are employed, or
(ii) limit the circumstances in which that activity may be carried on
by persons who are employed by requiring such persons to be
accompanied by some other person when carrying on that activity, and
(b) _ they do not impose the same limitation on persons who are authorised persons
in relation to the activity in question but are not employed.
Legal professional privilege
190 Legal professional privilege
(1) Subsection (2) applies where an individual (“P”) who is not a barrister or solicitor—
(a) provides advocacy services as an authorised person in relation to the exercise
of rights of audience,
(b) provides litigation services as an authorised person in relation to the conduct
of litigation,
(c) provides conveyancing services as an authorised person in relation to reserved
instrument activities, or
(d) provides probate services as an authorised person in relation to probate
activities.
(2) Any communication, document, material or information relating to the provision of
the services in question is privileged from disclosure in like manner as if P had at all
material times been acting as P's client's solicitor.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
3
(3) Subsection (4) applies where—
(a) a licensed body provides services to a client, and
(b) _ the individual (“E”) through whom the body provides those services—
(i) is a relevant lawyer, or
(ii) acts at the direction and under the supervision of a relevant lawyer
(“the supervisor”).
(4) Any communication, document, material or information relating to the provision of
the services in question is privileged from disclosure only if, and to the extent that, it
would have been privileged from disclosure if—
(a) the services had been provided by E or,
supervisor, and
(b) at all material times the client had been the client of E or, if E is not a relevant
lawyer, of the supervisor.
E is not a relevant lawyer, by the
(5) “Relevant lawyer” means an individual who is—
(a) asolicitor;
(b) a barrister;
(c) asolicitor in Scotland;
(d) an advocate in Scotland;
(e) asolicitor of the Court of Judicature of Northern Ireland;
(f) amember of the Bar of Northern Ireland;
(g) a registered foreign lawyer (within the meaning of section 89 of the Courts
and Legal Services Act 1990 (c. 41));
(h) _ an individual not within paragraphs (a) to (g) who is an authorised person in
relation to an activity which is a reserved legal activity; or
(i) a European lawyer (within the meaning of the European Communities
(Services of Lawyers) Order 1978 (S.I. 1978/1910) [°”, as it has effect by
virtue of regulation 5 of the Services of Lawyers and Lawyer’s Practice
(Revocation etc.) (EU Exit) Regulations 2020]).
(6) In this section—
“advocacy services” means any services which it would be reasonable
to expect a person who is exercising, or contemplating exercising, a right
of audience in relation to any proceedings, or contemplated proceedings, to
provide;
“litigation services” means any services which it would be reasonable
to expect a person who is exercising, or contemplating exercising, a
right to conduct litigation in relation to any proceedings, or contemplated
proceedings, to provide;
“conveyancing services” means the preparation of transfers, conveyances,
contracts and other documents in connection with, and other services ancillary
to, the disposition or acquisition of estates or interests in land;
“probate services” means the preparation of any papers on which to found
or oppose a grant of probate or a grant of letters of administration and the
administration of the estate of a deceased person.
(7) This section is without prejudice to any other enactment or rule of law by virtue
of which a communication, a document, material or information is privileged from
disclosure.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Textual Amendments
F76 Words in s. 190(5)(i) inserted (31.12.2020) by The Services of Lawyers and Lawyer’s Practice
(Revocation etc.) (EU Exit) Regulations 2020 (S.1. 2020/1342), reg. 1(1), Sch. para, 12(3) (with Sch.
para. 13)
PR
ECT
Employees of housing management bodies
191 _ Rights of audience etc of employees of housing management bodies
Afier section 60 of the County Courts Act 1984 (c. 28) insert—
“60A Rights of audience etc of employees of housing management bodies
(1) An employee of a housing management body who is authorised by that body
for the purposes of this section has—
(a) aright of audience in relation to any proceedings to which this section
applies, and
(b) aright to conduct litigation in relation to any such proceedings.
(2) This section applies to relevant housing proceedings in a county court before
a district judge which are brought—
(a) in the name of a local housing authority, and
(b) by the housing management body in the exercise of functions of
that local housing authority delegated to that body under a housing
management agreement.
(3) “Relevant housing proceedings” are—
(a) proceedings under section 82A of the Housing Act 1985 (demotion
because of anti-social behaviour);
(b) proceedings for possession of a dwelling-house subject to a secure
tenancy, where possession is sought on ground 2 in Part 1 of
Schedule 2 to that Act (anti-social behaviour);
(c) proceedings for possession of a dwelling-house subject to a demoted
tenancy;
(d) proceedings for a suspension order under section 121A of the Housing
Act 1985 (suspension of right to buy);
(e) proceedings under section 153A, 153B or 153D of the Housing Act
1996 (injunctions against anti-social behaviour);
(f) proceedings for the attachment of a power of arrest to an injunction
by virtue of section 91(2) of the Anti-social Behaviour Act 2003
or section 27(2) of the Police and Justice Act 2006 (proceedings
under section 222 of the Local Government Act 1972: power of arrest
attached to injunction);
(g) at a hearing at which a decision is made in relation to proceedings
within paragraphs (a) to (f), proceedings for permission to appeal
against that decision;
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(h) such other proceedings as the Lord Chancellor may prescribe by
order.
(4) An authorisation for the purposes of this section must be in writing.
(5) The power to make an order under subsection (3)(h) is exercisable by statutory
instrument subject to annulment by resolution of either House of Parliament.
(6) In subsection (3)(e) the reference to section 153A of the Housing Act 1996
is a reference to that section—
(a) as inserted by section 13 of the Anti-social Behaviour Act 2003, or
(b) as substituted by section 26 of the Police and Justice Act 2006.
(7) In this section—
“dwelling-house” has the same meaning as in Part 4 of the Housing
Act 1985;
“housing management agreement” means an agreement under
section 27 of the Housing Act 1985 (including an agreement to which
section 27B(2) or (3) of that Act applies);
“housing management body” means a person who exercises
management functions of a local housing authority by virtue of a
housing management agreement;
“local housing authority” has the same meaning as in section 27 of
the Housing Act 1985;
“right of audience” means the right to appear before and address a
court, including the right to call and examine witnesses;
“right to conduct litigation” means the right—
(a) to issue proceedings before any court in England and Wales,
(b) to commence, prosecute and defend such proceedings, and
(c) to perform any ancillary functions in relation to such
proceedings (such as entering appearances to actions);
“secure tenancy” has the same meaning as in Part 4 of the Housing
Act 1985.”
Savings
192 Powers of court in respect of rights of audience and conduct of litigation
(1) Nothing in this Act affects the power of any court in any proceedings to refuse to hear a
person (for reasons which apply to that person as an individual) who would otherwise
have a right of audience before the court in relation to those proceedings.
(2) Where a court refuses to hear a person as mentioned in subsection (1), it must give
its reasons for refusing.
(3) Where—
(a) immediately before the commencement of section 13 (entitlement to carry on
reserved legal activities), or
(b) by virtue of any provision made by or under an enactment passed
subsequently,
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
a court does not permit the appearance of advocates, or permits the appearance of
advocates only with leave, no person may exercise a right of audience before the court,
in relation to any proceedings, solely by virtue of being entitled to do so under this Act.
(4) But a court may not limit the right to appear before the court in any proceedings to
only some of those who are entitled to exercise that right by virtue of this Act.
(5) A court may not limit the right to conduct litigation in relation to proceedings before
the court to only some of those who are entitled to exercise that right by virtue of
this Act.
(6) In this section “advocate”, in relation to any proceedings, means a person exercising a
right of audience as a representative of, or on behalf of, any party to the proceedings.
193 _ Solicitors to public departments and the City of London
(1) Nothing in this Act is to prejudice or affect any rights or privileges of —
(a) the Treasury Solicitor,
(b) _ the solicitor to any other public department,
(c) _ the solicitor to the Church Commissioners, or
(d) _ the solicitor to the Duchy of Cornwall.
(2) Nothing in this Act requires a person to whom subsection (1) applies, or any clerk or
officer appointed to act for such a person, to be entitled to carry on an activity which is
a reserved legal activity in any case where, by virtue of section 88(1) of the Solicitors
Act 1974 (c. 47), it would not have been necessary for that person to be admitted and
enrolled and to hold a practising certificate under that Act if this Act had not been
passed.
(3) Nothing in this Act is to prejudice or affect any rights or privileges which immediately
before the commencement of this Act attached to the office of Solicitor of the City
of London.
(4) Nothing in section 17 (offence to pretend to be entitled) applies to a person to whom
subsection (1) applies, or any clerk or officer appointed to act for such a person, or to
the Solicitor of the City of London.
(5) A person who—
(a) exercises before any court a right of audience, or
(b) conducts litigation in relation to proceedings in any court,
by virtue of this section has a duty to the court in question to act with independence
in the interests of justice.
(6) That duty overrides any obligations which the person may have (otherwise than under
the criminal law) if it is inconsistent with them.
Pro bono representation
194 Payments in respect of pro bono representation ["”’: civil courts in England and
Wales]
(1) This section applies to proceedings in a civil court in which—
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‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) aparty to the proceedings (“P”) is or was represented by a legal representative
(/R”), and
(b) _ R's representation of P is or was provided free of charge, in whole or in part.
(2) This section applies to such proceedings even if P is or was also represented by a legal
representative not acting free of charge.
(3) The court may order any person to make a payment to the prescribed charity in respect
of R's representation of P (or, if only part of R's representation of P was provided free
of charge, in respect of that part).
(4) In considering whether to make such an order and the terms of such an order, the court
must have regard to—
(a) whether, had R's representation of P not been provided free of charge, it would
have ordered the person to make a payment to P in respect of the costs payable
to R by P in respect of that representation, and
(b) if it would, what the terms of the order would have been.
(5) The court may not make an order under subsection (3) against a person represented in
the proceedings if the person's representation was at all times within subsection (6).
(6) Representation is within this subsection if it is—
(a) provided by a legal representative acting free of charge, or
['(b) provided under arrangements made for the purposes of Part 1 of the Legal
Aid, Sentencing and Punishment of Offenders Act 2012.]
(7) Rules of court may make further provision as to the making of orders under
subsection (3), and may in particular—
(a) provide that such orders may not be made in civil proceedings of a description
specified in the rules;
(b) make provision about the procedure to be followed in relation to such orders;
(c) specify matters (in addition to those mentioned in subsection (4)) to which
the court must have regard in deciding whether to make such an order, and
the terms of any order.
P79,
(8) “The prescribed charity” means the charity prescribed ["”under section 194C].
(10) In this section—
“legal representative”, in relation to a party to proceedings, means a person
exercising a right of audience or conducting litigation on the party's behalf;
[' “civil court” means—
Fs
a ws
b the civil division of the Court of Appeal,
¢ the High Court,
ca [the family court,] or
d [the county] court;
Fas
“free of charge” means otherwise than for or in expectation of fee, gain or
reward.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(11) The court may not make an order under subsection (3) in respect of representation if
(or to the extent that) it is provided before this section comes into force.]
Textual Amendments
F77 Words ins. 194 heading inserted (28.6.2022) by Judicial Review and Courts Act 2022 (¢. 35), ss. 48(1)
(@), 518)
F78 _S. 194(6)(b) substituted (1.4.2013) by Legal Aid, Sentencing and Punishment of Offenders Act 2012
(c. 10), s. 151(1), Sch. 5 para, 68; S.1. 2013/453, art. 3(h) (with savings and transitional provisions in
S.1. 2013/534, art. 6)
F79 Words in s. 194(8) substituted (28.6.2022) by Judicial Review and Courts Act 2022 (c. 35), ss. 48(1)
(b), 518)
F80__S. 194(9) omitted (28.6.2022) by virtue of Judicial Review and Courts Act 2022 (c. 35), ss. 48(I)(©),
51(3)
F81_ Words ins. 194(10) substituted (1.10.2012) by Legal Aid, Sentencing and Punishment of Offenders
Act 2012 (c. 10) , ss. 61(1) , 151(1) (with s. 61(2)); 8.1 2012/2412 , art. 2(c)
F82__ Words in s. 194(10) omitted (28.6.2022) by virtue of Judicial Review and Courts Act 2022 (c. 35), ss.
48(1)(d)(i), 5103)
F83_ Words in s. 194(10) inserted (22.4.2014) by The Crime and Courts Act 2013 (Family Court
Consequential Provision) Order 2014 (S.I. 2014/605), arts. 1, 25
F84 Words ins. 194(10) substituted (22.4.2014) by Crime and Courts Act 2013 (c. 22), s. 61(3), Sch.
9 para. 101; S.1. 2014/954, art. 2(c) (with art. 3) (with transitional provisions and savings in S.1
2014/956, arts. 3-11)
F85__ Words in s. 194(10) omitted (28.6.2022) by virtue of Judicial Review and Courts Act 2022 (c. 35), ss.
48(1)(a)Gii), 513)
Commencement Information
1123. S. 194 wholly in force at 1.10.2008; s. 194 not in force at Royal assent see. s. 211; s. 194(8)(9) in force
and s. 194(10) in force for certain purposes at 30.6.2008 and s. 194 in force at 1.10.2008 in so far as
not already in force by S.I. 2008/1436 , arts. 2(a) , 3(a)
[*°194A Payments in respect of pro bono representation: tribunals
(1) This section applies to relevant tribunal proceedings in which—
(a) aparty to the proceedings (“P”) is or was represented by a legal representative
(R”), and
(b) _R’s representation of P is or was provided free of charge, in whole or in part.
(2) This section applies to such proceedings even if P is or was also represented by a legal
representative not acting free of charge.
(3) The tribunal may make an order under this section against a person if the condition in
subsection (5) is met in respect of that person (and if subsection (7) does not apply).
(4) An order under this section is an order for the person to make a payment to the
prescribed charity in respect of R’s representation of P (or, if only part of R’s
representation of P was provided free of charge, in respect of that part).
(5) The condition is that, had R’s representation of P not been provided free of charge,
the tribunal would have had the power to order the person to make a payment to P in
respect of sums payable to R by P in respect of that representation.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(6) In considering whether to make an order under this section against a person, and the
terms of such an order, the tribunal must have regard to—
(a) whether, had R’s representation of P not been provided free of charge, it would
have made an order against that person as described in subsection (5), and
(b) if it would, what the terms of the order would have been.
(7) The tribunal may not make an order under this section against a person represented in
the proceedings if the person’s representation was at all times within subsection (8).
(8) Representation is within this subsection if it is provided—
(a) by a legal representative acting free of charge, or
(b) by way of legal aid.
(9) For the purposes of subsection (8)(b), representation is provided by way of legal aid
if it is—
(a) provided under arrangements made for the purposes of Part 1 of the Legal
Aid, Sentencing and Punishment of Offenders Act 2012,
(b) made available under Part 2 or 3 of the Legal Aid (Scotland) Act 1986, or
(c) funded under Part 2 of the Access to Justice (Northern Ireland) Order 2003
(S.1. 2003/435 (N.I. 10).
(10) Procedure rules may make further provision as to the making of orders under this
section, and may in particular—
(a) provide that such orders may not be made in proceedings of a description
specified in the rules;
(b) make provision about the procedure to be followed in relation to such orders;
(c) specify matters (in addition to those mentioned in subsection (6)) to which
the tribunal must have regard in deciding whether to make such an order, and
the terms of any order.
(11) In this section “relevant tribunal proceedings” means proceedings in—
(a) _ the First-tier Tribunal,
(b) the Upper Tribunal,
(c) an employment tribunal,
(d) the Employment Appeal Tribunal, or
(e) the Competition Appeal Tribunal,
but does not include proceedings within devolved competence.
(12) For the purposes of subsection (11), proceedings are within devolved competence if
provision regulating the procedure to be followed in those proceedings could be made
by—
(a) an Act of the Scottish Parliament,
(b) an Act of Senedd Cymru (including one passed with the consent of a Minister
of the Crown within the meaning of section 158(1) of the Government of
Wales Act 2006), or
(c) an Act of the Northern Ireland Assembly the Bill for which would not require
the consent of the Secretary of State.
(13) The Lord Chancellor may by regulations—
(a) amend subsection (11) so as to add a tribunal to the list in that subsection, and
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) make consequential amendments of the definition of “procedure rules” in
subsection (14).
(14) In this section—
“free of charge” means otherwise than for or in expectation of fee, gain or
reward;
“legal representative” means a person who is—
(a) entitled in accordance with section 13 to carry on the activity of
exercising a right of audience or conducting litigation,
(b) a solicitor enrolled in the roll of solicitors kept under section 7 of the
Solicitors (Scotland) Act 1980,
(c) amember of the Faculty of Advocates in Scotland,
(d) a person having a right to conduct litigation, or a right of audience,
by virtue of section 27 of the Law Reform (Miscellaneous Provisions)
(Scotland) Act 1990,
(e) a member of the Bar of Northern Ireland, or
(f) a solicitor of the Court of Judicature of Northern Ireland,
irrespective of the capacity in which the person is acting in the proceedings
concerned;
“prescribed charity” means the charity prescribed under section 194C;
“procedure rules” means—
(a) Tribunal Procedure Rules, in relation to proceedings in the First-tier
Tribunal or the Upper Tribunal,
(b) Employment Tribunal Procedure Rules, in relation to proceedings in an
employment tribunal or the Employment Appeal Tribunal, or
(c) rules under section 15 of the Enterprise Act 2002, in relation to
proceedings in the Competition Appeal Tribunal;
“tribunal” does not include an ordinary court of law.
(15) An order under this section may not be made in respect of representation if (or to the
extent that) it was provided before section 48 of the Judicial Review and Courts Act
2022 came into force.]
Textual Amendments
F86 S. 194A inserted (28.6.2022) by Judicial Review and Courts Act 2022 (c. 35), ss. 48(2), 51(3)
[**’194B Payments in respect of pro bono representation: Supreme Court
(1) This section applies to proceedings in a relevant civil appeal to the Supreme Court
in which—
(a) _aparty to the proceedings (“P”) is or was represented by a legal representative
CR’) and
(b) _R’s representation of P is or was provided free of charge, in whole or in part.
(2) This section applies to such proceedings even if P is or was also represented by a legal
representative not acting free of charge.
(3) The Court may make an order under this section against a person if the condition in
subsection (5) is met in respect of that person (and if subsection (7) does not apply).
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) An order under this section is an order for the person to make a payment to the
prescribed charity in respect of R’s representation of P (or, if only part of R’s
representation of P was provided free of charge, in respect of that part).
(5) The condition is that, had R’s representation of P not been provided free of charge,
the Court would have had the power to order the person to make a payment to P in
respect of sums payable to R by P in respect of that representation.
(6) In considering whether to make an order under this section against a person, and the
terms of such an order, the Court must have regard to—
(a) whether, had R’s representation of P not been provided free of charge, it would
have made an order against that person as described in subsection (5), and
(b) if it would, what the terms of the order would have been.
(7) The Court may not make an order under this section against a person represented in
the proceedings if the person’s representation was at all times within subsection (8).
(8) Representation is within this subsection if it is—
(a) provided by a legal representative acting free of charge, or
(b) provided by way of legal aid.
(9) For the purposes of subsection (8)(b), representation is provided by way of legal aid
if it is—
(a) provided under arrangements made for the purposes of Part 1 of the Legal
Aid, Sentencing and Punishment of Offenders Act 2012, or
(b) funded under Part 2 of the Access to Justice (Northern Ireland) Order 2003
(S.1. 2003/435 (N.I. 10).
(10) Supreme Court Rules may make further provision as to the making of orders under
this section, and may in particular—
(a) provide that such orders may not be made in proceedings of a description
specified in the Rules;
(b) make provision about the procedure to be followed in relation to such orders;
(c) specify matters (in addition to those mentioned in subsection (6)) to which
the Court must have regard in deciding whether to make such an order, and
the terms of any order.
(11) In this section—
“free of charge” means otherwise than for or in expectation of fee, gain or
reward;
“legal representative”, in relation to a party to proceedings, means—
(a) a person exercising a right of audience, or conducting litigation, on the
party’s behalf pursuant to an entitlement under section 13, or
(b) a member of the Bar of Northern Ireland, or a solicitor of the Court of
Judicature of Northern Ireland, practising or acting as such on the party’s
behalf;
“prescribed charity” means the charity prescribed under section 194C;
“relevant civil appeal” means an appeal—
(a) from the High Court under Part 2 of the Administration of Justice Act
1969,
(b) from the Upper Tribunal under section 14B(4) of the Tribunals, Courts
and Enforcement Act 2007,
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(c) from the Court of Appeal under section 40(2) of the Constitutional
Reform Act 2005 or section 42 of the Judicature (Northern Ireland) Act
1978, or
(d) under section 13 of the Administration of Justice Act 1960 (appeal
in cases of contempt of court), other than an appeal from an order
or decision made in the exercise of jurisdiction to punish for criminal
contempt of court.
(12) An order under this section may not be made in respect of representation in
proceedings in a relevant civil appeal—
(a) from a court in Northern Ireland, or
(b) from the Upper Tribunal under section 14B(4) of the Tribunals, Courts and
Enforcement Act 2007,
if (or to the extent that) the representation was provided before section 48 of the
Judicial Review and Courts Act 2022 came into force.]
Textual Amendments
F87__S. 194B inserted (28.6.
22) by Judicial Review and Courts Act 2
(c. 35), ss. 48(3), 51(3)
["*194CSections 194 to 194B: the prescribed charity
(1) The Lord Chancellor may by order prescribe a registered charity for the purposes of
sections 194 to 194B.
(2) The charity must be one which provides financial support to persons who provide,
or organise or facilitate the provision of, legal advice or assistance (by way of
representation or otherwise) which is free of charge.
(3) In this section—
“free of charge” means otherwise than for or in expectation of fee, gain or
reward;
“registered charity” means a charity registered in accordance with—
(a) section 30 of the Charities Act 2011,
(b) section 3 of the Charities and Trustee Investment (Scotland) Act 2005
(asp 10), or
(c) section 16 of the Charities Act (Northern Ireland) 2008 (c. 12 (N.1)).
(4) An order under section 194(8) that was in force immediately before section 48 of the
Judicial Review and Courts Act 2022 came into foree—
(a) remains in force despite the amendment by that section of section 194(8),
(b) _ has effect as if its prescription of a charity for the purposes of section 194 were
the prescription of that charity under this section for the purposes of sections
194 to 194B, and
(c) may be amended or revoked by an order under this section.]
Textual Amendments
F88__S. 194C inserted (28.6.2022) by Judicial Review and Courts Act 2022 (c. 35), ss. 48(4), 51(3)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Scotland
195 Application of the Legal Profession and Legal Aid (Scotland) Act 2007
(1) The Legal Profession and Legal Aid (Scotland) Act 2007 (asp 5) (“the 2007 Act”)
applies to—
(a) any element of a complaint relating to,
(b) _ the provision by a practitioner of,
the advice, services and activities mentioned in subsection (2) as it applies to any other
advice, services and activities provided by a practitioner.
(2) The advice, services and activities are—
(b) activities of an insolvency practitioner within the meaning of Part 13 of the
Insolvency Act 1986 (c. 45);
(c) activities mentioned in paragraph (a) of paragraph 5(1) of Schedule 3 to the
Financial Services Act 1986 (c. 60);
(d) immigration advice or immigration services;
(e) regulated activity within the meaning of section 22 of the Financial Services
and Markets Act 2000 (c. 8), other than activity falling within paragraph (f)
below, in respect of which the ["”*Financial Conduct Authority] has by virtue
of Part 20 of that Act arranged for its regulatory role to be carried out by the
Law Society of Scotland;
(f) exempt regulated activities within the meaning of section 325(2) of the
Financial Services and Markets Act 2000.
(3) In subsection (1), “complaint” and “practitioner” have the same meaning as in Part
1 of the 2007 Act.
(4) Omit section 77 of the 2007 Act (advice services and activities to which Act does not
apply).
(5) Schedule 20 contains minor and consequential amendments in connection with the
application of the 2007 Act by virtue of this section.
Textual Amendments
F89__S. 195(2)(a) omitted (26.7.2013 for specified purposes, 1.4.2014 in so far as not already in force) by
virtue of The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2)
Order 2013 (S.L. 2013/1881), art. 1(2)(6), Sch. para. 13
F90 Words ins. 195(2)(e) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Seh. 18
para. 125(4) (with Sch. 20); $.1. 2013/423, art. 3, Sch.
196 Scottish legal services ombudsman: functions
(1) The functions of the Scottish legal services ombudsman cease to be exercisable in
relation to the advice, services and activities mentioned in section 195(2).
(2) In the Immigration and Asylum Act 1999 (c. 33)—
(a) in section 86(4)(c) (designated professional bodies), for “Scottish Legal
Services Ombudsman” substitute “ Scottish Legal Complaints Commission
” and
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) in paragraph 4(2)(c) of Schedule 5 (the Immigration Services Commissioner),
for “Scottish Legal Services Ombudsman” substitute “ Scottish Legal
Complaints Commission ”.
Modifications etc. (not altering text)
C16 S. 196(1) excluded (1.10.2008) by The Legal Services Act 2007 (Transitional, Savings and
Consequential Provisions) (Scotland) Order 2008 (S.I. 2008/2341), art. 3(1)
PART 9
GENERAL
Offences
197 Offences committed by bodies corporate and unincorporated bodies
(1) Where an offence committed by a body corporate is proved to have been committed
with the consent or connivance of or to be attributable to any neglect on the part of an
officer of the body corporate, that officer (as well as the body corporate) is guilty of
the offence and is liable to be proceeded against and punished accordingly.
(2) Where the affairs of a body corporate are managed by its members, subsection (1)
applies in relation to the acts and defaults of a member in connection with the member's
functions of management as it applies to an officer of the body corporate.
(3) Proceedings for an offence alleged to have been committed by an unincorporated body
are to be brought in the name of that body (and not in that of any of its members) and,
for the purposes of any such proceedings, any rules of court relating to the service of
documents have effect as if that body were a corporation.
(4) A fine imposed on an unincorporated body on its conviction of an offence is to be paid
out of the funds of that body.
(5) Ifan unincorporated body is charged with an offence, section 33 of the Criminal Justice
Act 1925 (c. 86) and Schedule 3 to the Magistrates' Courts Act 1980 (c. 43) (procedure
on charge of an offence against a corporation) have effect in like manner as in the case
of a corporation so charged.
(6) Where an offence committed by an unincorporated body (other than a partnership) is
proved to have been committed with the consent or connivance of, or to be attributable
to any neglect on the part of, any officer of the body or any member of its governing
body, that officer or member as well as the unincorporated body is guilty of the offence
and liable to be proceeded against and punished accordingly.
(7) Where an offence committed by a partnership is proved to have been committed with
the consent or connivance of, or to be attributable to any neglect on the part of, a
partner, that partner as well as the partnership is guilty of the offence and liable to be
proceeded against and punished accordingly.
(8) In this section—
“offence” means an offence under this Act;
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“officer”, in relation to a body corporate, means—
(a) any director, secretary or other similar officer of the body corporate, or
(b) any person who was purporting to act in any such capacity.
198 Local weights and measures authorities
(1) A local weights and measures authority may institute proceedings for an offence under
section 14 if the activity which it is alleged that the accused was not entitled to carry
on constitutes reserved instrument activities.
(2) A local weights and measures authority may institute proceedings for an offence
under section 16 if the activity which it is alleged that E was not entitled to carry on
constitutes reserved instrument activities.
“E” has the same meaning as in that section.
(3) In this section—
“relevant offence” means an offence in relation to which proceedings may
be instituted by virtue of subsection (1) or (2);
“weights and measures officer” means an officer of a local weights and
measures authority who is authorised by the authority to exercise the powers
conferred by subsection (4).
(4) A weights and measures officer who has reasonable cause to suspect that a relevant
offence may have been committed may, at any reasonable time—
(a) enter any premises which are not used solely as a dwelling;
(b) require any officer, agent or other competent person on the premises who is,
or may be, in possession of information relevant to an investigation of the
suspected offence to provide such information;
(c) require the production of any document which may be relevant to such an
investigation;
(d) take copies, or extracts, of any such documents;
(e) seize and retain any document which the weights and measures officer has
reason to believe may be required as evidence in proceedings for a relevant
offence.
(5) Any person exercising a power given by subsection (4) must, if asked to do so, produce
evidence that that person is a weights and measures officer.
(6) A justice of the peace may issue a warrant under this section if satisfied, on information
on oath given by a weights and measures officer, that there is reasonable cause to
believe that a relevant offence may have been committed and that—
(a) entry to the premises concerned, or production of any documents which may
be relevant to an investigation of the relevant offence, has been or is likely to
be refused to a weights and measures officer, or
(b) _ there is reasonable cause to believe that, if production of any such document
were to be required by the weights and measures officer without a warrant
having been issued under this section, the document would not be produced
but would be removed from the premises or hidden, tampered with or
destroyed.
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Part 9~ General
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(7) A warrant issued under this section must authorise the weights and measures officer
accompanied, where that officer considers it appropriate, by a constable or other
person—
(a) to enter the premises specified in the information, using such force as is
reasonably necessary, and
(b) to exercise any of the powers given to the weights and measures officer by
subsection (4).
(8) It is an offence for a person (“P”)—
(a) intentionally to obstruct a weights and measures officer in the exercise of any
power under this section;
(b) _ intentionally to fail to comply with any requirement properly imposed on P
by a weights and measures officer in the exercise of any such power;
(c) to fail, without reasonable excuse, to give a weights and measures officer
any assistance or information which the weights and measures officer may
reasonably require of P for the purpose of exercising any such power; or
(d) _ in giving to a weights and measures officer any information which P has been
required to give a weights and measures officer exercising any such power,
to make any statement which P knows to be false or misleading in a material
particular.
(9) A person who is guilty of an offence under subsection (8) is liable on summary
conviction to a fine not exceeding level 3 on the standard scale.
(10) Nothing in this section is to be taken to require any person to answer any question put
to that person by a weights and measures officer, or to give any information to such
an officer, if to do so might incriminate that person.
Protected functions of the Lord Chancellor
199 Protected functions of the Lord Chancellor
(1) Schedule 7 to the Constitutional Reform Act 2005 (c. 4) (protected functions of the
Lord Chancellor) is amended as follows.
(2) Afier paragraph 3 insert—
Any function of the Lord Chancellor under the Legal Services Act 2007.”
(3) Part A of paragraph 4 is amended in accordance with subsections (4) to (7).
(4) Afier the entry for the Juries Act 1974 (c. 23), insert—
“Solicitors Act 1974 (c. 47)
Section 56”.
(5) After the entry for the Reserve Forces (Safeguard of Employment) Act 1985 (c. 17),
insert—
“Administration of Justice Act 1985 (c. 61)
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This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Section 9(7)
Section 69(2)
Schedule 3”.
(6) In the entry for the Courts and Legal Services Act 1990 (c. 41)—
(a) after “Section 1” insert—
“Section 53
Section 60”, and
(b) after “Section 72” insert—
“Section 89
Section 125(4)
Schedule 19, paragraph 17”.
(7) After the entry for the Finance Act 1999 (c. 16), insert—
“Access to Justice Act 1999 (c. 22)
Section 45”.
Commencement Information
1124. S. 199 wholly in force at 1.1.2010; s. 199 not in force at Royal Assent see s. 211; s. 199(1)(2) in force
at 7.3.2008 by S.1. 2008/222, art. 2(g); s.199(4)(5)(6)(b) in force for certain purposes at 30.6.2008
by S.I 2008/1436, art. 2(b); s. 199(3)(5)(6)(b) in force and s. 199(6)(a) in force for certain purposes
at 31.3.2009 by S.I. 2009/503, art. 2(a); s. 199 in force otherwise at 1.1.2010 by S.1. 2009/3250, art.
2(g) (with art. 9)
Notices etc
200 Notices and directions
(1) A requirement or power under this Act to give a notice (or to notify) is a requirement
or power to give notice in writing.
(2) A requirement or power under this Act to give a direction (or to direct) is a requirement
or power to give a direction in writing.
(3) Any power conferred by this Act to give a direction includes power to revoke the
direction.
(4) Subsection (3) does not apply to the power conferred on an ombudsman to give a
direction under section 137 (directions on a determination of a complaint).
Commencement Information
1125S. 200 wholly in force at 1.1.2009;
7.3.2008 by S.1. 2008/222, art. 2(
100 not in force at Royal Assent see s. 211; s. 200(1) in force at
s. 200(2)-(4) in force at 1.1.2009 by S.1. 2008/3149, art. 2(1)
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Part 9~ General
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
201 Documents
(1) In this Act “document” includes anything in which information is recorded in any
form.
(2) In relation to a document in which information is recorded otherwise than in a legible
form, any reference to the production of the document is a reference to the production
of the information in a legible form or in a form from which it can readily be produced
ina legible form.
202 The giving of notices, directions and other documents
(1) This section applies where provision made (in whatever terms) by or under this Act
authorises or requires a notice, direction or any other document (including a copy of
a document) to be given to a person.
(2) The notice, direction or document may be given to the person—
(a) _ by delivering it to the person,
(b) _ by leaving it at the person's proper address, or
(c) by sending it by post to the person at that address.
(3) The notice, direction or document may be given to a body corporate by being given
to the secretary or clerk of that body.
(4) The notice, direction or document may be given to a partnership by being given to—
(a) apartner in the partnership, or
(b) aperson having the control or management of the partnership business.
(5) The notice, direction or document may be given to any other unincorporated body by
being given to a member of the governing body of the unincorporated body.
(6) For the purposes of this section, and section 7 of the Interpretation Act 1978 (c. 30)
(service of documents by post) in its application to this section, the proper address of
a person is—
(a) in the case of a body corporate, the address of the registered or principal office
of the body;
(b) in the case of a partnership, or any other unincorporated body, the address of
the principal office of the partnership or body;
(c) in the case of a person to whom the notice or other document is given in
reliance on any of subsections (3) to (5), the proper address of the body
corporate, partnership or other unincorporated body in question;
(d) in any other case, the last known address of the person in question.
(7) In the case of —
(a) acompany registered outside the United Kingdom,
(b) a partnership carrying on business outside the United Kingdom, or
(c) any other unincorporated body with offices outside the United Kingdom,
the references in subsection (6) to its principal office include references to its principal
office within the United Kingdom (if any).
(8) This section has effect subject to section 203 (notices, directions and documents in
electronic form).
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‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
203 ‘The giving of notices, directions and other documents in electronic form
(1) This section applies where—
(a) section 202 authorises the giving of a notice, direction or other document by
its delivery to a particular person (“the recipient”), and
(b) _ the notice, direction or other document is transmitted to the recipient—
(i) by means of an electronic communications network, or
(ii) by other means but in a form that nevertheless requires the use of
apparatus by the recipient to render it intelligible.
(2) The transmission has effect for the purposes of this Act as a delivery of the notice,
direction or other document to the recipient, but only if the requirements imposed by
or under this section are complied with.
(3) Where the recipient is the Board, the OLC or an ombudsman—
(a) the recipient must have indicated its willingness to receive the notice, direction
or other document in a manner mentioned in subsection (1)(b),
(b) the transmission must be made in such manner, and satisfy such other
conditions as the recipient may require, and
(c) _ the notice, direction or other document must take such form as the recipient
may require.
(4) Where the person making the transmission is the Board, the OLC or an ombudsman,
that person may (subject to subsection (5)) determine—
(a) the manner in which the transmission is made, and
(b) _ the form in which the notice, direction or other document is transmitted.
(5) Where the recipient is a person other than the Board, the OLC or an ombudsman—
(a) the recipient, or
(b) _ the person on whose behalf the recipient receives the notice, direction or other
document,
must have indicated to the person making the transmission the recipient's willingness
to receive notices, directions or other documents transmitted in the form and manner
used.
(6) An indication to any person for the purposes of subsection (5)—
(a) must be given to that person in such manner as that person may require;
(b) may be a general indication or one that is limited to notices or documents of
particular descriptions;
(c) must state the address to be used and must be accompanied by such other
information as that person requires for the making of the transmission;
(d) may be modified or withdrawn at any time by a notice given to that person in
such manner as that person may require.
(7) An indication, requirement or determination given, imposed or made by the Board,
the OLC or an ombudsman for the purposes of this section is to be given, imposed or
made by being published by that person.
(8) In this section “electronic communications network” has the same meaning as in the
Communications Act 2003 (c. 21).
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Orders, rules etc
204 Orders, regulations and rules
(1) Any order or regulations made by the Lord Chancellor under this Act must be made
by statutory instrument.
(2) Any rules made by the Board under section 37(4), 95(3) or 173 must be made by
statutory instrument, and the Statutory Instruments Act 1946 (c. 36) applies to the
Board's powers to make rules under those sections as if the Board were a Minister of
the Crown.
(3) An instrument to which this subsection applies may—
(a) provide for a person to exercise a discretion in dealing with any matter;
(b) include incidental, supplementary and consequential provision;
(c) make transitory or transitional provision and savings;
(d) make provision generally or subject to exceptions or only in relation to
specified cases;
(e) make different provision for different cases or circumstances or for different
purposes.
(4) Subsection (3) applies to—
(a) any order or regulations made by the Lord Chancellor,
(b) any rules or regulations made by the Board, and
(c) any rules made by the OLC,
under or by virtue of this Act.
Modifications etc. (not altering text)
C17 S. 204 extended to S. and NLL. in accordance with the amending provision (28.6.2022) by Judicial
Review and Courts Act 2022 (¢. 35), ss. 48(5), 51(3)
Commencement Information
1126S. 204 partly in force; s. 204 not in force at Royal Assent see s. 211; s. 204(1)(3)(4)(a) in force at
7.3.2008 by S.1. 2008/22, art. 2(g)
205 Consultation requirements for rules
(1) This section applies in relation to—
(a) rules made by the Board under this Act, and
(b) rules made by the OLC under Part 6,
other than excluded rules.
(2) If the Board or the OLC (“the rule-making body”) proposes to make any rules, it must
publish a draft of the proposed rules.
(3) The draft must be accompanied by a notice which states that representations about
the proposals may be made to the rule-making body within the period specified in the
notice.
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‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) Before making the rules, the rule-making body must have regard to any representations
duly made.
(5) Ifthe rules differ from the draft published under subsection (2) ina way whichis, in the
opinion of the rule-making body, material, it must publish details of the differences.
(6) The rule-making body must publish any rules it makes, and rules may not take effect
before the time they are published.
(7) Subsection (6) does not apply to rules made by the Board under section 37(4), 95(3)
or 173.
(8) The rule-making body may make a reasonable charge for providing a person with a
copy of—
(a) a draft published under subsection (2), or
(b) rules published under subsection (6).
(9) In this section “excluded rules” means—
(a) rules of procedure made by the Board for the purposes of paragraph 21 of
Schedule 1,
(b) rules made by the Board in its capacity as an approved regulator or a licensing
authority, and
(c) rules of procedure made by the OLC for the purposes of paragraph 20 of
Schedule 15;
and references to making rules include references to modifying the rules and, in
relation to any modifications of rules, references to the proposed rules are to be read
as references to the proposed modifications.
(10) This section is subject to section 156(3) (which disapplies this section to OLC rules
made in response to a Board direction under section 156(1)(b)).
206 Parliamentary control of orders and regulations
(1) A statutory instrument containing an order or regulations made by the Lord Chancellor
under this Act is subject to annulment in pursuance of a resolution of either House
of Parliament.
(2) Subsection (1) is subject to subsections (3) and (4).
(3) Subsection (1) does not apply to an order if it contains only provision made under one
or more of the following—
(a) section 23(3)(b) (day appointed as end of transitional period relating to non-
commercial bodies);
(b) section 30(4) (appointed day before which first set of rules must be made
under section 30);
(c) section 211 (commencement);
(d) paragraph 3(1)(b) of Schedule 5 (day appointed as end of transitional period
during which rights conferred by virtue of Part 2 of that Schedule);
(e) paragraph 18(1)(b) of Schedule 18 (day appointed as end of transitional period
during which rights conferred by virtue of Part 3 of that Schedule).
(4) Subsection (1) does not apply to an order or regulations which contains (whether alone
or together with other provision) provision made under any of the following—
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‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) section 24(1) (orders adding to reserved legal activities);
(b) _ section 25(1) or (3) (provisional designation of approved regulators);
(c) section 42(6) (regulations relating to warrants under section 42);
(d) section 45(1) (cancellation of designation as approved regulator);
(ec) section 46 (transitional arrangements following cancellation under
section 45);
(f) section 48(6) (regulations relating to warrants under section 48);
(g) section 62(1) (power to designate Board as an approved regulator, modify its
functions or cancel its designation);
(h) section 69(1) (modification of functions of approved regulators etc);
(i) section 76(1) (cancellation of designation as licensing authority);
(j) section 77 (transitional arrangements following cancellation under
section 76);
(k) _ section 79(6) (regulations relating to warrants under section 79);
(1) _ section 80(1) (order establishing appellate body etc);
(m) — section 106(1)(e) (power to prescribe bodies as bodies to which section 106
applies);
(n) _ section 109 (power to modify application of Part 5 to foreign bodies);
[’"(ma) section 111D (order to confer information powers on other approved
regulators);]
(0) section 173(5)(c) (power to prescribe persons as leviable bodies);
Si (c-)
(p) section 207(5) (power to modify definition of “manager” in its application to
foreign bodies);
(q) section 208(3) (power to make consequential provision ete by amending
enactments);
(rt) paragraph 9(1) of Schedule 3 (modification of exempt persons);
(s) paragraph 17 of Schedule 4 (designation of approved regulators);
(t) paragraph 9 of Schedule 13 (power to modify definitions of “material interest”
and “associates”);
(u) paragraph 2 of Schedule 22 (transitory power to modify functions of
designated regulators etc).
(5) An order or regulations within subsection (4) may not be made unless a draft of the
order or regulations has been laid before, and approved by a resolution of, each House
of Parliament.
(6) A statutory instrument containing rules made by the Board under section 37(4),
95(3) or 173 is subject to annulment in pursuance of a resolution of either House of
Parliament.
Textual Amendments
F91 _S. 206(4)(na) inserted (26.10.2023 for specified purposes, 4.3.2024 in so far as not already in force)
by Economic Crime and Corporate Transparency Act 2023 (c. 56), ss. 210(3), 219(1)(2)(b); S.L
2024/269, reg. 2(z64)
F92_S. 206(4)(oa) omitted (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force)
by virtue of The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018
(S.L. 2018/1253), arts. 1(2)(3), 95(8)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Modifications etc. (not altering text)
C18 S. 206 extended to S. and N.L in accordance with the amending provision (28.6.2022) by Judicial
Review and Courts Act 2022 (c. 35), ss. 48(5), 51(3)
Interpretation
207 Interpretation
(1) In this Act, except where the context otherwise requires—
“barrister” means an individual who—
(a) has been called to the Bar by an Inn of Court, and
(b) is not disbarred by order of an Inn of Court;
Ps
‘the CMA” means the Competition and Markets Authority;]
“consumers” means (subject to subsection (3)) persons—
(a) who use, have used or are or may be contemplating using, services within
subsection (2),
(b) who have rights or interests which are derived from, or are otherwise
attributable to, the use of such services by other persons, or
(c) who have rights or interests which may be adversely affected by the
use of such services by persons acting on their behalf or in a fiduciary
capacity in relation to them;
“conveyancing services” has the same meaning as in Part 2 of the
Administration of Justice Act 1985 (c. 61) (licensed conveyancing) (see
section 11(3) of that Act);
“court” includes—
(a) a tribunal that ["*was] (to any extent) a listed tribunal for, or for
any of, the purposes of Schedule 7 to the Tribunals, Courts and
Enforcement Act 2007 (functions ete of Administrative Justice and
Tribunals Council);["*immediately before the coming into force of the
repeal of that Schedule]
(b) a court-martial;
(c) astatutory inquiry within the meaning of section 16(1) of the Tribunals
and Inquiries Act 1992 (c. 53);
(d) an ecclesiastical court (including the Court of Faculties);
“functions” includes powers and duties;
“{mmigration advice” and “immigration services” have the meaning given
by section 82 of the Immigration and Asylum Act 1999 (c. 33) (interpretation
of Part 5) (see also subsection (4) below);
“independent trade union” has the same meaning as in the Trade Union and
Labour Relations (Consolidation) Act 1992 (c. 52) (see section 5 of that Act);
“manager”, in relation to a body, means (subject to subsection (5)) a person
who—
(a) if the body is a body corporate whose affairs are managed by its
members, is a member of the body,
(b) if the body is a body corporate and paragraph (a) does not apply, is a
director of the body,
(c) if the body is a partnership, is a partner, and
P94
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‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(d) if the body is an unincorporated body (other than a partnership), is a
member of its governing body;
“modify” includes amend, add to or revoke, and references to
“modifications” are to be construed accordingly;
“non-commercial legal services” means—
(a) legal services carried on otherwise than with a view to profit;
(b) legal services carried on by a not for profit body, a community interest
company or an independent trade union;
“not for profit body” means a body which, by or by virtue of its constitution
or any enactment—
(a) is required (after payment of outgoings) to apply the whole of its income,
and any capital which it expends, for charitable or public purposes, and
(b) is prohibited from directly or indirectly distributing amongst its
members any part of its assets (otherwise than for charitable or public
purposes);
1°“ the OFT ” means the Office of Fair Trading; ]
“person” includes a body of persons (corporate or unincorporate);
“reserved legal services” means services provided by a person which
consist of or include reserved legal activities carried on by, or on behalf of,
that person;
“solicitor” means solicitor of the Senior Courts.
(2) The services within this subsection are—
(a) any services provided by a person who is an authorised person in relation to
an activity which is a reserved legal activity, and
(b) any other services provided by a person which consist of or include a legal
activity carried on by, or on behalf of, that person.
(3) For the purposes of the definition of “consumers” in subsection (1)—
(a) if a person (“A”) is carrying on an activity in A's capacity as a trustee, the
persons who are, have been or may be beneficiaries of the trust are to be treated
as persons who use, have used or are or may be contemplating using services
provided by A in A's carrying on of that activity, and
(b) a person who deals with another person (“B”) in the course of B's carrying
on of an activity is to be treated as using services provided by B in carrying
on that activity.
(4) The references in this Act (other than section 195) to the provision of immigration
advice or immigration services are to the provision of such advice or services by a
person—
(a) in England and Wales (regardless of whether the persons to whom they are
provided are in England and Wales or elsewhere), and
(b) in the course of a business carried on (whether or not for profit) by the person
or another person.
(5) The Lord Chancellor may by order make provision modifying the definition of
“manager” in its application to a body of persons formed under, or in so far as the
body is recognised by, law having effect outside England and Wales.
(6) In this section “enactment” means a provision of—
(a) an Act of Parliament;
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‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) an Act of the Scottish Parliament;
(c) a Measure or Act of the National Assembly for Wales;
(d) Northern Ireland legislation.
Textual Amendments
F93_ Words in s. 207(1) inserted (E.W.) (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24),
s. 103(3), Sch. 6 para. 116(a); S.1. 2014/416, art. 2(1)(d) (with Sch.)
F94 Word in s. 207 substituted (19.9.2013) by The Public Bodies (Abolition of Administrative Justice and
Tribunals Council) Order 2013 (S.I. 2013/2042), art. 1(2), Sch. para. 39(a)
F95_— Words in s. 207 inserted (19.9.2013) by The Public Bodies (Abolition of Administrative Justice and
Tribunals Council) Order 2013 (S.1. 2013/2042), art. 1(2), Sch. para. 39(b)
F96 Words in s. 207(1) omitted (E,W, (1.4.2014) by virtue of Enterprise and Regulatory Reform Act 2013
(c. 24), s. 103), Sch. 6 para. 116(b); S.I. 2014/416, art. 2(1)(4) (with Sch.)
Modifications etc. (not altering text)
C19 §. 207 modified (temp.) (7.3.2008) by The Legal Services Act 2007 (Commencement No.1 and
Transitory Provisions) Order 2008 (S.I. 2008/222), art. 7(1)
Commencement Information
1127 S. 207 wholly in force; s. 207 not in force at Royal Assent see s. 211; s. 207 in force for certain
purposes at 7.3.2008 by S.1. 2008/22, art. 3; s. 207(1)(5) in force for certain purposes at 30.6.2008 by
S.L 2008/1436, art. 2(©); s. 207 in force for certain purposes at 31.3.2009 by S.I. 2009/503, art. 2(a);
s. 207 in force at 1.1.2010 by S.I. 2009/3250, art. 2(g) (with art. 9)
Miscellaneous and supplementary
208 = Minor and consequential provision etc
(1) Schedule 21 contains minor and consequential amendments.
(2) The Lord Chancellor may by order make any supplementary, incidental or
consequential provision and any transitory, transitional or saving provision which the
Lord Chancellor considers necessary or expedient—
(a) for the general purposes, or any particular purpose, of this Act, or
(b) in consequence of any provision made by or under it or for giving full effect
to it.
(3) An order under this section may make provision amending, repealing or revoking
(with or without savings) any provision of—
(a) an Act passed before or in the same session as this Act, or
(b) an instrument made under an Act before the passing of this Act.
(4) An order under this section may make such adaptations of provisions of this Act
brought into force as appear to be necessary or expedient in consequence of other
provisions of this Act not yet having come into force.
(5) Provision made under this section is additional, and without prejudice, to that made
by or under any other provision of this Act.
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‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1128S. 208 wholly in force: s. 208(2)-(5) in force at Royal Assent see s. 211(1): s. 208(1) in force at
31.3.2009 by S.1 2009/503, fart. 2(a)}
209 Transitional and transitory provision
Schedule 22 contains transitional and transitory provision.
210 Repeals
Schedule 23 contains repeals (including repeals of spent provisions).
211 Commencement
(1) This section and sections 208(2) to (5), 212 and 214 come into force on the day this
Act is passed.
(2) Subject to that, the provisions of this Act come into force on such day as may be
appointed by order of the Lord Chancellor.
Subordinate Legislation Made
PI S. 211 power partly exercised: 7.3.2008 appointed for specified provisions and purposes by {S.1
2008/22}, arts. 2, 3;
S. 211 power partly exercised: 30.6.2008 for specified provisions by {S.1. 2008/1436}, art. 2 (as
amended by S.I. 2008/1591, art. 2)
S. 211 power partly exercised: 1.1.2009 appointed for specified provisions and purposes by {S.L
2008/3149}, art. 2;
S. 211 power partly exercised: 31.3.2009 appointed for specified provisions and purposes by {S.L
2009/503}, arts. 2, 3;
S. 211 power partly exercised: 1.7.2009 appointed for specified provisions and purposes by {S.L
2009/1365}, art. 2
S. 211 power partly exercised: 1.1.2010 appointed for specified provisions and purposes by {S.I.
2009/3250}, art. 2 (with art. 9)
212 Extent
(1) Subject to subsections (2) and (3), this Act extends to England and Wales only.
(2) Sections 195 and 196(1) and Schedule 20 extend to Scotland only (and, for the
purposes of those provisions, this Part also extends there).
(3) An amendment or repeal contained in this Act (and, for the purposes of such an
amendment or repeal, this Part) has the same extent as the enactment or relevant part
of the enactment to which the amendment or repeal relates.
213 Index of defined expressions
Schedule 24 lists the places where expressions used in this Act are defined or otherwise
explained.
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‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
214 ~~ Short title
This Act may be cited as the Legal Services Act 2007.
148 Legal Services Act 2007 (¢. 29)
SCHEDULE 1 ~ The Legal Services Board
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
SCHEDULES
SCHEDULE 1 Section 2
THE LEGAL SERVICES BOARD
Membership
1 (1) The Board is to consist of the following members—
(a) achairman appointed by the Lord Chancellor,
(b) the Chief Executive of the Board (see paragraph 13), and
(c) at least 7, but not more than 10, other persons appointed by the Lord
Chancellor.
(2) In this Schedule a reference to an “ordinary member” is a reference to a member of
the Board other than the Chief Executive.
(3) Before appointing an ordinary member, the Lord Chancellor must consult the Lord
Chief Justice about the process for appointment of the member and about the person
selected for appointment.
(4) The Lord Chancellor may by order amend sub-paragraph (1) by substituting for the
limit on the maximum number of persons for the time being specified in paragraph (c)
of that sub-paragraph a different limit.
2 (1) In appointing persons as ordinary members the Lord Chancellor must ensure that a
majority of the members of the Board are lay persons.
(2) The chairman must be a lay person.
(3) It is a condition of the appointment of the chairman that the person appointed must
not during the appointment—
(a) carry on any activity which is a reserved legal activity,
['"(b) carry on a regulated claims management activity (within the meaning
given by section 417(1) of the Financial Services and Markets Act 2000
(definitions)), or]
(c) provide immigration advice or immigration services,
for or in expectation of any fee, gain or reward.
(4) In this Schedule a reference to a “lay person” is a reference to a person who has
never been—
(a) an authorised person in relation to an activity which is a reserved legal
activity;
(b) a person authorised, by a person designated under section 5(1) of the
Compensation Act 2006, to provide services which are regulated claims
management services (within the meaning of that Act);
[(ba) an authorised person (within the meaning given in section 31 of the Financial
Services and Markets Act 2000 (authorised persons)) in relation to regulated
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SCHEDULE 1 — The Legal Services Board
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‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(c)
(d)
(ce)
(
claims management activity (within the meaning given by section 417(1) of
that Act (definitions));]
an advocate in Scotland;
a solicitor in Scotland;
a member of the Bar of Northern Ireland;
a solicitor of the Court of Judicature of Northern Ireland.
(5) For the purposes of sub-paragraph (4), a person is deemed to have been an authorised
person in relation to an activity which is a reserved legal activity if that person has
before the appointed day been—
(a)
(b)
(c)
(d)
(e)
()
(g)
(h)
a barrister;
a solicitor;
a public notary;
a licensed conveyancer;
granted a certificate issued by the Institute of Legal Executives authorising
the person to practise as a legal executive;
a registered patent attorney, within the meaning given by section 275(1) of
the Copyright, Designs and Patents Act 1988 (c. 48);
a registered trade mark attorney, within the meaning of the Trade Marks Act
1994 (c. 26); or
granted a right of audience or a right to conduct litigation in relation to any
proceedings by virtue of section 27(2)(a) or section 28(2)(a) of the Courts
and Legal Services Act 1990 (c. 41) (rights of audience and rights to conduct
litigation).
(6) For the purpose of sub-paragraph (5)—.
“appointed day” means the day appointed for the coming into force of
section 13;
“licensed conveyancer” has the meaning given by section 11(2) of the
Administration of Justice Act 1985 (c. 61).
Textual Amendments
F97_ Sch. 1 para. 2(3)(b) substituted (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in
force) by The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.L
2018/1253), arts. 1(2)(3), 95(9)¢a)(i)
F98_ Sch. 1 para.
2(4)(ba) inserted (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in
force) by The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.L
2018/1253),
arts. 1(2)(3), 95(9)(a)(ii)
3 In appointing persons to be ordinary members, the Lord Chancellor must have
regard to the desirability of securing that the Board includes members who (between
them) have experience in or knowledge of —
(a)
(b)
(c)
(d)
(©)
(C3)
the provision of legal services;
legal education and legal training;
consumer affairs;
civil or criminal proceedings and the working of the courts;
competition matters;
the maintenance of the professional standards of persons who provide legal
services;
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(g) the maintenance of standards in professions other than the legal profession;
(h) the handling of complaints:
(i) commercial affairs;
(j) non-commercial legal services;
(k) _ the differing needs of consumers;
(1) the provision of claims management services (within the meaning of
[section 419A of the Financial Services and Markets Act 2000 (c. 8)]).
Textual Amendments
F99_ Words in Sch. 1 para. 3(1) substituted (29.11.2018 for specified purposes, 1.4.2019 in so far as not already
in force) by The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018
(SL. 2018/1253), arts. 1(2)(), 95(9)(b)
Terms of appointment and tenure of members
4 An ordinary member is to hold and vacate office in accordance with the terms and
conditions of that member's appointment (subject to this Schedule).
5 (1) An ordinary member must be appointed for a fixed period.
(2) The period for which an ordinary member is appointed must not exceed 5 years.
(3) A person who has held office as an ordinary member may be re-appointed, once only,
for a further period (whether consecutive or not) not exceeding 5 years.
6 If an ordinary member who is a lay person becomes a person within paragraphs (a)
to (f) of paragraph 2(4) that person ceases to be a member of the Board.
q (1) An ordinary member may at any time—
(a) resign from office by giving notice to the Lord Chancellor;
(b) be removed from office by the Lord Chancellor.
(2) The Lord Chancellor may not under sub-paragraph (1)(b) remove an ordinary
member from office unless sub-paragraph (3) or (4) applies.
(3) This sub-paragraph applies if the Lord Chancellor is satisfied that the member—
(a) _ has failed without reasonable excuse to discharge the functions of the office
for a continuous period of at least 6 months,
(b) has been convicted of an offence,
(c) is an undischarged bankrupt [or is a person in relation to whom a
moratorium period under a debt relief order applies (under Part 7A of the
Insolvency Act 1986)], or
(d) _ is otherwise unfit to hold the office or unable to discharge its functions.
(4) This sub-paragraph applies if the member is the chairman and has breached the
condition imposed on his appointment by paragraph 2(3).
(5) Before removing any ordinary member under sub-paragraph (1)(b), the Lord
Chancellor must consult—
(a) _ the Lord Chief Justice, and
(b) if the ordinary member is not the chairman, the chairman.
Legal Services Act 2007 (c. 29) 151
SCHEDULE 1 — The Legal Services Board
Document Generated: 2024-12-05
Stat
This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(6) The Lord Chancellor may not remove an ordinary member on the ground mentioned
in paragraph (a) of sub-paragraph (3) more than 3 months after the end of the period
mentioned in that paragraph.
Textual Amendments:
F100 Words in Sch. 1 para. 7(3)(c) inserted (1.10.2012) by The Tribunals, Courts and Enforcement Act 2007
(Consequential Amendments) Order 2012 (S.I. 2012/2404), art. 1, Sch. 2 para, 61(2) (with art. 5)
The chairman ceases to be chairman upon ceasing to be a member of the Board.
Where a person ceases to be employed as Chief Executive, that person ceases to
be a member of the Board.
Remuneration etc of members
The chairman and other ordinary members are to be paid by the Board in accordance
with provision made by or under their terms of appointment.
Modifications etc. (not altering text)
C20
13
14
Sch. 1 para, 10 modified (temp.) (7.3.2008) by The Legal Services Act 2007 (Commencement No.1 and
Transitory Provisions) Order 2008 (S.I. 2008/22), art. 8
The terms of appointment of the chairman or any other ordinary member may
provide for the Board to pay, or make payments towards the provision of, a pension,
allowance or gratuity to or in respect of that person.
If the Lord Chancellor thinks there are circumstances that make it right for a
person ceasing to hold office as chairman or another ordinary member to receive
compensation, the Board may pay that person such compensation as the Lord
Chancellor may determine.
Staff
The Board must appoint a person as its Chief Executive.
The Board may appoint such other staff as it considers appropriate to assist in the
performance of its functions.
The Chief Executive and other staff are to be—
(a) appointed on terms and conditions determined by the Board, and
(b) paid by the Board in accordance with provision made by or under the terms
of appointment.
The terms and conditions on which the Chief Executive or any other member of
staff is appointed may provide for the Board to pay, or make payments towards the
provision of, a pension, allowance or gratuity to or in respect of that person.
The Board may pay compensation for loss of employment to or in respect of a
member (or former member) of staff.
A member of staff appointed under paragraph 14 may be a member (but not
chairman) of the Board.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Arrangements for assistance
19 (1) The Board may make arrangements with such persons as it considers appropriate for
assistance to be provided to it.
(2) Arrangements may include the paying of fees to such persons.
Committees
20 (1) The Board may establish committees.
(2) Any committee so established may establish sub-committees.
(3) Only members of the Board may be members of a committee or sub-committee.
(4) A majority of the members of a committee or sub-committee must be lay persons.
Proceedings
21. (1) The Board may regulate its own procedure, and the procedure of its committees and
sub-committees, including quorum.
(2) But the quorum of a committee or sub-committee must not be less than 3.
(3) The Board must publish any rules of procedure made under this paragraph.
(4) This paragraph is without prejudice to any other power the Board has under this Act
to make rules.
22 The validity of any act of the Board is not affected—
(a) by a vacancy in the office of chairman or amongst the other members, or
(b) by a defect in the appointment or any disqualification of a person as
chairman or another member of the Board.
Delegation of functions
23 (1) The Board may authorise—
(a) the chairman, the Chief Executive or any other member of the Board,
(b) acommittee or sub-committee of the Board, or
(c) amember of staff appointed under paragraph 14,
to exercise, on behalf of the Board, such of its functions, in such circumstances, as
it may determine.
(2) A committee may delegate functions (including functions delegated to the
committee) to—
(a) asub-committee,
(b) the chairman, the Chief Executive or any other member of the Board, or
(c) amember of staff appointed under paragraph 14.
(3) Sub-paragraphs (1) and (2) are subject to—
(a) any provision made by an order under section 62 by virtue of section 64(2)(k)
(powers to authorise the Board to delegate to any person functions conferred
on it in its capacity as an approved regulator), and
(b) section 73(3)(a) (power to delegate to any person functions conferred on the
Board in its capacity as a licensing authority).
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SCHEDULE 1 — The Legal Services Board
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) Sub-paragraph (1) does not apply to any power or duty the Board has to make rules
(other than excluded rules) under this Act.
(5) In sub-paragraph (4) “excluded rules” means—
(a) rules of procedure made under paragraph 21 in relation to any committee or
sub-committee of the Board, and
(b) rules made by the Board in its capacity as an approved regulator or a
licensing authority.
Borrowing
24 The Board is not to borrow money, except—
(a) with the consent of the Lord Chancellor, or
(b) in accordance with a general authorisation given by the Lord Chancellor.
Accounts
25 (1) The Board must—
(a) keep proper accounts and proper records in relation to the accounts, and
(b) prepare in respect of each financial year a statement of accounts.
(2) Each statement of accounts must comply with any directions given by the Lord
Chancellor, with the approval of the Treasury, as to—
(a) the information to be contained in it and the manner in which it is to be
presented;
(b) the methods and principles according to which the statement is to be
prepared;
(c) the additional information (if any) which is to be provided for the
information of Parliament.
(3) The Board must give a copy of each statement of accounts—
(a) to the Lord Chancellor, and
(b) to the Comptroller and Auditor General,
before the end of the month of August next following the financial year to which
the statement relates.
(4) The Comptroller and Auditor General must—
(a) examine, certify and report on each statement of accounts which is received
under sub-paragraph (3), and
(b) give a copy of the Comptroller and Auditor General's report to the Lord
Chancellor.
(5) In respect of each financial year, the Lord Chancellor must lay before Parliament a
document consisting of—
(a) acopy of the statement of accounts for that year, and
(b) acopy of the Comptroller and Auditor General's report on that statement.
(6) “Financial year” means—
(a) the period beginning with the day on which the Board is established and
ending with the next following 31 March, and
(b) each successive period of 12 months.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Status
26 (1) The Board is not to be regarded—
(a) as the servant or agent of the Crown, or
(b) as enjoying any status, immunity or privilege of the Crown.
(2) Accordingly—
(a) the Board's property is not to be regarded as property of or held on behalf
of the Crown, and
(b) _ the Board's staff are not to be regarded as servants or agents of the Crown or
as enjoying any status, immunity or privilege of the Crown.
Application of seal and proof of instruments
27 The application of the seal of the Board is to be authenticated by the signature of any
member of the Board, or of its staff, who has been authorised (whether generally
or specifically) by the Board for the purpose.
28 Any contract or instrument which, if entered into or executed by an individual,
would not need to be under seal may be entered into or executed on behalf of the
Board by any person who has been authorised (whether generally or specifically)
by the Board for the purpose.
29 A document purporting to be duly executed under the seal of the Board or signed
on its behalf—
(a) _ is to be received in evidence, and
(b) _ is to be taken to be executed or signed in that way, unless the contrary is
proved.
Disqualification
30 (1) In Part 2 of Schedule I to the House of Commons Disqualification Act 1975 (c. 24)
(bodies of which all members are disqualified) at the appropriate place insert— “
The Legal Services Board. ”
(2) In Part 2 of Schedule I to the Northern Ireland Assembly Disqualification Act 1975
(c. 25) (bodies of which all members are disqualified) at the appropriate place insert
— “The Legal Services Board. ”
Freedom of information
31 In Part 6 of Schedule I to the Freedom of Information Act 2000 (c. 36) (other public
bodies and offices which are public authorities) at the appropriate place insert— “
The Legal Services Board. ”
Public records
32 In Schedule I to the Public Records Act 1958 (c. 51) (definition of public records)
at the appropriate place in Part 2 of the Table at the end of paragraph 3 insert— “
The Legal Services Board. ”
Exemption from liability in damages
33 (1) This paragraph applies to—
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SCHEDULE 2 ~ The reserved legal activities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) the Board,
(b) amember of the Board,
(c) amember of the Board's staff appointed under paragraph 14,
(d) a person to whom the Board (in its capacity as an approved regulator)
delegates any of its functions by virtue of provision made under section 64(2)
(k), and
(e) a person to whom the Board (in its capacity as a licensing authority)
delegates any of its functions by virtue of section 73(3)(a).
(2) A person to whom this paragraph applies is not liable in damages for anything done or
omitted in the exercise or purported exercise of the functions of the Board conferred
by or by virtue of this or any other enactment.
(3) But sub-paragraph (1) does not apply—
(a) if it is shown that the act or omission was in bad faith, or
(b) so as to prevent an award of damages made in respect of an act or omission
on the ground that the act or omission was unlawful as a result of section 6(1)
of the Human Rights Act 1998 (c. 42).
SCHEDULE 2 Section 12
THE RESERVED LEGAL ACTIVITIES
Introduction
1 This Schedule makes provision about the reserved legal activities.
Commencement Information
1129. Sch. 2 para. I wholly in force at 1.1.2010; Sch. 2 para. I not in force at Royal Assent see s. 211; Sch. 2
para. I in force for certain purposes at 7.3.2008 by S.1. 2008/22, art. 3; Sch. 2 para. I in force for further
certain purposes at 31.3.2009 by S.I. 2009/5083, art. . 2 para. I in force otherwise at 1.1.2010 by
S.1. 2009/3250, art. 2(b)(ii) (with art. 9)
2 In this Schedule “the appointed day” means the day appointed for the coming into
force of section 13 (entitlement to carry on reserved legal activities).
Commencement Information
1130. Sch. 2 para. 2 wholly in force at 1.1.2010; Sch. 2 para. 2 not in force at Royal Assent see s. 211; Sch. 2
para. 2 in force for certain purposes at 7.3.2008 by S.1. 2008/22, art. 3; Sch. 2 para. 2 in force for further
certain purposes at 31.3.2009 by S.I. 2009/5083, art. 2 para. 2 in force otherwise at 1.1.2010 by
S.1. 2009/3250, art. 2(b)(ii) (with art. 9)
Rights of audience
3 (1) A “right of audience” means the right to appear before and address a court, including
the right to call and examine witnesses.
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SCHEDULE 2 ~ The reserved legal activities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) Buta “right of audience” does not include a right to appear before or address a court,
or to call or examine witnesses, in relation to any particular court or in relation to
particular proceedings, if immediately before the appointed day no restriction was
placed on the persons entitled to exercise that right.
Commencement Information
1131 Sch. 2 para. 3 wholly in force at 1.1.2010; Sch. 2 para. 3 not in force at Royal Assent see s. 21
para. 3 in force for certain purposes at 7.3.2008 by S.1. 2008/22, art. 3; Sch. 2 para. 3 in force for further
certain purposes at 31.3.2009 by S.I. 2009/503, art. 3; Sch. 2 para. 3 in force otherwise at 1.1.2010 by
S.1 2009/3250, art. 2(b)(ii) (with art. 9)
Conduct of litigation
4 (1) The “conduct of litigation” means—
(a) the issuing of proceedings before any court in England and Wales,
(b) the commencement, prosecution and defence of such proceedings, and
(c) the performance of any ancillary functions in relation to such proceedings
(such as entering appearances to actions).
(2) But the “conduct of litigation” does not include any activity within paragraphs (a)
to (c) of sub-paragraph (1), in relation to any particular court or in relation to any
particular proceedings, if immediately before the appointed day no restriction was
placed on the persons entitled to carry on that activity.
Commencement Information
1132 Sch. 2 para. 4 wholly in force at 1.1.2010; Sch. 2 para. 4 not in force at Royal Assent see s. 211
para. 4 in force for certain purposes at 7.3.2008 by S.I. 2008/22, art. 3; Sch. 2 para. 4 in force for further
certain purposes at 31.3.2009 by S.I. 2009/503, art. 2 para. 4 in force otherwise at 1.1.2010 by
S.L, 2009/3250, art. 2(b)(ii) (with art. 9)
Reserved instrument activities
5 (1) “Reserved instrument activities” means—
(a) preparing any instrument of transfer or charge for the purposes of the Land
Registration Act 2002 (c. 9);
(b) making an application or lodging a document for registration under that Act;
(c) preparing any other instrument relating to real or personal estate for the
purposes of the law of England and Wales or instrument relating to court
proceedings in England and Wales.
(2) But “reserved instrument activities” does not include the preparation of an instrument
relating to any particular court proceedings if, immediately before the appointed day,
no restriction was placed on the persons entitled to carry on that activity.
(3) In this paragraph “instrument” includes a contract for the sale or other disposition of
land (except a contract to grant a short lease), but does not include—
(a) a will or other testamentary instrument,
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SCHEDULE 2 ~ The reserved legal activities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) an agreement not intended to be executed as a deed, other than a contract
that is included by virtue of the preceding provisions of this sub-paragraph,
(c) a letter or power of attorney, or
(d) a transfer of stock containing no trust or limitation of the transfer.
(4) In this paragraph a “short lease” means a lease such as is referred to in section 54(2)
of the Law of Property Act 1925 (c. 20) (short leases).
Commencement Information
1133. Sch. 2 para. 5 wholly in force at 1.1.2010; Sch. 2 para. 5 not in force at Royal Assent see s. 211; Sch. 2
para. 5 in force for certain purposes at 7.3.2008 by S.1. 2008 rt. 3; Sch. 2 para. 5 in force for further
certain purposes at 31.3.2009 by S.I. 2009/503, art. 3; Sch, 2 para. 5 in force otherwise at 1.1.2010 by
S.1, 2009/3250, art. 2(b)(ii) (with art. 9)
Probate activities
6 (1) “Probate activities” means preparing any probate papers for the purposes of the law
of England and Wales or in relation to any proceedings in England and Wales.
(2) In this paragraph “probate papers” means papers on which to found or oppose—
(a) a grant of probate, or
(b) a grant of letters of administration.
Commencement Information
1134 Sch. 2 para. 6 wholly in force at 1.1.2010; Sch. 2 para. 6 not in force at Royal Assent see s. 211; Sch. 2
para. 6 in force for certain purposes at 7.3.2008 by S.1. 2008/222, art. 3; Sch. 2 para. 6 in force for further
certain purposes at 31.3.2009 by S.I. 2009/503, art. 3; . 2 para. 6 in force otherwise at 1.1.2010 by
S.L 2009/3250, art. 2(b)(ii) (with art. 9)
Notarial activities
7 (1) “Notarial activities” means activities which, immediately before the appointed day,
were customarily carried on by virtue of enrolment as a notary in accordance with
section I of the Public Notaries Act 1801 (c. 79).
(2) Sub-paragraph (1) does not include activities carried on—
(a) _ by virtue of section 22 or 23 of the Solicitors Act 1974 (c. 47) (reserved
instrument activities and probate activities), or
(b) _ by virtue of section 113 of the Courts and Legal Services Act 1990 (c. 41)
(administration of oaths).
Commencement Information
1135 Sch. 2 para. 7 wholly in force at 1.1.2010; Sch. 2 para. 7 not in force at Royal Assent see s. 211; Sch. 2
para. 7 in force for certain purposes at 7.3.2008 by S.1. 2008/22, art. 3; Sch. 2 para. 7 in force for further
certain purposes at 31.3.2009 by S.I. 2009/503, art. 3; Sch. 2 para. 7 in force otherwise at 1.1.2010 by
S.1. 2009/3250, art. 2(b)(ii) (with art. 9)
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SCHEDULE 3 ~ Exempt persons
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Administration of oaths
8 The “administration of oaths” means the exercise of the powers conferred on a
commissioner for oaths by—
(a) the Commissioners for Oaths Act 1889 (c. 10);
(b) the Commissioners for Oaths Act 1891 (c. 50);
(c) section 24 of the Stamp Duties Management Act 1891 (c. 38).
Commencement Information
1136 Sch. 2 para. 8 wholly in force at 1.1.2010; Sch. 2 para. 8 not in force at Royal Assent see s. 211; Sch. 2
para. 8 in force for certain purposes at 7.3.2008 by S.1. 2008 rt. 3; Sch. 2 para. 8 in force for further
certain purposes at 31.3.2009 by S.. 2009/503, art. 3; Sch, 2 para. 8 in force otherwise at 1.1.2010 by
S.1, 2009/3250, art. 2(b)(ii) (with art. 9)
SCHEDULE 3 Section 19
EXEMPT PERSONS
Rights of audience
1 (1) This paragraph applies to determine whether a person is an exempt person for the
purpose of exercising a right of audience before a court in relation to any proceedings
(subject to paragraph 7).
(2) The person is exempt if the person—
(a) is not an authorised person in relation to that activity, but
(b) has a right of audience granted by that court in relation to those proceedings.
(3) The person is exempt if the person—
(a) is not an authorised person in relation to that activity, but
(b) has a right of audience before that court in relation to those proceedings
granted by or under any enactment.
(4) The person is exempt if the person is the Attorney General or the Solicitor General
and—
(a) the name of the person is on the roll kept by the Law Society under section 6
of the Solicitors Act 1974 (c. 47), or
(b) _ the person has been called to the Bar by an Inn of Court.
(5) The person is exempt if the person is the Advocate General for Scotland and is
admitted—
(a) asa solicitor in Scotland under section 6 of the Solicitors (Scotland) Act
1980 (c. 46), or
(b) to practise as an advocate before the courts of Scotland.
(6) The person is exempt if the person—
(a) isa party to those proceedings, and
(b) would have a right of audience, in the person's capacity as such a party, if
this Act had not been passed.
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SCHEDULE 3 — Exempt persons
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(7) The person is exempt if—
(a) _ the person is an individual whose work includes assisting in the conduct of
litigation,
(b) the person is assisting in the conduct of litigation—
(i) under instructions given (either generally or in relation to the
proceedings) by an individual to whom sub-paragraph (8) applies,
and
(ii) under the supervision of that individual, and
["""(c)_ the proceedings are not reserved family proceedings and are being heard in
chambers—
(i) in the High Court or county court, or
(ii) in the family court by a judge who is not, or by two or more
judges at least one of whom is not, within section 31C(1)(y) of the
Matrimonial and Family Proceedings Act 1984 (lay justices).]
(8) This sub-paragraph applies to—.
(a) any authorised person in relation to an activity which constitutes the conduct
of litigation;
(b) any person who by virtue of section 193 is not required to be entitled to carry
on such an activity.
(9) The person is an exempt person in relation to the exercise of a right of audience
in proceedings on an appeal from the Comptroller-General of Patents, Designs and
Trade Marks to the Patents Court under the Patents Act 1977 (c. 37), if the person is
a solicitor of the Court of Judicature of Northern Ireland.
(10) For the purposes of this paragraph—
“family proceedings” has the same meaning as in the Matrimonial and
Family Proceedings Act 1984 (c. 42) and also includes ["'’any proceedings
in the family court and ] any other proceedings which are family proceedings
for the purposes of the Children Act 1989 (c. 41);
“reserved family proceedings” means such category of family
proceedings as the Lord Chancellor may, after consulting the President of
the Law Society and with the concurrence of the President of the Family
Division, by order prescribe;
and any order made under section 27(9) of the Courts and Legal Services Act 1990
(c. 41) before the day appointed for the coming into force of this paragraph is to have
effect on and after that day as if it were an order made under this sub-paragraph.
Textual Amendments
F101 Sch. 3 para. 1(7)(c) substituted (22.4.2014) by Crime and Courts Act 2013 (c. 22), s. 61(3), Sch. 10 para.
98(1); S.1. 2014/954, art. 2(d) (with art. 3) (with transitional provisions and savings in S.I. 2014/956,
arts. 3-11)
F102 Words in Sch. 3 para. 1(10) inserted (22.4.2014) by Crime and Courts Act 2013 (c. 22), s. 61(3), Sch.
10 para. 98(2); S.1. 2014/954, art. 2(@) (with art. 3) (with transitional provisions and savings in S.L
2014/956, arts. 3-11)
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Document Generated: 2024-12-05
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Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Conduct of litigation
2, (1) This paragraph applies to determine whether a person is an exempt person for the
purpose of carrying on any activity which constitutes the conduct of litigation in
relation to any proceedings (subject to paragraph 7).
(2) The person is exempt if the person—
(a) is not an authorised person in relation to that activity, but
(b) has a right to conduct litigation granted by a court in relation to those
proceedings.
(3) The person is exempt if the person—
(a) is not an authorised person in relation to that activity, but
(b) has a right to conduct litigation in relation to those proceedings granted by
or under any enactment.
(4) The person is exempt if the person—
(a) is a party to those proceedings, and
(b) would have a right to conduct the litigation, in the person's capacity as such
a party, if this Act had not been passed.
(5) The person is an exempt person in relation to any activity which is carried on in or in
connection with proceedings on an appeal from the Comptroller-General of Patents,
Designs and Trade Marks to the Patents Court under the Patents Act 1977 (c. 37), if
the person is a solicitor of the Court of Judicature of Northern Ireland.
Reserved instrument activities
3 (1) This paragraph applies to determine whether a person is an exempt person for the
purpose of carrying on any activity which constitutes reserved instrument activities
(subject to paragraph 7).
(2) The person is exempt if the person prepares the instruments or applications in the
course of the person's duty as a public officer.
(3) The person (“E”) is exempt if—
(a) Eis an individual,
(b) Ecarries on the activity at the direction and under the supervision of another
individual (“P”),
(c) when E does so, P and E are connected, and
(d) P is entitled to carry on the activity, otherwise than by virtue of sub-
paragraph (10).
(4) For the purposes of sub-paragraph (3), P and E are connected if—
(a) Pis E's employer,
(b) Pisa fellow employee of E,
(c) P is a manager or employee of a body which is an authorised person in
relation to the activity, and E is also a manager or employee of that body.
(5) If the person is an accredited person, the person is exempt to the extent that the
activity consists of the preparation of any instrument—
(a) which creates, or which the person believes on reasonable grounds will
create, a farm business tenancy (within the meaning of the Agricultural
Tenancies Act 1995 (c. 8)), or
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) which relates to an existing tenancy which is, or which the person believes
on reasonable grounds to be, such a tenancy.
(6) In sub-paragraph (5) “accredited person” means a person who is—
(a) a Fellow of the Central Association of Agricultural Valuers, or
(b) aMember or Fellow of the Royal Institution of Chartered Surveyors.
(7) The person is exempt to the extent that the activity carried on by the person is also a
reserved legal activity within sub-paragraph (8) and the person is—
(a) authorised to carry on that activity (other than under Part 5) by a relevant
approved regulator in relation to the activity,
(b) authorised to carry on that activity by a licence under Part 5, or
(c) an exempt person in relation to that activity by virtue of paragraph I or 2
of this Schedule.
(8) The activities are—
(a) _ the exercise of a right of audience;
(b) the conduct of litigation.
(9) The person is exempt if the person is employed merely to engross the instrument or
application.
(10) The person is exempt if the person is an individual who carries on the activity
otherwise than for, or in expectation of, any fee, gain or reward.
(11) The person is exempt if—
(a) the person is a person qualified to practise as a solicitor in Scotland in
accordance with section 4 of the Solicitors (Scotland) Act 1980 (c. 46), and
(b) _ the reserved instrument activities fall within paragraph 5(1)(c) of Schedule 2
(preparation of certain instruments relating to real or personal property or
legal proceedings).
Probate activities
4 (1) This paragraph applies to determine whether a person is an exempt person for the
purpose of carrying on any activity which constitutes probate activities (subject to
paragraph 7).
(2) The person (“E”) is an exempt person if—
(a) Eis an individual,
(b) _E provides the probate activities at the direction and under the supervision
of another individual (“P”),
(c) when E does so, P and E are connected, and
(d)_ P is entitled to carry on the activity, otherwise than by virtue of sub-
paragraph (4).
(3) For the purposes of sub-paragraph (2), P and E are connected if—
(a) Pis E's employer,
(b) Pisa fellow employee of E,
(c) P is a manager or employee of a body which is an authorised person in
relation to the activity, and E is also a manager or employee of that body.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) The person is exempt if the person is an individual who carries on the activity
otherwise than for, or in expectation of, any fee, gain or reward.
Notarial activities
5 (1) This paragraph applies to determine whether a person is an exempt person for the
purpose of carrying on any activity which constitutes notarial activities (subject to
paragraph 7).
(2) The person is exempt if the person is not an authorised person in relation to that
activity under this Act, but is authorised to carry on that activity by or by virtue of
any other enactment.
(3) The person is exempt if section 14 of the Public Notaries Act 1801 (c. 79) applies
to the person, and—
(a) where that section applies by virtue of the person holding or exercising an
office or appointment, the person carries on the activity for ecclesiastical
purposes;
(b) where that section applies by virtue of the person performing a public duty
or service under government, the person carries on the activity in the course
of performing that duty or service.
(4) The person is exempt if the person is an individual who carries on the notarial
activities otherwise than for or in expectation of a fee, gain or reward.
Administration of oaths
6 (1) This paragraph applies to determine whether a person is an exempt person for the
purpose of carrying on any activity which constitutes the administration of oaths
(subject to paragraph 7).
(2) The person is exempt if the person is not an authorised person in relation to that
activity under this Act, but is authorised to carry on that activity by or by virtue of
any other enactment.
(3) The person is exempt if the person has a commission under section 1(1) of the
Commissioners for Oaths Act 1889 (c. 10).
European lawyers
7 A European lawyer (within the meaning of the European Communities (Services of
Lawyers) Order 1978 (S.I. 1978/1910) [""°, as it has effect by virtue of regulation 5
of the Services of Lawyers and Lawyer’s Practice (Revocation etc.) (EU Exit)
Regulations 2020]) is an exempt person for the purposes of carrying on an activity
which is a reserved legal activity and which the European lawyer is entitled to carry
on by virtue of that order ["", as it has effect by virtue of that regulation].
Textual Amendments
F103 Words in Sch. 3 para. 7 inserted (31.12.2020) by The Services of Lawyers and Lawyer’s Practice
(Revocation etc.) (EU Exit) Regulations 2020 (S.1. 2020/1342), reg. 1(1), Sch. para. 12(4)(a) (with Sch.
para. 13)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
F104 Words in Sch. 3 para. 7 inserted (31.12.2020) by The Services of Lawyers and Lawyer’s Practice
(Revocation etc.) (EU Exit) Regulations 2020 (S.I. 2020/1342), reg. 1(1), Sch. para. 12(4)(b) (with Sch
para. 13)
Employers etc acting through exempt person
8 (1) This paragraph applies where—
(a) a person (“P”) carries on an activity (“the relevant activity”) which is a
reserved legal activity,
(b) P carries on the relevant activity by virtue of an employee of P (“E”) carrying
it on in E's capacity as such an employee, and
(c) Eis an exempt person in relation to the relevant activity.
(2) P is an exempt person in relation to the relevant activity to the extent that P carries
on that activity by virtue of E so carrying it on.
(3) This paragraph does not apply where E—
(a) carries on the relevant activity at the direction and under the supervision of
an authorised person in relation to that activity, and
(b) is exemptin relation to that activity by virtue of paragraph 1(7), 3(3) or 4(2).
(4) If P is a body, in this paragraph references to an employee of P include references
to a manager of P.
Further exempt persons
9 (1) The Lord Chancellor may, by order, amend this Schedule so as to provide—
(a) for persons to be exempt persons in relation to any activity which is a
reserved legal activity (including any activity which is a reserved legal
activity by virtue of an order under section 24 (extension of reserved legal
activities),
(b) for persons to cease to be such persons, or
(c) for the amendment of any provision made in respect of an exempt person.
(2) The Lord Chancellor may make an order under sub-paragraph (1) only on the
recommendation of the Board.
SCHEDULE 4 Section 20
APPROVED REGULATORS
Part 1
EXISTING REGULATORS
1 (1) Each body listed in the first column of the Table in this paragraph is an approved
regulator.
(2) Each body so listed is an approved regulator in relation to the reserved legal activities
listed in relation to it in the second column of the Table.
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Document Generated: 2024-12-05
‘Status:
This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
TABLE
Approved regulator
The Law Society
The General Council of the Bar
The Master of the Faculties
The Institute of Legal Executives
The Council for Licensed Conveyancers
The Chartered Institute of Patent
Attorneys
The Institute of Trade Mark Attorneys
The Association of Law Costs
Draftsmen
["°The Institute of Chartered
Accountants of Scotland
["’The Association of Chartered
Certified Accountants
Reserved legal activities
The exercise of a right of audience.
The conduct of litigation.
Reserved instrument activities.
Probate activities.
The administration of oaths.
The exercise of a right of audience.
The conduct of litigation.
Reserved instrument activities.
Probate activities.
The administration of oaths.
Reserved instrument acti
Probate activities.
Notarial activities.
The administration of oaths.
ties.
The exercise of a right of audience.
The administration of oaths.
Reserved instrument activities.
The administration of oaths.
["°’Probate activities.]
The exercise of a right of audience.
The conduct of litigation.
Reserved instrument activities.
The administration of oaths.
The exercise of a right of audience.
The conduct of litigation.
Reserved instrument activities.
The administration of oaths.
The exercise of a right of audience.
The conduct of litigation.
The administration of oaths.
Probate activities.]
Probate activities]
Textual Amendments
F105 Words in Sch. 4 para. 1 Table inserted (30.12.2009) by The Legal Services Act 2007 (Approved
Regulators) Order 2009 (S.I. 2009/3233), arts. 1(1), 3(a)
F106 Words in Sch. 4 para. 1 Table inserted (30.12.2009) by ‘The Legal Services Act 2007 (Approved
Regulators) Order 2009 (S.1. 2009/3233), arts. 1(1), 3(b)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
F107 Words in Sch. 4 para. 1 Table inserted (30.12.2009) by The Legal Services Act 2007 (Approved
Regulators) Order 2009 (S.I. 2009/3233), arts. 1(1), 3(b)
2 (1) The regulatory arrangements of a listed body, as they have effect immediately before
paragraph I comes into force, are to be treated as having been approved by the Board
for the purposes of this Act at the time that paragraph comes into force.
(2) “Listed body” means a body listed in the first column of the Table in paragraph I as
that Table has effect at the time that paragraph comes into force.
(3) Sub-paragraph (1) is without prejudice to the Board's power to give directions
under section 32 (powers to direct an approved regulator to take steps in certain
circumstances, including steps to amend its regulatory arrangements).
PART 2
DESIGNATION OF BODIES BY ORDER
Application to the Board
3 (1) This paragraph applies where a body wishes to authorise persons to carry on one or
more activities which constitute one or more reserved legal activities.
(2) The body may apply to the Board for the Board—
(a) to recommend that an order be made by the Lord Chancellor designating the
body as an approved regulator in relation to the reserved legal activity or
activities in question, and
(b) to approve what the body proposes as its regulatory arrangements if such an
order is made (“the proposed regulatory arrangements”).
(3) An application under this paragraph must be made in such form and manner as the
Board may specify in rules and must be accompanied by—
(a) a statement of the reserved legal activity or activities to which it relates,
(b) details of the applicant's proposed regulatory arrangements,
(c) such explanatory material (including material about the applicant's
constitution and activities) as the applicant considers is likely to be needed
for the purposes of this Part of this Schedule, and
(d) the prescribed fee.
(4) The prescribed fee is the fee specified in, or determined in accordance with, rules
made by the Board with the consent of the Lord Chancellor.
(5) The proposed regulatory arrangements must, in particular, include—
(a) details of the authority which the applicant proposes to give persons to carry
on activities which are reserved legal activities and of the nature of the
persons to whom the authority is to be given,
(b) regulations (however they may be described) as to the education and training
which persons must receive, and any other requirements which must be met
by or in respect of them, in order for them to be authorised, and
(c) rules (however they may be described) as to the conduct required of persons
in carrying on any activity by virtue of the authority.
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Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(6) An applicant may, at any time, withdraw the application by giving notice to that
effect to the Board.
Commencement Information
1137 Sch. 4 para. 3 wholly in force at 1.1.2010; Sch. 4 para. 3 not in force at Royal Assent see s. 211; Sch
4 para. 3(1)(3)(4) in force at 1.1.2009 by S.L. 2008/3149, art. 2(b)(ii); Sch. 4 para. 3 in force otherwise
at 1.1.2010 by S.L. 2009/3250, art. 2(b)(ii) (with art. 9)
Dismissal of application
4 (1) The Board may refuse to consider, or to continue its consideration of, an application.
(2) The Board must make rules about the procedures and criteria that it will apply when
determining whether to refuse to consider, or to continue its consideration of, an
application under sub-paragraph (1).
(3) Where the Board decides to refuse to consider, or to continue its consideration of, an
application it must give the applicant notice of that decision and of its reasons for it.
(4) The Board must publish a notice given under sub-paragraph (3).
Commencement Information
1138 Sch. 4 para. 4 wholly in force at 1.1.2010; Sch. 4 para. not in force at Royal Assent see s. 211; Sch. 4
para, 3(1)(3)(4) in force at 1.1.2009 by S.L 2008/3149, art. 2(b)(ii); Sch. 4 para. 4 in force otherwise at
1.1.2010 by S.L. 2009/3250 {art. 2(b)(ii)} (with art. 9)
Board's duty to seek advice
5 (1) The Board must give each of the persons listed in sub-paragraph (2)—
(a) acopy of the application and accompanying material, and
(b) anotice specifying a period within which any advice given under paragraphs
6 to 8 must be given.
(2) Those persons are—
(a) the ["°* CMA],
(b) the Consumer Panel,
(c) _ the Lord Chief Justice, and
(d) such other persons as the Board considers it reasonable to consult regarding
the application.
(3) In this Part of this Schedule, in relation to an application, “selected consultee” means
a person within sub-paragraph (2)(d).
Textual Amendments
F108 Word in Sch. 4 para. 5(2)(a) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c.24),
s. 103(3), Sch. 6 para. 117(2); S.1. 2014/416, art. 2(1)(4) (with Sch.)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Advice of [""” Competition and Markets Authority]
Textual Amendments
F109 Words in Sch. 4 para. 6 cross-heading substituted (1.4.2014) by Enterprise and Regulatory Reform Act
2013 (c. 24), s. 103(3), Sch. 6 para. 117(3); S.L. 2014/416, art. 2(1)(4) (with Sch.)
6 (1) The [""°CMA ] must give the Board such advice as the [""°CMA I thinks fitregarding
whether the application should be granted.
(2) In deciding what advice to give, the [""°CMA ] must, in particular, have regard to
whether making an order under paragraph 17 in accordance with the recommendation
applied for would (or would be likely to) prevent, restrict or distort competition
within the market for reserved legal services to any significant extent.
Textual Amendments:
F110 Word in Sch. 4 para. 6(1) (2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013
(c. 24), s. 1033), Sch. 6 para. 117(4); S.L. 2014/416, art. 2(1)(d) (with Sch.)
Advice of the Consumer Panel
7 (1) The Consumer Panel must give the Board such advice as the Consumer Panel thinks
fit regarding whether the application should be granted.
(2) In deciding what advice to give, the Consumer Panel must, in particular, have regard
to the likely impact on consumers of the making of an order under paragraph 17 in
accordance with the recommendation applied for.
Advice of selected consultees
8 A selected consultee may give the Board such advice as the selected consultee
thinks fit in respect of the application.
Advice of the Lord Chief Justice
9 (1) The Board must give the Lord Chief Justice—
(a) acopy of any advice duly given under paragraphs 6 to 8, and
(b) a notice specifying a period within which any advice under this paragraph
must be given.
(2) The Lord Chief Justice must then give such advice to the Board as the Lord Chief
Justice thinks fit regarding whether the application should be granted.
(3) In deciding what advice to give, the Lord Chief Justice must, in particular, have
regard to the likely impact on the courts in England and Wales of the making of an
order under paragraph 17 in accordance with the recommendation applied for.
Information obtained by consultees
10 A person (“the consultee”) to whom a copy of the application is given under
paragraph 5(1) may, for the purposes of giving advice under paragraphs 6 to
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‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
9, request the applicant or any other person to provide the consultee with such
additional information as may be specified by the consultee.
Representations by applicant
ll (1) The Board must give the applicant a copy of any advice duly given under paragraphs
6109.
(2) The applicant may make to the Board—
(a) written representations, and
(b) if the Board authorises it to do so, oral representations,
about the advice.
(3) The Board must make rules governing the making of oral and written representations.
(4) Representations under this paragraph must be made within—
(a) _ the period of 28 days beginning with the day on which the copy of the advice
is given to the applicant, or
(b) such longer period as the Board may specify in a particular case.
(5) Where oral representations are made, the Board must prepare a report of those
representations.
(6) Before preparing that report, the Board must—
(a) give the applicant a reasonable opportunity to comment on a draft of the
report, and
(b) have regard to any comments duly made.
Commencement Information
1139 Sch. 4 para. 11 wholly in force at 1.1.2010; Sch. 4 para. 11 not in force at Royal Assent see s. 211; Sch.
4 para. 11(3) in force at 1.1.2009 by S.1. 2008/3149, art. 2(b)(ii); Sch. 4 para. 11 in force otherwise at
1.1.2010 by S.1. 2009/3250, art. 2(b)(ii) (with art. 9)
Publication of advice and representations etc
12 (1) The Board must, as soon as practicable after the end of the period within which
representations under paragraph 11 may be made, publish—
(a) any advice duly given under paragraphs 6 to 9, and
(b) any written representations duly made under paragraph 11 and the report (if
any) prepared under that paragraph.
(2) Nothing in sub-paragraph (1) operates—
(a) to prevent a person who gives advice under paragraphs 6 to 9 from publishing
that advice, or
(b) to prevent a person who makes representations under paragraph 11 from
publishing those representations.
(3) A person (“the publisher”) publishing any such material (whether under sub-
paragraph (1) or otherwise) must, so far as practicable, exclude any matter which
relates to the private affairs of a particular individual the publication of which, in
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
the opinion of the publisher, would or might seriously and prejudicially affect the
interests of that individual.
Rules governing decisions by the Board
13. (1) The Board must make rules specifying how it will determine applications.
(2) Rules under sub-paragraph (1) must, in particular, provide that the Board may grant
an application in relation to a particular reserved legal activity only if it is satisfied—
(a) _ that, if an order were to be made under paragraph 17 designating the body
in relation to that activity, the applicant would have appropriate internal
governance arrangements in place at the time the order takes effect,
(b) that, if such an order were to be made, the applicant would be competent,
and have sufficient resources, to perform the role of approved regulator in
relation to the reserved legal activity at that time,
(c) that the applicant's proposed regulatory arrangements make appropriate
provision,
(d) that the applicant's proposed regulatory arrangements comply with the
requirement imposed by sections 52 and 54 (resolution of regulatory
conflict), and
(e) that those arrangements comply with the requirements imposed by sections
112 and 145 (requirements imposed in relation to the handling of
complaints).
(3) The rules made for the purposes of sub-paragraph (2)(a) must in particular require
the Board to be satisfied—
(a) that the exercise of the applicant's regulatory functions would not be
prejudiced by any of its representative functions, and
(b) that decisions relating to the exercise of its regulatory functions would so far
as reasonably practicable be taken independently from decisions relating to
the exercise of its representative functions.
Determination of applications
14 (1) After considering—
(a) _ the application and accompanying material,
(b) any other information provided by the applicant,
(c) any advice duly given under paragraphs 6 to 9,
(d) any representations duly made under paragraph 11, and
(e) any other information which the Board considers relevant to the application,
the Board must decide whether to grant the application.
(2) Where the application relates to more than one reserved legal activity, the Board may
grant the application in relation to all or any of them.
(3) The Board must give notice of its decision to the applicant (“the decision notice”).
(4) Where the Board decides to refuse the application (in whole or in part), the decision
notice must specify the reasons for that decision.
(5) The Board must publish the decision notice.
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‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
15 (1) Where an application is made under this Part, the Board must give the decision notice
under paragraph 14 within the decision period.
(2) The “decision period” is the period of 12 months beginning with the day on which
the application is made to the Board.
(3) The Board may, before the end of the decision period, issue a notice extending that
period by a period specified in the notice.
(4) More than one notice may be issued under sub-paragraph (3), but the decision period
must not exceed 16 months.
(5) The Board may issue a notice under sub-paragraph (3) only after it has consulted—
(a) the [""'CMA],
(b) the Consumer Panel, and
(c) the Lord Chief Justice.
(6) A notice under sub-paragraph (3) must state the Board's reasons for extending the
decision period.
(7) The Board must publish any notice issued under sub-paragraph (3).
Textual Amendments
F111 Word in Sch. 4 para. 15(5)(a) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013
(c. 24), s. 103(3), Sch. 6 para, 117(5); S.1. 2014/416, art. 2(1)(d) (with Sch.)
Effect of grant of application
16 (1) This paragraph applies where an application is granted in relation to a reserved legal
activity or activities.
(2) The Board must recommend to the Lord Chancellor that an order be made
designating the applicant as an approved regulator in relation to the reserved legal
activity or activities in question.
(3) The Board must publish any recommendation made under sub-paragraph (2).
(4) The Board must make available to the Lord Chancellor—
(a) any advice duly given under paragraphs 6 to 9,
(b) any written representations duly made under paragraph 11 and the report (if.
any) prepared under that paragraph, and
(c) any other material considered by the Board for the purpose of determining
the application.
Lord Chancellor's decision to make an order
17 (1) Where a recommendation is made to the Lord Chancellor under paragraph 16, the
Lord Chancellor may—
(a) make an order in accordance with the recommendation, or
(b) refuse to make such an order.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) Where the recommendation relates to more than one reserved legal activity, the Lord
Chancellor may make an order under sub-paragraph (1)(a) in relation to all or any
of them.
(3) The Lord Chancellor must—
(a) decide whether to make an order under this paragraph, and
(b) give notice of that decision (“the decision notice”) to the applicant,
within the period of 90 days beginning with the day on which the recommendation
was made.
(4) If the Lord Chancellor decides not to make an order in accordance with the whole
or part of the recommendation, the decision notice must state the reasons for the
decision.
(5) The Lord Chancellor must publish the decision notice.
Approval of regulatory arrangements
18 (1) Where an order is made by the Lord Chancellor under paragraph 17, the applicant's
proposed regulatory arrangements are at the same time treated as having been
approved by the Board.
(2) But where the order relates to one or more (but not all) of the reserved legal activities
to which the application related, sub-paragraph (1) has effect as if the reference to the
applicant's proposed regulatory arrangements were a reference to those arrangements
excluding any provision made in respect of any activities excluded from the order.
(3) Sub-paragraph (1) is without prejudice to the Board's power to give directions
under section 32 (powers to direct an approved regulator to take steps in certain
circumstances, including steps to amend its regulatory arrangements).
PART 3
ALTERATION OF APPROVED REGULATOR'S REGULATORY ARRANGEMENTS
Requirement for approval
19 (1) Ifan alteration is made of the regulatory arrangements of an approved regulator, the
alteration does not have effect unless it is approved for the purposes of this Act.
(2) An alteration is approved for the purposes of this Act if—
(a) it is approved by virtue of paragraph 18 (approval of proposed regulatory
arrangements on designation by order as approved regulator),
(b) it is approved by the Board under this Part of this Schedule,
(c) it is an exempt alteration,
(d) it is an alteration made in compliance with a direction under section 32,
(ce) _ itisapproved by virtue of paragraph 16 of Schedule 10 (approval of licensing
tules on designation by order as licensing authority), or
(f) itis approved by virtue of paragraph 7 of Schedule 18 (approval of proposed
regulatory arrangements when granting “qualifying regulator” status for the
purposes of Part 5 of the Immigration and Asylum Act 1999 (c. 33)).
172 Legal Services Act 2007 (c. 29)
SCHEDULE 4 — Approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) An exempt alteration is an alteration which the Board has directed is to be treated as
exempt for the purposes of this paragraph.
(4) A direction under sub-paragraph (3) may be specific or general and must be published
by the Board.
(5) In this Part of this Schedule, references to an “alteration” of regulatory arrangements
include an addition to, or the revocation of any part of, the arrangements.
(6) Ifa question arises whether approval is required by virtue of this Part of this Schedule,
itis for the Board to decide.
(7) Nothing in this Part of this Schedule applies in relation to any alteration of the
regulatory arrangements of the Board in its capacity as an approved regulator (or of
its licensing rules).
Commencement Information
1140. Sch. 4 para. 19 partly in force; Sch. 4 para. 19 not in force at Royal Assent see s. 211; Sch. 4 para. 19(1)
(2)(a)-(€)(3)-(7) in force at 1.1.2010 by S.1. 2009/3250, art. 2(b)(ii) (with art. 9)
1141. Sch. 4 para, 19(2)(f) in force at 1.4.2011 by S.L. 201/720, art. 2(b)
Application to Board
20 (1) An application by an approved regulator for the Board to approve an alteration or
alterations of its regulatory arrangements must be made in such form and manner as
the Board may specify in rules.
(2) The application must be accompanied by—
(a) details of such of the approved regulator's regulatory arrangements as are
relevant to the application,
(b) details of the alteration or alterations, and
(c) such explanatory material as the approved regulator considers is likely to be
needed for the purposes of this Part of this Schedule.
Initial determination
21 (1) Where the Board has received an application under paragraph 20 it may—
(a) grant the application and give the approved regulator a notice to that effect, or
(b) give the approved regulator a notice stating that the Board is considering
whether to refuse the application (a “warning notice”).
(2) The Board must publish any notice given by it under sub-paragraph (1)(a) or (b).
(3) If the Board does not give the approved regulator a notice under sub-paragraph (1)
(a) or (b) within the initial decision period, the application is deemed to have been
granted by the Board.
(4) The “initial decision period” means the period of 28 days beginning with the day on
which the application was received by the Board.
(5) The Board may extend the initial decision period—
(a) with the consent of the approved regulator, or
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) _ by giving an extension notice to the approved regulator,
before the end of that period (or if it has previously been extended under this sub-
paragraph, that period as so extended).
(6) An extension notice—
(a) must specify the period of the extension, and
(b) must state the Board's reasons for extending the initial decision period.
(7) The period specified in the notice under sub-paragraph (6)(a) must end no later than
the end of the period of 90 days beginning with the date on which the application
was made under paragraph 20.
Advice
22 (1) Where the Board has given the approved regulator a warning notice, the Board may
invite such persons as it considers appropriate to give the Board advice regarding
whether the application should be granted.
(2) A person (“the consultee”) to whom an invitation is given under sub-paragraph (1)
may, for the purposes of giving advice to the Board under this paragraph, request the
approved regulator or any other person to provide the consultee with such additional
information as may be specified by the consultee.
Representations by applicant
23. (1) The Board must give the approved regulator a copy of any advice obtained under
paragraph 22.
(2) The approved regulator may make to the Board—
(a) written representations, and
(b) if the Board authorises it to do so, oral representations,
about the advice.
(3) The Board must make rules governing the making of oral and written representations.
(4) Representations under this paragraph must be made within—
(a) the period of 28 days beginning with the day on which the copy of the advice
is given to the approved regulator, or
(b) such longer period as the Board may specify in a particular case.
(5) Where oral representations are made, the Board must prepare a report of those
representations.
(6) Before preparing that report, the Board must—
(a) give the approved regulator a reasonable opportunity to comment on a draft
of the report, and
(b) have regard to any comments duly made.
Commencement Information
1142. Sch. 4 para. 23 wholly in force at 1.1.2010; Sch. 4 para. 23 not in force at Royal Assent see s. 211; Sch.
4 para. 23(3) in force at 1.1.2009 by S.1. 2008/3149, art. 2(b)(ii); Sch. 4 para. 23 in force otherwise at
1.1.2010 by S.1. 2009/3250, art. 2(b)(ii) (with art. 9)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Publication of advice and representations etc
24 (1) The Board must, as soon as practicable after the end of the period within which
representations under paragraph 23 may be made, publish—
(a) any advice given under paragraph 22, and
(b) any written representations duly made under paragraph 23 and the report (if
any) prepared under that paragraph.
(2) Nothing in sub-paragraph (1) operates—
(a) to prevent a person who gives advice under paragraph 22 from publishing
that advice, or
(b) to prevent a person who makes representations under paragraph 23 from
publishing those representations.
(3) A person (“the publisher”) publishing any such material (whether under sub-
paragraph (1) or otherwise) must, so far as practicable, exclude any matter which
relates to the private affairs of a particular individual the publication of which, in
the opinion of the publisher, would or might seriously and prejudicially affect the
interests of that individual.
Decision by the Board
25 (1) After considering—
(a) _ the application and any accompanying material,
(b) any other information provided by the approved regulator,
(c) any advice obtained under paragraph 22,
(d) any representations duly made under paragraph 23, and
(e) any other information which the Board considers relevant to the application,
the Board must decide whether to grant the application.
(2) The Board may grant the application in whole or in part.
(3) The Board may refuse the application only if it is satisfied that—
(a) granting the application would be prejudicial to the regulatory objectives,
(b) granting the application would be contrary to any provision made by or
by virtue of this Act or any other enactment or would result in any of the
designation requirements ceasing to be satisfied in relation to the approved
regulator,
(c) granting the application would be contrary to the public interest,
(d) the alteration would enable the approved regulator to authorise persons to
carry on activities which are reserved legal activities in relation to which it
is not a relevant approved regulator,
(e) the alteration would enable the approved regulator to license persons under
Part 5 to carry on activities which are reserved legal activities in relation to
which it is not a licensing authority, or
(f) _ the alteration has been or is likely to be made otherwise than in accordance
with the procedures (whether statutory or otherwise) which apply in relation
to the making of the alteration.
(4) For the purposes of sub-paragraph (3)(b) the designation requirements are—
(a) a requirement that the approved regulator has appropriate internal
governance arrangements in place,
Legal Services Act 2007 (c. 29) 175
SCHEDULE 4 — Approved regulators
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
26
27
(b) a requirement that the applicant is competent, and has sufficient resources
to perform the role of approved regulator in relation to the reserved legal
activities in respect of which it is designated, and
(c) the requirements of paragraph 13(2)(c) to (e).
(5) Sub-paragraph (3) applies in relation to any part of an application as if references to
the application were to the part.
(6) The Board must give notice of its decision (“the decision notice”) to the approved
regulator.
(7) Where the Board decides to refuse the application (in whole or in part), the decision
notice must specify the reasons for that decision.
(8) The Board must publish the decision notice.
Failure to decide application during decision period
(1) This paragraph applies where the Board gives an approved regulator a warning notice
under paragraph 21 in respect of the approved regulator's application.
(2) If the Board does not give the approved regulator notice of its decision under
paragraph 25 within the decision period, the application is deemed to have been
granted by the Board at the end of that period.
(3) Subject to sub-paragraphs (4) and (5), “the decision period” means the period of 12
months beginning with the day on which the approved regulator received the warning
notice.
(4) The Board may, on one or more occasions, give the approved regulator a notice (an
“extension notice”) extending the decision period.
(5) But—
(a) an extension notice may only be given before the time when the decision
period would end, but for the extension notice, and
(b) the total decision period must not exceed 18 months.
(6) The Board must publish any extension notice given by it.
Effect of grant of application
(1) Where an application is granted under paragraph 21(1)(a) or (3), 25(1) or 26(2),
the alteration or alterations of the regulatory arrangements to which the application
relates are approved.
(2) Where a part of an application is granted under paragraph 25(1), the alteration or
alterations of the regulatory arrangements to which the part relates are approved.
(3) Sub-paragraphs (1) and (2) are without prejudice to the Board's power to give
directions under section 32 (power to direct an approved regulator to take steps in
certain circumstances, including steps to amend its regulatory arrangements).
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SCHEDULE 5 — Authorised persons
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
SCHEDULE 5 Section 22
AUTHORISED PERSONS
Part 1
CONTINUITY OF RIGHTS
Rights of audience and conduct of litigation
1 (1) For the purposes of section 18 (authorised persons), in the case of a person who is
authorised by a listed body—
(a) to exercise a right of audience before a court in relation to any proceedings,
or
(b) to conduct litigation in relation to any proceedings,
it is irrelevant whether the person's authorisation was granted before or on or after
the appointed day.
(2) The “listed bodies” are—
(a) The Law Society,
(b) The General Council of the Bar,
(c) The Chartered Institute of Patent Attorneys,
(d) The Institute of Trade Mark Attorneys,
(ce) The Association of Law Costs Drafismen, and
(f) for the purposes of sub-paragraph (1)(a) only, The Institute of Legal
Executives.
(3) For the purposes of sub-paragraph (1), any authority conferred by section 31 of
the Courts and Legal Services Act 1990 (c. 41) (barristers and solicitors deemed to
have rights of audience and rights to conduct litigation) is to be disregarded (see
paragraphs 4 and 7 below).
Commencement Information
1143 Sch. 5 para. 1 wholly in force at 1.1.2010, see s. 211 and S.I. 2009/3250, art. 2(b)(i) (with art. 9)
Conveyancing services
2 (1) For the purposes of section 18, in the case of a licensed conveyancer who is
authorised to carry on an activity which is a reserved instrument activity by a
conveyancing licence, it is irrelevant whether the licence was granted before or on
or after the appointed day.
(2) For the purposes of this paragraph “conveyancing licence” means a licence to
practise as a licensed conveyancer granted under Part 2 of the Administration of
Justice Act 1985 (c. 61).
Commencement Information
1144 Sch. 5 para. 2 wholly in force at 1.1.2010, see s. 211 and S.1. 2009/3250, art. 2(b)(ii) (with art. 9)
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SCHEDULE 5 — Authorised persons
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
['"” Probate activities
Textual Amendments
F112 Sch. 5 para. 2A inserted (30.12.2009) by The Legal Services Act 2007 (Approved Regulators) Order
2009 (S.1. 2009/3233), arts. 1(1), 4
2A (1) This paragraph applies to a person who, immediately before the time paragraph I of
Schedule 4 comes into force, has an exemption from the provisions of section 23(1)
of the Solicitors Act 1974 (c. 47) (preparation of papers for probate etc by unqualified
person) granted by a body within sub-paragraph (3).
(2) For the purposes of section 18, the person is to be treated as if the exemption were
an authorisation to carry on probate activities granted by the body in question at the
time paragraph I of Schedule 4 comes into force.
(3) The bodies are—
(a) The Council for Licensed Conveyancers;
(b) The Institute of Chartered Accountants of Scotland;
(c) The Association of Chartered Certified Accountants. ]
PART 2
RIGHTS DURING TRANSITIONAL PERIOD
The transitional period
3 (1) In this Part of this Schedule references to “the transitional period” are to the period
which—
(a) begins with the appointed day (within the meaning given by paragraph 19),
and
(b) ends with the day appointed by the Lord Chancellor by order for the purposes
of this paragraph.
(2) Different days may be appointed under sub-paragraph (1)(b) for different purposes.
(3) An order may be made under sub-paragraph (1)(b) only on the recommendation of
the Board.
Commencement Information
1145 Sch. 5 para. 3 wholly in force at 1.1.2010, see s. 211 and S.1. 2009/3250, art. 2(b)(ii) (with art. 9)
Barristers etc
4 (1) During the transitional period, every barrister is deemed to be authorised by the
General Council of the Bar to carry on the activities in sub-paragraph (2).
(2) Those activities are—
(a) the exercise of a right of audience before every court in relation to all
proceedings;
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) reserved instrument activities;
(c) probate activities;
(d) the administration of oaths.
(3) The authority conferred on a barrister by this paragraph is exercisable in accordance
with, and subject to, the regulatory arrangements of the General Council of the Bar.
(4) A person is not authorised under sub-paragraph (1) unless the person has in force a
certificate issued by the General Council of the Bar authorising the person to practise
as a barrister.
Commencement Information
1146 Sch. 5 para. 4 wholly in force at 1.1.2010, see s. 211 and S.I. 2009/3250, art. 2(b)(ii) (subject to art.
4 and with art. 9)
5 (1) During the transitional period, every registered European lawyer registered with the
Inns of Court and the General Council of the Bar is deemed to be authorised by the
General Council of the Bar to carry on activities which—
(a) are within paragraph 4(2), and
(b) the registered European lawyer is entitled to carry on under his [""*Swiss
professional title] by virtue of the European regulations.
(2) The authority conferred on a registered European lawyer by virtue of this paragraph
is exercisable in accordance with, and subject to, the regulatory arrangements of the
General Council of the Bar (as they apply to the registered European lawyer by virtue
of the European regulations).
(3) In this paragraph—
“European regulations” means the European Communities (Lawyer's
Practice) Regulations 2000 (S.1. 2000/1119) [*"*, as they have effect by
virtue of regulation 6 of the Services of Lawyers and Lawyer’s Practice
(Revocation ete.) (EU Exit) Regulations 2020];
“["5Swiss professional title]” and “registered European lawyer” have the
same meaning as in the European regulations.
Textual Amendments
F113. Words in Sch. 5 para. 5(1)(b) substituted (31.12.2020) by ‘The Services of Lawyers and Lawyer’s Practice
(Revocation ete.) (EU Exit) Regulations 2020 (S.I. 2020/1342), reg. 1(1), Seh. para. 12(5)(a)(i) (with
Sch. para. 13)
F114 Words in Sch. 5 para. 5(3) inserted (31.12.2020) by The Services of Lawyers and Lawyer’s Practice
(Revocation etc.) (EU Exit) Regulations 2020 (S.1. 2020/1342), reg. 1(1), Seh. para. 12(5)(a)(i)(aa)
(with Sch. para. 13)
F115 Words in Sch. 5 para. 5(3) substituted (31.12.2020) by The Services of Lawyers and Lawyer’s Practice
(Revocation etc.) (EU Exit) Regulations 2020 (S.I. 2020/1342), reg. 1(1), Sch. para, 12(5)(a)(ii)(bb)
(with Sch. para. 13)
Commencement Information
1147 Sch. 5 para. 5 wholly in force at 1.1.2010, see s. 211 and S.1. 2009/3250, art. 2(b)(ii) (with art. 9)
Legal Services Act 2007 (c. 29) 179
SCHEDULE 5 — Authorised persons
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
6 During the transitional period members of the Bar not in actual practice are to
continue to have the rights conferred by section 102A(2) of the Patents Act 1977
(c. 37) (right of audience, etc in proceedings on appeal from the comptroller).
Commencement Information
1148 Sch. 5 para. 6 wholly in force at 1.1.2010, see s. 211 and S.1. 2009/3250, art. 2(b)(ii) (with art. 9)
Solicitors ete
7 (1) During the transitional period—.
(a) every qualified solicitor,
(b) every legal partnership, and
(c) every body recognised under section 9 of the Administration of Justice Act
1985 (c. 61) (incorporated practices) (“a recognised body”),
is deemed to be authorised by the Law Society to carry on the activities in sub-
paragraph (2).
(2) Those activities are—
(a) the exercise of a right of audience before every court in relation to all
proceedings;
(b) the conduct of litigation in relation to every court and all proceedings;
(c) reserved instrument activities;
(d) probate activities;
(e) the administration of oaths.
(3) The authority conferred on a qualified solicitor, legal partnership or recognised body
by this paragraph is exercisable in accordance with, and subject to, the regulatory
arrangements of the Law Society.
(4) In this paragraph—
“Jegal partnership” means a partnership in which a qualified solicitor, a
registered European Lawyer or a body recognised under section 9 of the
Administration of Justice Act 1985 (c. 61) is permitted to practise by virtue
of rules made under that section or section 31 of the Solicitors Act 1974
(c. 47);
“qualified solicitor” means a person who is qualified under section I of
the Solicitors Act 1974 to act as a solicitor;
“registered European lawyer” means a registered European lawyer within
the meaning of the European Communities (Lawyer's Practice) Regulations
2000 (S.1. 2000/1119) [*"°, as they have effect by virtue of regulation 6 of
the Services of Lawyers and Lawyer’s Practice (Revocation etc.) (EU Exit)
Regulations 2020,] who is registered with the Law Society.
Textual Amendments.
F116 Words in Sch. 5 para. 7(4) inserted (31.12.2020) by The Services of Lawyers and Lawyer’s Practice
(Revocation etc.) (EU Exit) Regulations 2020 (S.I. 2020/1342), reg. 1(1), Sch. para. 12(5)(b) (with Sch.
para. 13)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1149. Sch. 5 para. 7 wholly in force at 1.1.2010; Sch. 5 para. 7 not in force at Royal Assent see s. 211; Sch.
5 para. 7(4) in force for certain purposes at 31.3.2009 by S.I. 209/503, art. 3, Sch. 5 para. 7 in force
otherwise at 1.1.2010 by S.1. 2009/3250, art. 2(b)(i) (with art. 9)
8 (1) During the transitional period, every registered European lawyer registered with the
Law Society is deemed to be authorised by the Law Society to carry on activities
which—
(a) are within paragraph 7(2), and
(b) the registered European lawyer is entitled to carry on under his ["’Swiss
professional title] by virtue of the European regulations.
(2) The authority conferred on a registered European lawyer by virtue of this paragraph
is exercisable in accordance with, and subject to, the regulatory arrangements of
the Law Society (as they apply to the registered European lawyer by virtue of the
European regulations).
(3) In this paragraph—
“European regulations” means the European Communities (Lawyer's
Practice) Regulations 2000 (S.I. 2000/1119) ['"*, as they have effect by
virtue of regulation 6 of the Services of Lawyers and Lawyer’s Practice
(Revocation etc.) (EU Exit) Regulations 2020];
“[*"°Swiss professional title]” and “registered European lawyer” have the
same meaning as in the European regulations.
Textual Amendments
F117 Words in Sch. 5 para. 8(1)(b) substituted (31.12.2020) by The Services of Lawyers and Lawyer’s Practice
(Revocation etc.) (EU Exit) Regulations 2020 (S.I. 2020/1342), reg. 1(1), Sch. para. 12(5)(c)(j) (with
Sch, para. 13)
F118 Words in Sch. 5 para. 8(3) inserted (31.12.2020) by The Services of Lawyers and Lawyer’s Practice
(Revocation etc.) (FU Exit) Regulations 2020 (S.I. 2020/1342), reg. 1(1), Sch. para. 12(5)(c)(ii)(aa)
(with Sch. para. 13)
F119 Words in Sch. 5 para. 8(3) substituted (31.12.2020) by The Services of Lawyers and Lawyer’s Practice
(Revocation etc.) (EU Exit) Regulations 2020 (S.I. 2020/1342), reg. 1(1), Sch. para. 12(5)(c)(ii)(bb)
(with Sch. para. 13)
Commencement Information
1150 Sch. 5 para. 8 wholly in force at 1.1.2010, see s. 211 and S.I. 2009/3250, art. 2(b)(ii) (with art. 9)
9 (1) During the transitional period, solicitors are to continue to have the rights conferred
on them by subsection (1) of section 102A of the Patents Act 1977 (c. 37) (rights of
audience, etc in proceedings on appeal from the comptroller).
(2) During that period, registered European lawyers are to continue to have the rights
conferred on them by that subsection by virtue of the European regulations.
(3) In this paragraph “European regulations” and “registered European lawyer” have the
same meaning as in paragraph 8.
Legal Services Act 2007 (c. 29) 181
SCHEDULE 5 — Authorised persons
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
I151_ Sch. 5 para. 9 wholly in force at 1.1.2010, see s. 211 and S.1. 2009/3250, art. 2(b)(ii) (with art. 9)
Legal Executives
10 (1) During the transitional period, a person authorised by the Institute of Legal
Executives to practise as a member of the profession of legal executives is deemed
to be authorised by that Institute to administer oaths.
(2) The authority conferred by sub-paragraph (1) is exercisable in accordance with and
subject to the regulatory arrangements of the Institute of Legal Executives.
(3) A person is not authorised under sub-paragraph (1) unless the person has in force
a certificate issued by the Institute of Legal Executives authorising the person to
practise as a legal executive.
Commencement Information
1152 Sch. 5 para. 10 wholly in force at 1.1.2010, see s. 211 and S.1. 2009/3250, art. 2(b)(ii) (with art. 9)
Licensed conveyancers
11 (1) During the transitional period every individual who holds a conveyancing licence is
deemed to be authorised by the Council for Licensed Conveyancers to administer
oaths.
[*?°C1A) During the transitional period every individual, not being a licensed conveyancer,
who holds a licence under section 53 of the Courts and Legal Services Act 1990 is
deemed to be authorised by the Council to administer oaths.]
(2) The authority conferred by sub-paragraph (1) ["or (1A)] is exercisable in
accordance with and subject to the regulatory arrangements of the Council.
(3) During that period, every conveyancing partnership and every ["conveyancin;
is Pp Ty y' iS Pi Ip ry y' ig
services] body recognised under section 32 of the Administration of Justice Act 1985
(c. 61) (bodies corporate entitled to provide conveyancing ["or other] services) is
deemed to be authorised by the Council—
(a) to carry on conveyancing services, and
(b) to administer oaths.
[?4(3A) During that period, every CLC practitioner services body recognised under section 32
of the Administration of Justice Act 1985 is deemed to be authorised by the Council
to administer oaths.]
(4) The authority conferred by sub-paragraph (3) ["*
accordance with and subject to—
(a) in the case of a body recognised under section 32 of the Administration of
Justice Act 1985, any condition subject to which its recognition has effect,
and
(b) the regulatory arrangements of the Council.
‘or (3A)] is exercisable in
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SCHEDULE 5 — Authorised persons
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
['9(5) In this paragraph—
“CLC practitioner services body ” has the meaning given by section 32B
of the Administration of Justice Act 1985;
“ conveyancing partnership ” means a partnership at least some of the
members of which are licensed conveyancers, but does not include a CLC
practitioner services body;
“ conveyancing services body ” has the meaning given by section 32A of
the Administration of Justice 1985. ]
(6) For the purposes of this paragraph a conveyancing licence ["”’or a licence under
section 53 of the Courts and Legal Services Act 1990] is to be treated as not in force
during any period when it is suspended.
Textual Amendments
F120 Sch. 5 para. 11(1A) inserted (29.6.2015) by Deregulation Act 2015 (c. 20), s. 115(6)(b), Sch. 19 para.
16(2); S.1. 2015/1402, art. 2(b)
F121 Words in Sch. 5 para. 11 (2) inserted (29.6.2015) by Deregulation Act 2015 (. 20), s. 115(6)(b), Sch. 19
para. 16(3); 8.1. 2015/1402, art. 2(b)
F122. Words in Sch. 5 para. 11(3) inserted (29.6.2015) by Deregulation Act 2015 (c. 20), s. 115(6)(b), Sch. 19
para. 16(4)(a); S.1. 2015/1402, art. 2(b)
F123 Words in Sch. 5 para. 11(3) inserted (29.6.2015) by Deregulation Act 2015 (¢. 20), s. 115(6)(b), Sch. 19
para. 16(4)(b); S.1. 2015/1402, art. 2(b)
F124 Sch. 5 para. 11(3A) inserted (29.6.2015) by Deregulation Act 2015 (c. 20), s. 115(6)(b), Sch. 19 para.
16(5); S.1. 2015/1402, art. 2(b)
F125 Words in Sch. 5 para. 11(4) inserted (29.6.2015) by Deregulation Act 2015 (c. 20), s. 115(6)(b), Sch. 19
para. 16(6); S.I. 2015/1402, art. 2(b)
F126 Sch. 5 para. 11(5) substituted (29.6.2015) by Deregulation Act 2015 (c. 20), s. 115(6)(b), Sch. 19 para.
16(7); 8.1. 2015/1402, art. 2(b)
F127 Words in Sch. 5 para. 11(6) inserted (29.6.2015) by Deregulation Act 2015 (c. 20), s. 115(6)(b), Sch. 19
para. 16(8); S.L. 2015/1402, art. 2(b)
Commencement Information
1153. Sch. 5 para. 11 wholly in force at 1.1.2010, see s. 211 and S.I. 2009/3250, art. 2(b)(ii) (with art. 9)
Notaries public
12 (1) During the transitional period, every duly certificated notary is deemed to be
authorised by the Master of the Faculties to carry on the activities in sub-
paragraph (2).
(2) Those activities are—
(a) reserved instrument activities;
(b) probate activities;
(c) notarial activities;
(d) the administration of oaths.
(3) The authority conferred by sub-paragraph (1) is exercisable in accordance with and
subject to the regulatory arrangements of the Master of the Faculties.
(4) In this paragraph “duly certificated notary” means a notary who either—
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Legal Services Act 2007 (c. 29) 183
SCHEDULE 5 — Authorised persons
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) _ has in force a practising certificate as a solicitor issued under the Solicitors
Act 1974 (c. 47), and is duly entered in the Court of Faculties of the
Archbishop of Canterbury in accordance with rules made by the Master of
the Faculties, or
(b) has in force a practising certificate as a public notary issued by the said Court
of Faculties in accordance with rules so made.
Commencement Information
1154 Sch. 5 para. 12 wholly in force at 1.1.2010; Sch. 5 para. 12 not in force at Royal Assent see s. 211; Sch.
5 para. 12(4) in force for certain purposes at 31.3.2009 by S.1. 209/503, art. 3, Sch. 5 para. 12 in force
otherwise at 1.1.2010 by S.L. 2009/3250, art. 2(b)(ii) (with art. 9)
13. (1) During the transitional period, a person (“P”) is an exempt person in relation to the
carrying on of an activity (“the relevant activity”) which is a notarial activity if—
(a) P carries on the relevant activity by virtue of an employee of P (“E”) carrying
it on in E's capacity as such an employee, and
(b) Eis an authorised person in relation to the relevant activity.
(2) If P is a body, in this paragraph references to an employee of P include references
to a manager of P.
Commencement Information
T155_ Sch. 5 para. 13 wholly in force at 1.1.2010, see s. 211 and S.I. 2009/3250, art. 2(b)(ii) (with art. 9)
Patent attorneys
14 (1) During the transitional period, every registered patent attorney is deemed to be
authorised by the Chartered Institute of Patent Attorneys to carry on reserved
instrument activities.
(2) During that period, every authorised patent attorney is deemed to be authorised by
the Chartered Institute of Patent Attorneys to administer oaths.
(3) During that period, every patent attorney body is deemed to be authorised by the
Chartered Institute of Patent Attorneys to carry on the activities in sub-paragraph (4).
(4) Those activities are any activities which are reserved legal activities within sub-
paragraph (5) and which—
(a) _ if the body is a partnership, any partner who is a registered patent attorney
is authorised to carry on;
(b) if the body is a body corporate, any director who is a registered patent
attorney is authorised to carry on.
(5) Those activities are—
(a) _ the exercise of a right of audience;
(b) the conduct of litigation;
(c) reserved instrument activities;
(d) the administration of oaths.
184 Legal Services Act 2007 (¢. 29)
SCHEDULE 5 — Authorised persons
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(6) The authority conferred by any of sub-paragraphs (1) to (3) is exercisable in
accordance with and subject to the regulatory arrangements of the Chartered Institute
of Patent Attorneys.
(7) In this paragraph—
“authorised patent attorney” means a registered patent attorney who is
authorised by the Chartered Institute of Patent Attorneys to carry on one or
both of the following activities—
(a) the exercise of a right of audience;
(b) the conduct of litigation;
“patent attorney body” means—
(a) a partnership all the partners of which are registered patent attorneys,
(b) a body corporate all the directors of which are registered patent
attorneys,
(c) a partnership or body corporate which satisfies the conditions
prescribed under section 279 of the Copyright, Designs and Patents Act
1988 (c. 48), or
(d) a body corporate to which section 276(4) of that Act applies;
“registered patent attorney” has the meaning given by section 275(2) of
that Act;
and, in the case of a patent attorney body to which section 276(4) of that Act applies,
the reference in sub-paragraph (4)(b) to a director includes a reference to the manager
(within the meaning of section 276(4) of that Act) of the company.
Commencement Information
T156 Sch. 5 para. 14 wholly in force at 1.1.2010; Sch. 5 para. 14 not in force at Royal Assent see s. 211; Sch.
5 para. 14(7) in force for certain purposes at 31.3.2009 by S.1. 209/503, art. 3, Sch. 5 para. 14 in force
otherwise at 1.1.2010 by S.1. 2009/3250, art. 2(b)(ii) (with art. 9)
15 (1) During the transitional period registered patent attorneys are to continue to have the
rights conferred by section 102A(2) of the Patents Act 1977 (c. 37) and section 292
of the Copyright, Designs and Patents Act 1988 (c. 48).
(2) In this paragraph “registered patent attorney” has the same meaning as in paragraph
14.
Commencement Information
1157 Sch. 5 para. 15 wholly in force at 1.1.2010, see s. 211 and S.1. 2009/3250, art. 2(b)(ii) (with art. 9)
Trade mark attorneys
16 (1) During the transitional period, every registered trade mark attorney is deemed to be
ised by the Institute of Trade Mark Attorneys to carry on reserved instrument
(2) During that period, every authorised trade mark attorney is deemed to be authorised
by the Institute of Trade Mark Attorneys to administer oaths.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) During that period, every trade mark attorney body is deemed to be authorised by
the Institute of Trade Mark Attorneys to carry on the activities in sub-paragraph (4).
(4) Those activities are any activities which are reserved legal activities within sub-
paragraph (5) and which—
(a) if the body is a partnership, any partner who is a registered trade mark
attorney is authorised to carry on, or
(b) if the body is a body corporate, any director who is a registered trade mark
attorney is authorised to carry on.
(5) Those activities are—
(a) the exercise of a right of audience;
(b) the conduct of litigation;
(c) reserved instrument activities;
(d) the administration of oaths.
(6) The authority conferred by any of sub-paragraphs (1) to (3) is exercisable in
accordance with and subject to the regulatory arrangements of the Institute of Trade
Mark Attorneys.
(7) In this paragraph—
“authorised trade mark attorney” means a registered trade mark attorney
who is authorised by the Institute of Trade Mark Attorneys to carry on one
or both of the following activities—
(a) the exercise of a right of audience;
(b) the conduct of litigation;
“trade mark attorney body” means—
(a) a partnership all the partners of which are registered trade mark
attorneys,
(b) a body corporate all the directors of which are registered trade mark
attorneys, or
(c) a partnership or body corporate which satisfies the conditions
prescribed under section 85 of the Trade Marks Act 1994 (c. 26);
“registered trade mark attorney” has the same meaning as in the Trade
Marks Act 1994.
Commencement Information
1158 Sch. 5 para. 16 wholly in force at 1.1.2010; Sch. 5 para. 16 not in force at Royal Assent see s. 211; Sch.
5 para. 16(7) in force for certain purposes at 31.3.2009 by S.1. 209/503, art. 3, Sch. 5 para. 16 in force
otherwise at 1.1.2010 by S.1. 2009/3250, art. 2(b)(ii) (with art. 9)
Law costs drafismen
17 (1) During the transitional period, every authorised member of the Association of Law
Costs Drafismen is deemed to be authorised by that Association to administer oaths.
(2) In this paragraph, “authorised member of the Association of Law Costs Drafismen”
means a member of that Association who has been authorised by that Association to
carry on one or both of the following activities—
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SCHEDULE 5 — Authorised persons
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) _ the exercise of a right of audience;
(b) the conduct of litigation.
(3) The authority conferred by sub-paragraph (1) is exercisable in accordance with and
subject to the regulatory arrangements of the Association of Law Costs Drafismen.
Commencement Information
T159 Sch. 5 para. 17 wholly in force at 1.1.2010; Sch. 5 para. 17 not in force at Royal Assent see s. 211; Sch.
5 para. 17(2) in force for certain purposes at 31.3.2009 by S.1. 209/503, art. 3, Sch. 5 para. 17 in force
otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)
18 (1) During the transitional period, a person (“P”) is an exempt person in relation to the
carrying on of an activity (“the relevant activity”) which is a reserved legal activity
within sub-paragraph (2), if—
(a) P carries on the relevant activity by virtue of an employee of P (“E”) carrying
it on in E's capacity as such an employee, and
(b) E is an authorised member of the Association of Law Costs Drafismen
(within the meaning of paragraph 17(2) of this Schedule).
(2) The reserved legal activities mentioned in sub-paragraph (1) are—
(a) the exercise of a right of audience;
(b) the conduct of litigation;
(c) the administration of oaths.
(3) If P is a body, in this paragraph references to an employee of P include references
to a manager of P.
Commencement Information
1160 Sch. 5 para. 18 wholly in force at 1.1.2010; Sch. 5 para. 18 not in force at Royal Assent see s. 211; Sch.
5 para. 18(2) in force for certain purposes at 31.3.2009 by S.I. 2009/503, art. 3, Sch. 5 para. 18 in force
otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)
PART 3
INTERPRETATION
19 In this Schedule—
“the appointed day” means the day appointed for the coming into force of
section 13 (entitlement to carry on a reserved legal activity);
“conveyancing licence” has the meaning given by paragraph 2.
Commencement Information
1161 Sch. 5 para. 19 wholly in force at 1.1.2010, see s. 211 and S.1. 2009/3250, art. 2(b)(ii) (with art. 9)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
SCHEDULE 6 Sections 24 and 26
ALTERATION OF RESERVED LEGAL ACTIVITIES
Introductory
1 In this Schedule, in relation to an activity—
“section 24 investigation” means an investigation held with a view to
determining whether or not the Board should make a recommendation in
respect of the activity for the purposes of section 24 (recommendations and
orders to extend the reserved legal activities);
“section 26 investigation” means an investigation held with a view to
determining whether or not the Board should make a recommendation in
respect of the activity for the purposes of section 26 (recommendations that
an activity should cease to be a reserved legal activity).
Requests for Board to hold a full investigation
2 (1) A person may—
(a) request the Board to hold a section 24 investigation in respect of an activity,
or
(b) request the Board to hold a section 26 investigation in respect of an activity.
(2) A request under sub-paragraph (1) must be in writing and specify the activity to
which it relates.
(3) In the case of a request for a section 24 investigation, the activity in respect of which
the request is made must be a legal activity.
Board's duty to hold preliminary inquiries in certain cases
3 (1) This paragraph applies where the Board receives a request under paragraph 2, in
respect of an activity, from—
(a) the Lord Chancellor,
(b) the ["8CMA],
(c) the Consumer Panel, or
(d) _ the Lord Chief Justice.
(2) The Board must—
(a) carry out such inquiries as it considers appropriate to enable it to determine
whether it is appropriate to hold a section 24 investigation or, as the case
may be, a section 26 investigation in respect of the activity, and
(b) make that determination within the preliminary inquiry period.
(3) “The preliminary inquiry period” means the period of 3 months beginning with the
day on which the request under paragraph 2 was received by the Board.
(4) The Board may, before the end of the preliminary inquiry period in relation to a
request, issue a notice extending that period by a period specified in the notice.
(5) More than one notice may be issued under sub-paragraph (4), but the total
preliminary inquiry period must not exceed 4 months.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(6) A notice under sub-paragraph (4) must state the Board's reasons for extending the
preliminary inquiry period.
(7) The Board must publish a notice issued under sub-paragraph (4).
Textual Amendments
F128 Word in Sch. 6 para. 3(1)(b) substituted (1.4,2014) by Enterprise and Regulatory Reform Act 2013 (©. 24),
s. 103(3), Sch. 6 para. 118(2); S.1. 2014/416, art. 2(1)(4) (with Sch.)
Board's power to hold preliminary inquiries in other cases
4 (1) The Board may—
(a) where it receives a request under paragraph 2 to which paragraph 3 does not
apply, or
(b) in any other case where it considers it appropriate to do so,
carry out such inquiries as it considers appropriate to enable it to determine whether
it is appropriate to hold a section 24 investigation or a section 26 investigation in
respect of an activity.
(2) In the case of a section 24 investigation, that activity must be a legal activity.
Advice
5 (1) Before determining whether it is appropriate to hold a section 24 investigation or a
section 26 investigation in respect of an activity, the Board may seek the advice of
one or both of the following bodies—
(a) the OFT;
(b) the Consumer Panel.
(2) The OFT or the Consumer Panel must, if its advice is sought, give the Board such
advice as it thinks fit, within such reasonable period as the Board may specify.
(3) In deciding what advice to give—
(a) the OFT must, in particular, consider whether making an order under
section 24 or (as the case may be) provision in accordance with a
recommendation under section 26, in respect of the activity would (or would
be likely to) prevent, restrict or distort competition within the market for
reserved legal services to any significant extent, and
(b) the Consumer Panel must have regard to the likely impact which making
that order or (as the case may be) provision would have on consumers.
(4) The OFT or the Consumer Panel may, for the purposes of giving advice under this
paragraph, request any person to provide it with such information as may be specified
by it.
6 (1) Before determining whether it is appropriate to hold a section 24 investigation or a
section 26 investigation in respect of an activity the Board may also seck the advice
of the Lord Chief Justice.
(2) If the Board has sought advice under paragraph 5, the Board may not seek advice
from the Lord Chief Justice until—
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) _ the period for giving advice under paragraph 5 has ended, and
(b) it has given the Lord Chief Justice a copy of any advice duly given under
that paragraph.
(3) If advice is sought under sub-paragraph (1), the Lord Chief Justice—
(a) must give the Board such advice as the Lord Chief Justice thinks fit, within
such reasonable period as may be specified by the Board, and
(b) may, for the purposes of giving that advice, request any person to provide the
Lord Chief Justice with such information as may be specified by the Lord
Chief Justice.
(4) In deciding what advice to give, the Lord Chief Justice must, in particular, have
regard to the likely impact on the courts in England and Wales of the making of
an order under section 24 or (as the case may be) provision in accordance with a
recommendation under section 26, in respect of the activity in question.
7 (1) The Board must consider, and publish, any advice given under paragraph 5 or 6.
(2) Nothing in this paragraph operates to prevent a person who gives such advice from
publishing it.
Restrictions on refusing a paragraph 2 request
8 (1) This paragraph applies where—
(a) arequest has been made under paragraph 2, and
(b) paragraph 3 applies to that request.
(2) The Board may refuse the request only if—
(a) the consultation requirements are satisfied, and
(b) cither the consent requirement is satisfied or the request was made by the
Lord Chancellor.
(3) The consultation requirements are—
(a) that the Board has consulted the OFT, the Consumer Panel and the Lord
Chief Justice under paragraphs 5 and 6, and
(b) that—
(i) the Board has obtained advice from the OFT and the Consumer
Panel or the period within which that advice is required to be given
has expired, and
(ii) the Board has obtained advice from the Lord Chief Justice or the
period within which that advice is required to be given has expired.
(4) The consent requirement is that—
(a) the Board has given the Lord Chancellor a copy of any advice given under
paragraph 5 or 6, and
(b) the Lord Chancellor has consented to the Board’s refusal of the request.
Decision to hold investigation
9 (1) This paragraph applies where the Board has decided, following inquiries under
paragraph 3 or 4, to hold a section 24 investigation or a section 26 investigation in
respect of an activity.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) The Board must, as soon as reasonably practicable, give notice of its decision to—
(a) the Lord Chancellor,
(b) the ["°CMA],
(c) the Consumer Panel, and
(d) the Lord Chief Justice,
and publish the notice.
(3) The notice must—
(a) state the Board's reasons for its decision to hold the investigation, and
(b) contain a description (in general terms) of the procedure set out in paragraphs
10 to 17 and in rules under this Schedule, including any relevant time limits.
Textual Amendments
F129 Word in Sch. 6 para. 9(2)(b) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24),
s. 103(3), Sch. 6 para. 118(5); S.1. 2014/416, art. 2(1)(d) (with Sch.)
Duty to investigate and produce a provisional report within the investigation period
10 (1) This paragraph applies where the Board has given notice under paragraph 9(2) of—
(a) adecision to hold a section 24 investigation, or
(b) adecision to hold a section 26 investigation,
in respect of an activity.
(2) The Board must within the investigation period—
(a) carry out such investigations as it considers appropriate for the purposes of
enabling it to produce a provisional report in respect of the activity, and
(b) produce and publish such a report.
(3) A provisional report is a report stating—
(a) ina case within sub-paragraph (1)(a), whether or not the Board is minded
to make a recommendation for the purposes of section 24 (recommendation
that activity should become a reserved legal activity);
(b) ina case within sub-paragraph (1)(b), whether or not the Board is minded
to make a recommendation for the purposes of section 26 (recommendation
that activity should cease to be a reserved legal activity).
(4) A provisional report must also state the Board's reasons for it being, or not being,
minded to make the recommendation in question.
“The investigation period”
11 (1) “The investigation period” means the period of 12 months beginning with the day
on which the notice was given under paragraph 9(2).
(2) The Board may, before the end of the investigation period, issue a notice extending
that period by a period specified in the notice.
(3) More than one notice may be issued under sub-paragraph (2) but the total
investigation period must not exceed 16 months.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) The Board may issue a notice under sub-paragraph (2) only after it has consulted—
(a) the ["™"CMA],
(b) the Consumer Panel, and
(c) the Lord Chief Justice.
(5) A notice under sub-paragraph (2) must state the Board's reasons for extending the
investigation period.
(6) The Board must publish any notice issued under sub-paragraph (2).
Textual Amendments
F130 Word in Sch. 6 para. 11(4)(a) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013
(c. 24), s. 103(3), Sch. 6 para. 118(6); S.I. 2014/416, art. 2(1)(4) (with Sch.)
Supplementary provisions about the investigation
12 (1) This paragraph applies for the purposes of investigations under paragraph 10(2)(a).
(2) The Board may make rules governing the making of oral and written representations,
and the giving of oral and written evidence, to the Board.
(3) Rules under sub-paragraph (2) may (among other things) include—
(a) provision about the time and place at which any oral evidence is to be given
or oral representations are to be heard;
(b) provision about the period within which any written evidence is to be given
or written representations are to be made.
(4) In relation to each investigation, the Board must determine if, and to what extent—
(a) oral evidence or representations should be heard, and
(b) written evidence or representations should be received.
(5) The Board must, so far as is reasonably practicable, consider any written or oral
representations duly made under this paragraph.
Commencement Information
1162. Sch. 6 para. 12 wholly in force at 1.1.2010; Sch. 6 para. 12 not in force at Royal Assent see s. 211; Sch.
6 para. 12(1)-(3) in force at 1.1.2009 by S.I. 2008/3 149, art. 2(b)(iii); Sch. 6 para. 12 in force otherwise
at 1.1.2010 by S.L 2009/3250, art. 2(b)(ii)
Consideration of the provisional report
13. (1) The Board may make rules governing the making to the Board of oral and written
representations in respect of provisional reports.
(2) Rules under sub-paragraph (1) may (among other things) include—
(a) provision about the time and place at which any oral representations are to
be heard;
(b) provision about the period within which any written representations are to
be made.
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192 Legal Services Act 2007 (¢. 29)
SCHEDULE 6~ Alteration of reserved legal activities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) The Board must exercise the power conferred by sub-paragraph (1) to make
provision—
(a) enabling written representations and, so far as is reasonably practicable, oral
representations to be made by affected practitioners, and
(b) enabling written or oral representations to be made by bodies which
represent affected practitioners.
(4) An “affected practitioner” is a person carrying on the activity in respect of which the
investigation is being held.
14 (1) For the purpose of making a decision under paragraph 16(1)(a) or (b), the Board
must, after publication of a provisional report, determine if and to what extent further
evidence should be heard or received.
(2) The Board may make rules governing the giving of such evidence.
3) Rules under sub-paragraph (2) may (among other things) include—
‘paragrap! ry is gs
(a) _ provision about the time and place at which any oral evidence is to be given;
(b) provision about the period within which any written evidence is to be given.
15 The Board must, so far as is reasonably practicable, consider—
(a) any written or oral representations made in accordance with rules to which
paragraph 13(3) applies, and
(b) any other representations made in accordance with rules under paragraph
13(1), and any written or oral evidence given in accordance with rules under
paragraph 14(2), which the Board considers relevant.
Duty to prepare final report within the final reporting period
16 (1) After complying with paragraph 15, the Board must decide—
(a) in the case of a section 24 investigation, whether or not to make a
recommendation for the purposes of that section, and
(b) in the case of a section 26 investigation, whether or not to make a
recommendation for the purposes of that section.
(2) The Board must prepare a report (“the final report”) which sets out—
(a) its decision and the reasons for it,
(b) where it decides to make a recommendation for the purposes of section 24
or 26, that recommendation, and
(c) where it decides to make a recommendation for the purposes of section 24,
a statement of the provision which, in the Board's opinion, will need to be
made by virtue of section 204(3) or in an order under section 208 (power to
make consequential provision, transitional provision etc) if an order is made
under section 24 in accordance with that recommendation.
(3) The Board must—
(a) give a copy of the final report to the Lord Chancellor, and
(b) publish that report
(4) The Board must comply with the obligations imposed by this paragraph within the
final reporting period.
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Legal Services Act 2007 (c. 29) 193
SCHEDULE 7 ~ Directions: procedure
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“The final reporting period”
17 (1) “The final reporting period” means the period of 3 months beginning with the date
on which the provisional report was published under paragraph 10(2).
(2) The Board may, before the end of the final reporting period, issue a notice extending
that period by a period specified in the notice.
(3) More than one notice may be issued under sub-paragraph (2), but the total final
reporting period must not exceed 5 months.
(4) The Board may issue a notice under sub-paragraph (2) only after it has consulted—
(a) the [""CMA],
(b) the Consumer Panel, and
(c) the Lord Chief Justice.
(5) A notice under sub-paragraph (2) must state the Board's reasons for extending the
final reporting period.
(6) The Board must publish a notice issued under sub-paragraph (2).
Textual Amendments
F131 Word in Sch. 6 para. 17(4)(a) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013
(©. 24), s. 103(3), Sch. 6 para. 118(7); S.I. 2014/416, art. 2(1)(d) (with Sch.)
Costs
18 The Board may pay such costs of a person as the Board considers reasonable
for the purpose of facilitating the giving of oral evidence or the making of oral
representations, by or on behalf of that person, in accordance with rules made under
this Schedule.
SCHEDULE 7 Section 33
DIRECTIONS: PROCEDURE
Introductory
1 This Schedule applies where the Board proposes giving a direction to an approved
regulator under section 32.
Notification of the approved regulator
2 (1) The Board must give the approved regulator a notice (“a warning notice”)
accompanied by a copy of the proposed direction.
(2) The warning notice must—
(a) _ state that the Board proposes to give the approved regulator a direction in
the form of the accompanying draft,
(b) specify why the Board is satisfied as mentioned in section 32(1) and (2), and
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194 Legal Services Act 2007 (¢. 29)
SCHEDULE 7 ~ Directions: procedure
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(c) specify a period within which the approved regulator may make
representations with respect to the proposal.
(3) The period specified under sub-paragraph (2)(c)—
(a) must begin with the date on which the warning notice is given to the
approved regulator, and
(b) must not be less than 14 days.
(4) The approved regulator may make to the Board—
(a) written representations, and
(b) if the Board authorises it to do so, oral representations,
about the proposed direction.
(5) The Board must make rules governing the making of oral and written representations.
(6) The Board must consider any representations duly made by the approved regulator.
(7) Where oral representations are duly made, the Board must prepare a report of those
representations.
(8) Before preparing that report, the Board must—
(a) give the approved regulator a reasonable opportunity to comment on a draft
of the report, and
(b) have regard to any comments duly made.
Commencement Information
1163 Sch. 7 para. 2 wholly in force at 1.1.2010; Sch. 7 para. 2 not in force at Royal Assent see s. 211; Sch.
7 para. 2(5) in force at 1.1.2009 by S.I. 2008/3149, art. 2(c)(ii); Sch. 7 para. 2 in force otherwise at
1.1.2010 by S.I. 2009/3250, art. 2(c)(ii) (with art. 9)
Board's duty to seek advice
3 (1) After complying with paragraph 2, the Board must give each of the persons listed
in sub-paragraph (2)—
(a) acopy of the warning notice and the accompanying draft direction,
(b) a copy of any written representations duly made under paragraph 2 and a
copy of the report (if any) prepared under that paragraph, and
(c) a notice specifying a period within which any advice under paragraphs 4 to
7 must be given.
(2) Those persons are—
(a) the Lord Chancellor,
(b) the [CMA ],
(c) the Consumer Panel,
(d) the Lord Chief Justice, and
(e) such other persons as the Board considers it reasonable to consult in respect
of the proposed direction.
(3) In this Schedule, in relation to a proposed direction, “selected consultee” means a
person within sub-paragraph (2)(e).
Legal Services Act 2007 (c. 29) 195
SCHEDULE 7 ~ Directions: procedure
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Textual Amendments
F132. Word in Sch. 7 para. 3(2)(b) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c.24),
s. 103(3), Sch. 6 para. 119(2); S.1. 2014/416, art. 2(1)(@) (with Sch.)
Advice of the Lord Chancellor
4 The Lord Chancellor must give the Board such advice as the Lord Chancellor thinks
fit in respect of the proposed direction.
Advice of ['"*Competition and Markets Authority]
Textual Amendments
F133. Words in Sch. 7 para. 5 cross-heading substituted (14.2014) by Enterprise and Regulatory Reform Act
2013 (c. 24), s. 103(3), Sch. 6 para. 119(3); S.I. 2014/416, art. 2(1)(4) (with Sch.)
5 (1) The ["“4CMA] must give the Board such advice as it thinks fit regarding whether
the proposed direction should be given.
(2) In deciding what advice to give, the [*"“CMA] must, in particular, have regard to
whether giving the proposed direction would (or would be likely to) prevent, restrict
or distort competition within the market for reserved legal services to any significant
extent.
Textual Amendments
F134 Word in Sch. 7 para. 5(1)(2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24),
s. 103(3), Sch. 6 para. 119( 2014/416, art. 2(1)(d) (with Sch.)
Advice of the Consumer Panel
6 (1) The Consumer Panel must give the Board such advice as it thinks fit regarding
whether the proposed direction should be given.
(2) In deciding what advice to give, the Consumer Panel must, in particular, have regard
to the likely impact of the proposed direction on consumers.
Advice of selected consultees
7 A selected consultee may give the Board such advice as the selected consultee
thinks fit in respect of the proposed direction.
Advice of the Lord Chief Justice
8 (1) The Board must give the Lord Chief Justice—
(a) acopy of any advice duly given under paragraphs 4 to 7, and
(b) a notice specifying a period within which any advice under this paragraph
must be given.
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196 Legal Services Act 2007 (¢. 29)
SCHEDULE 7 ~ Directions: procedure
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) The Lord Chief Justice must then give such advice as the Lord Chief Justice thinks
fit regarding whether the proposed direction should be given.
(3) In deciding what advice to give, the Lord Chief Justice must, in particular, have
regard to the likely impact of the proposed direction on the courts in England and
Wales.
Consultees’ powers to request information
9 A person (“the consultee”) to whom a copy of the warning notice is given under
paragraph 3(1) may, for the purposes of giving advice under paragraphs 4 to 8,
request the approved regulator or any other person to provide the consultee with
such additional information as may be specified by the consultee.
Representations by approved regulator
10 (1) The Board must give the approved regulator a copy of any advice duly given under
paragraphs 4 to 8.
(2) The approved regulator may make to the Board—
(a) written representations, and
(b) if the Board authorises it to do so, oral representations,
about the advice.
(3) The Board must make rules governing the making of oral and written representations.
(4) Representations under this paragraph must be made within—
(a) the period of 28 days beginning with the day on which the copy of the advice
is given to the approved regulator, or
(b) such longer period as the Board may specify in a particular case.
(5) Where oral representations are made, the Board must prepare a report of those
representations.
(6) Before preparing that report, the Board must—
(a) _ give the approved regulator a reasonable opportunity to comment on a draft
of the report, and
(b) have regard to any comments duly made.
Commencement Information
1164 Sch. 7 para. 10 wholly in force at 1.1.2010; Sch. 7 para. 10 not in force at Royal Assent see s. 211; Sch.
7 para. 10(3) in force at 1.1.2009 by S.1. 2008/3149, art. 2(c)(ii); Sch. 7 para. 10 in force otherwise at
1.1.2010 by S.1. 2009/3250, art. 2(c)(i) (with art. 9)
Publication of advice ete
ll (1) The Board must, as soon as practicable after the end of the period within which
representations under paragraph 10 may be made, publish—
(a) any advice duly given under paragraphs 4 to 8, and
(b) any written representations duly made under paragraph 10 and the report (if.
any) prepared under that paragraph.
Legal Services Act 2007 (c. 29) 197
SCHEDULE 8 ~ Intervention directions: procedure
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) Nothing in sub-paragraph (1) operates—
(a) to prevent a person who gives advice under paragraphs 4 to 8 from publishing
that advice, or
(b) to prevent a person who makes representations under paragraph 10 from
publishing those representations.
(3) A person (“the publisher”) publishing any such material (whether under sub-
paragraph (1) or otherwise) must, so far as practicable, exclude any matter which
relates to the private affairs of a particular individual the publication of which, in
the opinion of the publisher, would or might seriously and prejudicially affect the
interests of that individual.
Decision by the Board
12 (1) After considering—
(a) any advice duly given under paragraphs 4 to 8,
(b) any representations duly made under paragraph 10, and
(c) any other information which the Board considers relevant,
the Board must decide whether to give the approved regulator the proposed direction.
(2) The Board must give notice of its decision (“the decision notice”) to the approved
regulator.
(3) Where the Board decides to give the proposed direction, the decision notice must—
(a) contain the direction,
(b) _ state the time at which the direction is to take effect, and
(c) specify the Board's reasons for the decision to give the direction.
(4) The Board must publish the decision notice.
SCHEDULE 8 Sections 41 and 44
INTERVENTION DIRECTIONS: PROCEDURE
PART 1
GIVING INTERVENTION DIRECTIONS
Introductory
1 (1) This Part of this Schedule applies where the Board proposes giving an intervention
direction to an approved regulator in respect of a regulatory function.
(2) In this Schedule “intervention direction” has the same meaning as in section 41.
Notification of the approved regulator
2 (1) The Board must give the approved regulator a notice (“a warning notice”)
accompanied by a drafi of the proposed intervention direction.
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198 Legal Services Act 2007 (¢. 29)
SCHEDULE 8 ~ Intervention directions: procedure
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) The warning notice must—
(a) _ state that the Board proposes to give the approved regulator an intervention
direction in the form of the accompanying draft and the time when it is
proposed that direction should take effect, and
(b) state the reasons why the Board is satisfied of the matters mentioned in
section 41(1)(a) and (b).
(3) The Board must publish a copy of the warning notice.
(4) The approved regulator may make to the Board—
(a) written representations, and
(b) if the Board authorises it to do so, oral representations,
about the proposed intervention direction.
(5) The Board must make rules governing the making of written and oral representations.
(6) Any representations under sub-paragraph (4) must be made before the end of —
(a) the period of 28 days beginning with the day on which the warning notice
is given to the approved regulator, or
(b) such longer period as the Board may specify in a particular case.
(7) Where oral representations are duly made under this paragraph, the Board must
prepare a report of those representations.
(8) Before preparing that report, the Board must—
(a) give the approved regulator a reasonable opportunity to comment on a draft
of the report, and
(b) have regard to any comments duly made.
Commencement Information
1165. Sch. 8 para. 2 wholly in force at 1.1.2010; Sch. 8 para. 2 not in force at Royal Assent see s. 211; Sch.
8 para. 2(5) in force at 1.1.2009 by S.1. 2008/3149, art. 2(c)(iii); Sch. 8 para. 2 in force otherwise at
1.1.2010 by S.1. 2009/3250, art. 2(¢)(ii) (with art. 9)
Board's duty to seek advice
3 (1) After complying with paragraph 2, the Board must give each of the persons listed
in sub-paragraph (2)—
(a) a copy of the warning notice and the accompanying draft,
(b) acopy of any written representations duly made under paragraph 2 and a
copy of the report (if any) prepared under that paragraph, and
(c) anotice specifying a period within which any advice under paragraphs 4 to
7 must be given.
(2) Those persons are—
(a) the Lord Chancellor,
(b) the [*SCMA],
(c) the Consumer Panel,
(d) the Lord Chief Justice, and
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Legal Services Act 2007 (c. 29) 199
SCHEDULE 8 ~ Intervention directions: procedure
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(ce) such other persons as the Board considers it reasonable to consult in respect
of the proposed intervention direction.
(3) In this Part of this Schedule, in relation to a proposed intervention direction, “selected
consultee” means a person within sub-paragraph (2)(e).
Textual Amendments
F135. Word in Sch. 8 para. 3(2)(b) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c.24),
s. 103(3), Sch. 6 para. 120(2); S.L. 2014/416, art. 2(1)(4) (with Sch.)
Advice of the Lord Chancellor
4 The Lord Chancellor must give the Board such advice as the Lord Chancellor thinks
fit in respect of the proposed intervention direction.
Advice of [""’Competition and Markets Authority]
Textual Amendments
F136 Words in Sch. 8 para. 5 cross-heading substituted (14.2014) by Enterprise and Regulatory Reform Act
2013 (c. 24), s. 103(3), Sch. 6 para. 120(3); S.1. 2014/416, art. 2(1)(d) (with Sch.)
5 (1) The [""’CMA] must give the Board such advice as it thinks fit regarding whether
the proposed intervention direction should be given.
(2) In deciding what advice to give, the [*8’CMA] must, in particular, have regard to
whether giving the proposed intervention direction would (or would be likely to)
prevent, restrict or distort competition within the market for reserved legal services
to any significant extent.
Textual Amendments
F137 Word in Sch. 8 para. 5(1)(2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24),
s. 103(3), Sch. 6 para. 120(4); S.I. 2014/416, art. 2(1)(d) (with Sch.)
Advice of the Consumer Panel
6 (1) The Consumer Panel must give the Board such advice as it thinks fit regarding
whether the proposed intervention direction should be given.
(2) In deciding what advice to give, the Consumer Panel must, in particular, have regard
to the likely impact of the proposed direction on consumers.
Advice of selected consultees
7 A selected consultee may give the Board such advice as the selected consultee
thinks fit in respect of the proposed intervention direction.
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SCHEDULE 8 ~ Intervention directions: procedure
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Advice of the Lord Chief Justice
8 (1) The Board must give the Lord Chief Justice—
(a) acopy of any advice duly given under paragraphs 4 to 7, and
(b) a notice specifying a period within which any advice under this paragraph
must be given.
(2) The Lord Chief Justice must then give such advice as the Lord Chief Justice thinks
fit regarding whether the proposed intervention direction should be given.
(3) In deciding what advice to give, the Lord Chief Justice must, in particular, have
regard to the likely impact of the proposed intervention direction on the courts in
England and Wales.
Consultees’ powers to request information
9 A person (“the consultee”) to whom a copy of the warning notice is given under
paragraph 3(1) may, for the purposes of giving advice under paragraphs 4 to 8,
request the approved regulator or any other person to provide the consultee with
such additional information as may be specified by the consultee.
Representations by the approved regulator etc
10 (1) The Board must—
(a) give the approved regulator a copy of any advice duly given under
paragraphs 4 to 8, and
(b) publish that advice together with any written representations duly made by
the approved regulator under paragraph 2 and the report (if any) prepared
under that paragraph.
(2) The approved regulator and any body within sub-paragraph (3) may make to the
Board—
(a) written representations, and
(b) _ if the Board authorises it to do so, oral representations,
about the advice.
(3) A body is within this sub-paragraph if it represents persons authorised by the
approved regulator to carry on activities which are reserved legal activities.
(4) The Board may allow any other person to make written or oral representations about
the advice.
(5) The Board must make rules governing the making of oral and written representations.
(6) Representations under this paragraph must be made within—
(a) the period of 28 days beginning with the day on which the representations
and advice are published under sub-paragraph (1)(b), or
(b) such longer period as the Board may specify in a particular case.
(7) Where oral representations are made, the Board must prepare a report of those
representations.
(8) Before preparing that report, the Board must—
(a) give each person who made oral representations a reasonable opportunity to
comment on a draft of the report of those representations, and
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Legal Services Act 2007 (c. 29) 201
SCHEDULE 8 ~ Intervention directions: procedure
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) have regard to any comments duly made.
(9) The Board must, as soon as reasonably practicable afier the end of the period
within which representations may be made under this paragraph, publish any written
representations duly made and the report (if any) prepared under sub-paragraph (7).
Commencement Information
1166 Sch. 8 para. 10 wholly in force at 1.1.2010; Sch. 8 para. 10 not in force at Royal Assent see s. 211; Sch.
8 para. 10(5) in force at 1.1.2009 by S.I. 2008/3149, art. 2(c)(iii); Sch. 8 para. 10 in force otherwise at
1.1.2010 by S.1. 2009/3250, art. 2(¢)(ii) (with art. 9)
Further provision about publishing of advice and representations
ll (1) Nothing in paragraph 10 operates—
(a) to prevent person who gives advice under paragraphs 4 to 8 from publishing
that advice, or
(b) to prevent a person who makes representations under paragraph 2 or 10 from
publishing those representations.
(2) A person (“the publisher”) publishing any such material (whether under paragraph
10 or otherwise) must, so far as practicable, exclude any matter which relates to the
private affairs of a particular individual the publication of which, in the opinion of
the publisher, would or might seriously and prejudicially affect the interests of that
individual.
Decision by the Board
12 (1) After considering—
(a) any advice duly given under paragraphs 4 to 8,
(b) any representations duly made under paragraph 2 or 10, and
(c) any other information which the Board considers relevant,
the Board must decide whether to give an intervention direction.
(2) Where it decides to give an intervention direction, it may decide—
(a) to give an intervention direction in the form of the proposed intervention
direction, or
(b) to amend the form of the proposed intervention direction and give an
intervention direction in that amended form.
(3) The Board must give notice of its decision (“the decision notice”) to the approved
regulator.
(4) Where the Board decides to give an intervention direction, the decision notice must—
(a) contain the intervention direction,
(b) _ state the time at which the intervention direction is to take effect,
(c) specify the reasons why the Board is satisfied of the matters mentioned in
section 41(1)(a) and (b), and
(d) if the decision is under sub-paragraph (2)(b), set out the nature of any
amendments made and the reasons for them.
(5) The time specified under sub-paragraph (4)(b) must not be before—
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202 Legal Services Act 2007 (¢. 29)
SCHEDULE 8 ~ Intervention directions: procedure
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) _ the time specified in the warning notice in accordance with paragraph 2(2)
(a), or
(b) _ the time the decision notice is given to the approved regulator.
(6) The Board must publish the decision notice.
PART 2
REVOKING INTERVENTION DIRECTIONS
Introductory
13 (1) Where an intervention direction has effect in respect of a regulatory function of an
approved regulator—
(a) the approved regulator may apply to the Board for the Board to revoke the
direction, or
(b) the Board may give the approved regulator a notice stating the Board's
intention to revoke the direction.
(2) An application under sub-paragraph (1)(a) must—
(a) be made in the form and manner specified by the Board, and
(b) be accompanied by such material as the applicant considers is likely to be
needed for the purposes of this Part of this Schedule.
Commencement Information
1167. Sch. 8 para, 13 wholly in force at 1.1.2010; Sch. 8 para. 13 not in force at Royal Assent see s. 211; Sch.
8 para. 13(2)(a) in force at 1.1.2009 by S.1. 2008/3149, art. 2(c)(ili); Sch. 8 para. 13 in force otherwise
at 1.1.2010 by S.L 2009/3250, art. 2(c)(ii) (with art. 9)
Board's duty to seek advice
14 (1) Where the Board has received an application under paragraph 13(1)(a), it must give
each of the persons listed in sub-paragraph (3)—
(a) a copy of the application,
(b) acopy of any material which accompanied it, and
(c) a notice specifying a period within which any advice under paragraphs 15
to 18 must be given.
(2) Where the Board has given a notice under paragraph 13(1)(b), it must give each of
the persons listed in sub-paragraph (3)—.
(a) acopy of the notice, and
(b) a notice specifying a period within which any advice under paragraphs 15
to 18 must be given.
(3) The persons are—
(a) the Lord Chancellor,
(b) the ["** CMA],
(c) the Consumer Panel,
(d) the Lord Chief Justice, and
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Legal Services Act 2007 (c. 29) 203
SCHEDULE 8 ~ Intervention directions: procedure
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(ce) such other persons as the Board considers it reasonable to consult in respect
of the proposed revocation.
(4) In this Part of this Schedule, in relation to an application or notice, “selected
consultee” means a person within sub-paragraph (3)(e).
Textual Amendments
F138 Word in Sch. 8 para. 14(3)(b) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013
(c. 24), s. 103(3), Sch. 6 para, 120(5); S.L. 2014/416, art. 2(1)(4) (with Sch.)
Advice of the Lord Chancellor
15 The Lord Chancellor must give the Board such advice as the Lord Chancellor thinks
fit in respect of the proposed revocation.
Advice of [""’Competition and Markets Authority]
Textual Amendments
F139 Words in Sch. 8 para. 16 cross-heading substituted (1.4.2014) by Enterprise and Regulatory Reform Act
2013 (c. 24), s. 103(3), Sch. 6 para. 120(6); S.1. 2014/416, art. 2(1)(d) (with Sch.)
16 (1) The [*"*°CMA] must give the Board such advice as it thinks fit regarding the proposed
revocation.
(2) In deciding what advice to give, the [*°CMA] must, in particular, have regard to
whether revoking the intervention direction would (or would be likely to) prevent,
restrict or distort competition within the market for reserved legal services to any
significant extent.
Textual Amendments
F140 Word in Sch. 8 para. 16(1)(2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013
(c. 24), s. 103(3), Sch. 6 para. 120(7); S.I. 2014/416, art. 2(1)(d) (with Sch.)
Advice of the Consumer Panel
17 (1) The Consumer Panel must give the Board such advice as it thinks fit regarding the
proposed revocation.
(2) In deciding what advice to give, the Consumer Panel must, in particular, have
regard to the likely impact which revoking the intervention direction would have on
consumers.
Advice of the selected consultees
18 A selected consultee may give the Board such advice as the selected consultee
thinks fit in respect of the proposed revocation.
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204 Legal Services Act 2007 (¢. 29)
SCHEDULE 8 ~ Intervention directions: procedure
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Advice of the Lord Chief Justice
19 (1) The Board must give the Lord Chief Justice—
(a) acopy of any advice duly given under paragraphs 15 to 18, and
(b) a notice specifying a period within which any advice under this paragraph
must be given.
(2) The Lord Chief Justice must then give the Board such advice as the Lord Chief Justice
thinks fit in respect of the proposed revocation.
(3) In deciding what advice to give, the Lord Chief Justice must, in particular, have
regard to the likely impact which revoking the intervention direction would have on
the courts in England and Wales.
Information obtained by consultees
20 A person to whom a copy of the application or notice is given under paragraph 14(1)
or (2) may, for the purposes of giving advice under paragraphs 15 to 19, request the
approved regulator or any other person to provide that person with such additional
information as may be specified by that person.
Representations by approved regulator etc
21 (1) The Board must—
(a) give the approved regulator a copy of any advice duly given under
paragraphs 15 to 19, and
(b) publish that advice.
(2) The approved regulator and any body within sub-paragraph (3) may make to the
Board—
(a) written representations, and
(b) if the Board authorises it to do so, oral representations,
about the advice.
(3) A body is within this sub-paragraph if it represents persons authorised by the
approved regulator to carry on activities which are reserved legal activities.
(4) The Board may allow any other person to make written or oral representations about
the advice.
(5) The Board must make rules governing the making of oral and written representations.
(6) Representations under this paragraph must be made within—
(a) _ the period of 28 days beginning with the day on which the advice is published
under sub-paragraph (1), or
(b) such longer period as the Board may specify in a particular case.
(7) Where oral representations are made, the Board must prepare a report of those
representations.
(8) Before preparing that report, the Board must—
(a) give each person who made oral representations a reasonable opportunity to
comment on a draft of the report of those representations, and
(b) have regard to any comments duly made.
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Legal Services Act 2007 (c. 29) 205
SCHEDULE 8 ~ Intervention directions: procedure
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(9) The Board must, as soon as practicable after the end of the period within
which representations may be made under this paragraph, publish any written
representations duly made and the report (if any) prepared under sub-paragraph (7).
Commencement Information
1168 Sch. 8 para. 21 wholly in force at 1.1.2010; Sch. 8 para. 21 not in force at Royal Assent see s. 211; Sch.
8 para. 21(5) in force at 1.1.2009 by S.I. 2008/3149, art. 2(c)(iii); Sch. 8 para. 21 in force otherwise at
1.1.2010 by S.1. 2009/3250, art. 2(c)(ii) (with art. 9)
Further provision about publishing advice and representations
22 (1) Nothing in paragraph 21 operates—
(a) to prevent a person who gives advice under paragraphs 15 to 19 from
publishing that advice, or
(b) to prevent a person who makes representations under paragraph 21 from
publishing those representations.
(2) A person (“the publisher”) publishing any such material (whether under paragraph
21 or otherwise) must, so far as practicable, exclude any matter which relates to the
private affairs of a particular individual the publication of which, in the opinion of
the publisher, would or might seriously and prejudicially affect the interests of that
individual.
Decision by the Board
23 (1) After considering—
(a) ina case within paragraph 13(1)(a), the application and any accompanying
material,
(b) any advice duly given under paragraphs 15 to 19,
(c) any representations duly made under paragraph 21, and
(d) any other information which the Board considers relevant to the application
or notice,
the Board must decide whether to revoke the intervention direction in accordance
with the application or notice.
(2) The Board must give notice of its decision (“the decision notice”) to the approved
regulator.
(3) Where the Board decides to revoke the intervention direction, the decision notice
must state the time the revocation is to take effect.
(4) Where the Board decides not to revoke the intervention direction, the decision notice
must specify the reasons for that decision.
(5) The Board must publish the decision notice.
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Legal Services Act 2007 (c. 29)
SCHEDULE 9 ~ Cancellation of designation as approved regulator
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
SCHEDULE 9 Section 45,
CANCELLATION OF DESIGNATION AS APPROVED REGULATOR
Introductory
This Schedule applies where the Board considers that it may be appropriate for it
to make a recommendation under section 45(5).
Notification of the approved regulator
(1) The Board must give the approved regulator a notice (“a warning notice”)
accompanied by a draft of the proposed recommendation.
(2) The warning notice must—
(a) state that the Board proposes to make a recommendation under
subsection (5) of section 45 in the form of the accompanying draft, and
(b) state the reasons why the Board is satisfied of the matters mentioned in
paragraphs (a) and (b) of that subsection.
(3) The Board must publish a copy of the warning notice.
(4) The approved regulator may make to the Board—
(a) written representations, and
(b) if the Board authorises it to do so, oral representations,
about the proposed recommendation.
(5) The Board must make rules governing the making of oral and written representations.
(6) Representations under this paragraph must be made within—
(a) _ the period of 28 days beginning with the day on which the warning notice
is given to the approved regulator, or
(b) such longer period as the Board may specify in a particular case.
(7) The Board must consider any representations duly made by the approved regulator.
(8) Where oral representations are duly made, the Board must prepare a report of those
representations.
(9) Before preparing that report, the Board must—
(a) give the approved regulator a reasonable opportunity to comment on a draft
of the report, and
(b) have regard to any comments duly made.
Commencement Information
1169 Sch. 9 para. 2 wholly in force at 1.1.2010; Sch. 9 para. 2 not in force at Royal Assent see s. 211; Sch.
9 para. 2(5) in force at 1.1.2009 by S.1. 2008/3149, art. 2(¢)(iv); Sch. 8 para. 2 in force otherwise at
1.1.2010 by S.L. 2009/3250, art. 2(¢)(ii) (with art. 9)
Legal Services Act 2007 (c. 29) 207
SCHEDULE 9 ~ Cancellation of designation as approved regulator
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Board's duty to seek advice
3 (1) After complying with paragraph 2, the Board must give each of the persons listed
in sub-paragraph (2)—
(a) acopy of the warning notice and the accompanying draft,
(b) a copy of any written representations duly made by the approved regulator
under paragraph 2 and a copy of the report (if any) prepared under that
paragraph, and
(c) anotice specifying a period within which any advice under paragraphs 4 to
6 must be given.
(2) Those persons are—
(a) the [CMA],
(b) the Consumer Panel,
(c) the Lord Chief Justice, and
(d) such other persons as the Board considers it reasonable to consult in respect
of the proposed recommendation.
(3) In this Schedule, in relation to a proposed recommendation, “selected consultee”
means a person within sub-paragraph (2)(d).
Textual Amendments
F141 Word in Sch. 9 para. 3(2)(a) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24),
s. 103(3), Sch. 6 para. 121(2); S.1. 2014/416, art. 2(1)(@) (with Sch.)
Advice of ['" Competition and Markets Authority]
Textual Amendments
F142 Words in Sch. 9 para. 4 cross-heading substituted (1.4.2014) by Enterprise and Regulatory Reform Act
2013 (c. 24), s. 103(3), Sch. 6 para. 121(3); S.1. 2014/416, art. 2(1)(d) (with Sch.)
4 (1) The [*“8CMA] must give the Board such advice as it thinks fit regarding whether
the proposed recommendation should be made.
(2) In deciding what advice to give, the ["““CMA] must, in particular, have regard
to whether making an order under section 45 in accordance with the proposed
recommendation would (or would be likely to) prevent, restrict or distort competition
within the market for reserved legal services to any significant extent.
Textual Amendments
F143 Words in Sch. 9 para, 4(1)(2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013
(c. 24), s. 103(3), Sch. 6 para. 121(4); S.L 2014/416, art. 2(1)(4) (with Sch.)
Advice of the Consumer Panel
5 (1) The Consumer Panel must give the Board such advice as it thinks fit regarding
whether the proposed recommendation should be made.
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208 Legal Services Act 2007 (c. 29)
SCHEDULE 9 ~ Cancellation of designation as approved regulator
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) In deciding what advice to give, the Consumer Panel must, in particular, have regard
to the likely impact on consumers of making an order under section 45 in accordance
with the proposed recommendation.
Advice of selected consultees
6 A selected consultee may give the Board such advice as the selected consultee
thinks fit in respect of the proposed recommendation.
Advice of the Lord Chief Justice
7 (1) The Board must give the Lord Chief Justice—
(a) a copy of any advice duly given under paragraphs 4 to 6, and
(b) anotice specifying a period within which advice under this paragraph must
be given.
(2) The Lord Chief Justice must then give such advice as the Lord Chief Justice thinks
fit in respect of the proposed recommendation.
(3) In deciding what advice to give, the Lord Chief Justice must, in particular, have
regard to the likely impact on the courts in England and Wales of making an order
under section 45 in accordance with the proposed recommendation.
Information obtained by consultees
8 A person (“the consultee”) to whom a copy of the warning notice is given under
paragraph 3(1) may, for the purposes of giving advice under paragraphs 4 to 7,
request the approved regulator or any other person to provide the consultee with
such additional information as may be specified by the consultee.
Representations by the approved regulator etc
9 (1) The Board must—
(a) give the approved regulator a copy of any advice duly given under
paragraphs 4 to 7, and
(b) publish that advice together with any written representations duly made by
the approved regulator under paragraph 2 and the report (if any) prepared
under that paragraph.
(2) The approved regulator and any body within sub-paragraph (3) may make to the
Board—
(a) written representations, and
(b) if authorised to do so by the Board, oral representations,
about the advice.
(3) A body is within this sub-paragraph if it represents persons authorised by the
approved regulator to carry on activities which are reserved legal activities.
(4) The Board may allow any other person to make written or oral representations about
the advice.
(5) The Board may make rules governing the making to the Board of written or oral
representations.
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Legal Services Act 2007 (c. 29) 209
SCHEDULE 9 ~ Cancellation of designation as approved regulator
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(6) Representations under this paragraph must be made within—
(a) _ the period of 28 days beginning with the day on which the representations
and advice are published under sub-paragraph (1)(b), or
(b) such longer period as the Board may specify in a particular case.
(7) Where oral representations are made, the Board must prepare a report of those
representations.
(8) Before preparing that report, the Board must—
(a) give each person who made oral representations a reasonable opportunity to
comment on a draft of the report of those representations, and
(b) have regard to any comments duly made.
(9) The Board must, as soon as reasonably practicable afier the end of the period
within which representations under this paragraph may be made, publish any written
representations duly made and the report (if any) prepared under sub-paragraph (7).
Commencement Information
1170 Sch. 9 para. 9 wholly in force at 1.1.2010; Sch. 9 para. 9 not in force at Royal Assent see s. 211; Sch.
9 para. 9(5) in force at 1.1.2009 by S.I. 2008/3149, art. 2(c)(iv); Sch. 9 para. 9 in force otherwise at
1.1.2010 by S.I. 2009/3250, art. 2(¢)(ii) (with art. 9)
Publication of advice etc
10 (1) Nothing in paragraph 9 operates—
(a) to prevent a person who gives advice under paragraphs 4 to 7 from publishing
that advice, or
(b) to prevent a person who makes representations under paragraph 2 or 9 from
publishing those representations.
(2) A person (“the publisher”) publishing any such material (whether under paragraph
9 or otherwise) must, so far as practicable, exclude any matter which relates to the
private affairs of a particular individual the publication of which, in the opinion of
the publisher, would or might seriously and prejudicially affect the interests of that
individual.
Decision by the Board
11 (1) After considering—
(a) any advice duly given under paragraphs 4 to 7,
(b) any representations duly made under paragraph 2 or 9, and
(c) any other information which the Board considers relevant,
the Board must decide whether to make the proposed recommendation.
(2) The Board must give notice of its decision (“the decision notice”) to the approved
regulator and to the Lord Chancellor.
(3) If the Board decides to make the proposed recommendation, the decision notice
must—
(a) contain the recommendation, and
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210 Legal Services Act 2007 (c. 29)
SCHEDULE 10 — Designation of approved regulators as licensing authorities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) state why the Board is satisfied of the matters mentioned in section 45(5)
(a) and (b).
(4) The Board must publish the decision notice.
SCHEDULE 10 Sections 74 and 76
DESIGNATION OF APPROVED REGULATORS AS LICENSING AUTHORITIES
Part 1
DESIGNATION OF APPROVED REGULATORS BY ORDER
Application to the Board
1 (1) This paragraph applies where a body wishes to become a licensing authority in
relation to one or more activities which constitute one or more reserved legal
activities.
(2) The body may apply to the Board for the Board—
(a) to recommend that an order be made by the Lord Chancellor designating the
applicant as a licensing authority in relation to the reserved legal activity or
activities in question, and
(b) to approve what the applicant proposes as its licensing rules if such an order
is made (“the proposed licensing rules”).
(3) But the body may make an application under this paragraph in relation to a reserved
legal activity only if—
(a) it is a relevant approved regulator in relation to the activity, or
(b) it has made an application under Part 2 of Schedule 4 (designation of
approved regulators) for the Board to recommend that an order be made
by the Lord Chancellor designating the body as an approved regulator in
relation to the activity.
(4) An application under this paragraph must be made in such form and manner as the
Board may specify in rules and must be accompanied by—
(a) astatement of the reserved legal activity or activities to which it relates,
(b) details of the applicant's proposed licensing rules,
(c) such explanatory material as the applicant considers is likely to be needed
for the purposes of this Part of this Schedule, and
(d) the prescribed fee.
(5) The prescribed fee is the fee specified in, or determined in accordance with, rules
made by the Board with the consent of the Lord Chancellor.
(6) An applicant may, at any time, withdraw the application by giving notice to that
effect to the Board.
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Legal Services Act 2007 (c. 29) 2
SCHEDULE 10 — Designation of approved regulators as licensing authorities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
I171 Sch. 10 para. I partly in force; Sch. 10 para. 1 not in force at Royal Assent see s. 211; Sch. 10 para. 1(1)
(4)(5) in force at 1.1.2009 by S.I. 2008/3149, art. 2(d)(ii)
1172 Sch. 10 para. 1(2)(3)(6) in force at 2.8.2010 by S.1. 2010/1118, art. 2(b)
Dismissal of application
2 (1) The Board may refuse to consider, or to continue its consideration of, an application.
(2) The Board must make rules about the procedures and criteria that it will apply when
determining whether to refuse to consider, or to continue its consideration of, an
application under sub-paragraph (1).
(3) Where the Board decides to refuse to consider, or to continue its consideration of, an
application it must give the applicant notice of that decision and of its reasons for it.
(4) The Board must publish a notice given under sub-paragraph (3).
Commencement Information
1173. Sch. 10 para. 2 partly in force; Sch. 10 para. 2 not in force at Royal Assent see s. 211; Sch. 10 para. 2(2)
in force at 1.1.2009 by S.I. 2008/3149, art. 2(d)(ii)
1174. Sch. 10 para. 2(1)(3)(4) in force at 2.8.2010 by S.1. 2010/1118, art. 2(b)
Board's duty to seek advice
3 (1) The Board must give each of the persons listed in sub-paragraph (2)—
(a) acopy of the application and accompanying material, and
(b) anotice specifying a period within which any advice given under paragraphs
4 to 6 must be given.
(2) Those persons are—
(a) the ["“CMA ],
(b) the Consumer Panel,
(c) the Lord Chief Justice, and
(d) _ such other persons as the Board considers it reasonable to consult regarding
the application.
(3) In this Part of this Schedule, in relation to an application, “selected consultee” means
a person within sub-paragraph (2)(d).
Textual Amendments
F144 Word in Sch. 10 para. 3(2)(a) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013
(©. 24), s. 103(3), Sch. 6 para. 122(2); 8.1 2014/416, art. 2(1)(d) (with Sch.)
Commencement Information
T175_ Sch. 10 para. 3 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)
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vv
is}
Legal Services Act 2007 (c. 29)
SCHEDULE 10 — Designation of approved regulators as licensing authorities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Advice of [""Competition and Markets Authority]
Textual Amendments
F145. Words in Sch. 10 para. 4 cross-heading substituted (14.2014) by Enterprise and Regulatory Reform Act
2013 (c. 24), s. 103(3), Sch. 6 para. 122(3); S.1. 2014/416, art. 2(1)(d) (with Sch.)
4 (1) The [“*CMA] must give the Board such advice as the [""“CMA] thinks fit regarding
whether the application should be granted.
(2) In deciding what advice to give, the ["““CMA] must, in particular, have regard to
whether making an order under paragraph 15 in accordance with the recommendation
applied for would (or would be likely to) prevent, restrict or distort competition
within the market for reserved legal services to any significant extent.
Textual Amendments.
F146 Word in Sch. 10 para. 4(1)(2) substituted (14.2014) by Enterprise and Regulatory Reform Act 2013
(c. 24), s. 1033), Sch. 6 para. 122(4); S.I. 2014/416, art. 2(1)(d) (with Sch.)
Commencement Information
1176 Sch. 10 para. 4 in force at 2.8.2010 by S.1. 2010/1118, art. 2(b)
Advice of the Consumer Panel
5 (1) The Consumer Panel must give the Board such advice as the Consumer Panel thinks
fit regarding whether the application should be granted.
(2) In deciding what advice to give, the Consumer Panel must, in particular, have regard
to the likely impact on consumers of the making of an order under paragraph 15 in
accordance with the recommendation applied for.
Commencement Information
1177 Sch. 10 para. 5 in force at 2.8.2010 by S.1. 2010/1118, art. 2(b)
Advice of selected consultees
6 A selected consultee may give the Board such advice as the selected consultee
thinks fit in respect of the application.
Commencement Information
I178 Sch. 10 para. 6 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)
Advice of the Lord Chief Justice
7 (1) The Board must give the Lord Chief Justice—
(a) acopy of any advice duly given under paragraphs 4 to 6, and
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Legal Services Act 2007 (c. 29) 213
SCHEDULE 10 — Designation of approved regulators as licensing authorities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) a notice specifying a period within which any advice under this paragraph
must be given.
(2) The Lord Chief Justice must then give such advice to the Board as the Lord Chief
Justice thinks fit regarding whether the application should be granted.
(3) In deciding what advice to give, the Lord Chief Justice must, in particular, have
regard to the likely impact on the courts in England and Wales of the making of an
order under paragraph 15 in accordance with the recommendation applied for.
Commencement Information
1179 Sch. 10 para. 7 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)
Information obtained by consultees
8 A person (“the consultee”) to whom a copy of the application is given under
paragraph 3(1) may, for the purposes of giving advice under paragraphs 4 to
7, request the applicant or any other person to provide the consultee with such
additional information as may be specified by the consultee.
Commencement Information
1180 Sch. 10 para. 8 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)
Representations by applicant
9 (1) The Board must give the applicant a copy of any advice duly given under paragraphs
4107.
(2) The applicant may make to the Board—
(a) written representations, and
(b) if the Board authorises it to do so, oral representations,
about the advice.
(3) The Board must make rules governing the making of oral and written representations.
(4) Representations under this paragraph must be made within—
(a) _ the period of 28 days beginning with the day on which the copy of the advice
is given to the applicant, or
(b) such longer period as the Board may specify in a particular case.
(5) Where oral representations are made, the Board must prepare a report of those
representations.
(6) Before preparing that report, the Board must—
(a) give the applicant a reasonable opportunity to comment on a draft of the
report, and
(b) have regard to any comments duly made.
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214 Legal Services Act 2007 (c. 29)
SCHEDULE 10 — Designation of approved regulators as licensing authorities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1181 Sch. 10 para. 9 partly in force; Sch. 10 para. 9 not in force at Royal Assent see s. 211; Sch. 10 para. 9(3)
in force at 1.1.2009 by S.1. 2008/3149, art. 2(d)(ii)
1182 Sch. 10 para. 9(1) (2) (4)-(6) in force at 2.8.2010 by S.1. 2010/1118, art. 2(b)
Publication of advice and representations etc
10 (1) The Board must, as soon as practicable after the end of the period within which
representations under paragraph 9 may be made, publish—
(a) any advice duly given under paragraphs 4 to 7,
(b) any written representations duly made under paragraph 9 and the report (if
any) prepared under that paragraph.
(2) Nothing in sub-paragraph (1) operates—
(a) to prevent a person who gives advice under paragraphs 4 to 7 from publishing
that advice, or
(b) to prevent a person who makes representations under paragraph 9 from
publishing those representations.
(3) A person (“the publisher”) publishing any such material (whether under sub-
paragraph (1) or otherwise) must, so far as practicable, exclude any matter which
relates to the private affairs of a particular individual the publication of which, in
the opinion of the publisher, would or might seriously and prejudicially affect the
interests of that individual.
Commencement Information
1183 Sch. 10 para. 10 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)
Rules governing decisions by the Board
11 (1) The Board must make rules specifying how it will determine applications.
(2) Rules under sub-paragraph (1) must, in particular, provide that the Board may grant
an application in relation to a particular reserved legal activity only if it is satisfied—
(a) _ that the applicant's proposed licensing rules in relation to the activity comply
with the requirements of section 83;
(b) that, if an order were to be made under paragraph 15 designating the
body in relation to the activity, there would be a body with power to hear
and determine appeals which, under this Part or the applicant's proposed
licensing rules, may be made against decisions of the applicant;
(c) that, if an order were to be made under paragraph 15 designating the body
in relation to the activity, the applicant would have appropriate internal
governance arrangements in place at the time the order takes effect;
(d) that, if an order were made under paragraph 15 designating the body in
relation to the activity, the applicant would be competent, and have sufficient
resources, to perform the role of licensing authority in relation to the activity
at the time the order takes effect.
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Legal Services Act 2007 (c. 29) 215
SCHEDULE 10 — Designation of approved regulators as licensing authorities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) The rules made for the purposes of sub-paragraph (2)(c) must in particular require
the Board to be satisfied—
(a) that the exercise of the applicant's regulatory functions would not be
prejudiced by any of its representative functions, and
(b) that decisions relating to the exercise of its regulatory functions would so far
as reasonably practicable be taken independently from decisions relating to
the exercise of its representative functions.
Determination of applications
12 (1) After considering—
(a) the application and accompanying material,
(b) any other information provided by the applicant,
(c) any advice duly given under paragraphs 4 to 7,
(d) any representations duly made under paragraph 9, and
(ce) any other information which the Board considers relevant to the application,
the Board must decide whether to grant the application.
(2) Where the application relates to more than one reserved legal activity, the Board may
grant the application in relation to all or any of them.
(3) The Board must give notice of its decision to the applicant (“the decision notice”).
(4) Where the Board decides to refuse the application (in whole or in part), the decision
notice must specify the reasons for that decision.
(5) The Board must publish the decision notice.
Commencement Information
1184 Sch. 10 para. 12 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)
13. (1) Where an application is made under this Part, the Board must give the decision notice
under paragraph 12 within the decision period.
(2) The “decision period” is the period of 12 months beginning with the day on which
the application is made to the Board.
(3) The Board may, before the end of the decision period, issue a notice extending that
period by a period specified in the notice.
(4) More than one notice may be issued under sub-paragraph (3), but the decision period
must not exceed 16 months.
(5) The Board may issue a notice under sub-paragraph (3) only after it has—
(a) consulted the ["“’CMA ], the Consumer Panel and the Lord Chief Justice,
and
(b) obtained the Lord Chancellor's consent to the extension.
(6) A notice under sub-paragraph (3) must state the Board's reasons for extending the
decision period.
(7) The Board must publish any notice issued under sub-paragraph (3).
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216 Legal Services Act 2007 (c. 29)
SCHEDULE 10 — Designation of approved regulators as licensing authorities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Textual Amendments
F147 Word in Sch. 10 para. 13(5)(a) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013
(©. 24), s. 103(3), Sch. 6 para. 122(5); 8.1 2014/416, art. 2(1)(d) (with Sch.)
Commencement Information
1185 Sch. 10 para. 13 in force at
010 by S.1. 2010/1118, art. 2(b)
Effect of grant of application
14 (1) This paragraph applies where an application is granted in relation to a reserved legal
activity or activities.
(2) The Board must recommend to the Lord Chancellor that an order be made
designating the applicant as a licensing authority in relation to the reserved legal
activity or activities in question.
(3) The Board must publish any recommendation made under sub-paragraph (2).
(4) The Board must make available to the Lord Chancellor—
(a) any advice duly given under paragraphs 4 to 7,
(b) any written representations duly made under paragraph 9 and the report (if.
any) prepared under that paragraph, and
(c) any other material considered by the Board for the purpose of determining
the application.
Commencement Information
1186 Sch. 10 para. 14 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)
Lord Chancellor's decision to make an order
15 (1) Where a recommendation is made to the Lord Chancellor under paragraph 14, the
Lord Chancellor may—
(a) make an order in accordance with the recommendation, or
(b) _ refuse to make such an order.
(2) Where the recommendation relates to more than one reserved legal activity, the Lord
Chancellor may make an order under sub-paragraph (1)(a) in relation to all or any
of them.
(3) But if the application, in relation to a particular reserved legal activity, was made
in reliance on paragraph 1(3)(b), the Lord Chancellor must not make an order in
relation to that activity unless the Lord Chancellor has made an order under Part 2 of
Schedule 4 designating the body as an approved regulator in relation to that activity.
(4) The Lord Chancellor must—
(a) decide whether to make an order under this paragraph, and
(b) give notice of that decision (“the decision notice”) to the applicant,
within the period of 90 days beginning with the day on which the recommendation
was made.
Legal Services Act 2007 (c. 29) 217
SCHEDULE 10 — Designation of approved regulators as licensing authorities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(5) If the Lord Chancellor decides not to make an order in accordance with the whole
or part of the recommendation, the decision notice must state the reasons for the
decision.
(6) The Lord Chancellor must publish the decision notice.
Commencement Information
1187 Sch. 10 para. 15 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)
Approval of licensing rules
16 (1) Where an order is made by the Lord Chancellor under paragraph 15, the applicant's
proposed licensing rules are at the same time treated as having been approved by
the Board.
(2) But where the order relates to one or more (but not all) of the reserved legal activities
to which the application related, sub-paragraph (1) has effect as if the reference to
the applicant's proposed licensing rules were a reference to those rules excluding any
provision made in respect of any activities excluded from the order.
(3) Sub-paragraph (1) is without prejudice to the Board's power to give directions
under section 32 (powers to direct an approved regulator to take steps in certain
circumstances, including steps to amend its regulatory arrangements).
Commencement Information
1188 Sch. 10 para. 16 in force at 2.8.2010 by S.1. 2010/1118, art. 2(b)
PART 2
CANCELLATION OF DESIGNATION BY ORDER
Introductory
17 This Part of this Schedule applies where the Board considers that it may be
appropriate for it to make a recommendation under section 76(5).
Notification of the licensing authority
18 (1) The Board must give the licensing authority a notice (“a warning notice”)
accompanied by a drafi of the proposed recommendation.
(2) The warning notice must—
(a) state that the Board proposes to make a recommendation under
subsection (5) of section 76 in the form of the accompanying drafi, and
(b) state the reasons why the Board is satisfied of the matters mentioned in
paragraphs (a) and (b) of that subsection.
(3) The Board must publish a copy of the warning notice.
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218 Legal Services Act 2007 (c. 29)
SCHEDULE 10 — Designation of approved regulators as licensing authorities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) The licensing authority may make to the Board—
(a) written representations, and
(b) _ if the Board authorises it to do so, oral representations,
about the proposed recommendation.
(5) The Board must make rules governing the making of oral and written representations.
(6) Representations under this paragraph must be made within—
(a) the period of 28 days beginning with the day on which the warning notice
is given to the licensing authority, or
(b) such longer period as the Board may specify in a particular case.
(7) The Board must consider any representations duly made by the licensing authority.
(8) Where oral representations are duly made, the Board must prepare a report of those
representations.
(9) Before preparing that report, the Board must—
(a) give the licensing authority a reasonable opportunity to comment on a draft
of the report, and
(b) have regard to any comments duly made.
Commencement Information
1189 Sch. 10 para. 18 partly in force; Sch. 10 para. 18 not in force at Royal Assent see s. 211; Sch. 10 para.
18(5) in force at 1.1.2009 by S.1. 2008/3149, art. 2(d)(ii)
1190 Sch. 10 para. 18(1)-(4) (6)-(9) in force at 2.8.2010 by S.1. 2010/1118, art. 2(b)
Board's duty to seek advice
19 (1) After complying with paragraph 18, the Board must give each of the persons listed
in sub-paragraph (2)—
(a) acopy of the warning notice and the accompanying draft,
(b) accopy of any written representations duly made by the licensing authority
under paragraph 18 and a copy of the report (if any) prepared under that
paragraph, and
(c) a notice specifying a period within which any advice under paragraphs 20
to 22 must be given.
(2) Those persons are—
(a) the ["“8CMA ],
(b) the Consumer Panel,
(c) the Lord Chief Justice, and
(d) such other persons as the Board considers it reasonable to consult in respect
of the proposed recommendation.
(3) In this Part of this Schedule, in relation to a proposed recommendation, “selected
consultee” means a person within sub-paragraph (2)(d).
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Legal Services Act 2007 (c. 29)
SCHEDULE 10 — Designation of approved regulators as licensing authorities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
219
Textual Amendments
F148 Word in Sch. 10 para. 19(2)(a) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013
(€. 24), s. 103(3), Sch. 6 para, 122(6); S.I. 2014/416, art. 2(1)(d) (with Sch.)
Commencement Information
1191 Sch. 10 para. 19 in force at
010 by S.1. 2010/1118, art. 2(b)
Advice of ["'’ Competition and Markets Authority]
Textual Amendments
F149 Words in Sch. 10 para. 20 cross-heading substituted (1.4.2014) by Enterprise and Regulatory Reform
Act 2013 (c. 24), s. 103(3), Sch. 6 para. 122(7); S.L. 2014/416, art. 2(1)(d) (with Sch.)
20
(1) The ["°CMA] must give the Board such advice as it thinks fit regarding whether
the proposed recommendation should be made.
(2) In deciding what advice to give, the ["*CMA] must, in particular, have regard
to whether making an order under section 76 in accordance with the proposed
recommendation would (or would be likely to) prevent, restrict or distort competition
within the market for reserved legal services to any significant extent.
Textual Amendments
F150 Word in Sch. 10 para. 20(1)(2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013
(€. 24), s. 103(3), Sch. 6 para. 122(8); S.L 2014/416, art. 2(1)(d) (with Sch.)
Commencement Information
1192 Sch. 10 para. 20 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)
Advice of the Consumer Panel
21 (1) The Consumer Panel must give the Board such advice as it thinks fit regarding
whether the proposed recommendation should be made.
(2) In deciding what advice to give, the Consumer Panel must, in particular, have regard
to the likely impact on consumers of making an order under section 76 in accordance
with the proposed recommendation.
Commencement Information
1193 Sch. 10 para. 21 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)
Advice of selected consultees
22 A selected consultee may give the Board such advice as the selected consultee
thinks fit in respect of the proposed recommendation.
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220 Legal Services Act 2007 (c. 29)
SCHEDULE 10 — Designation of approved regulators as licensing authorities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1194 Sch. 10 para. 22 in force at 2.8.2010 by S.1. 2010/1118, art. 2(b)
Advice of the Lord Chief Justice
23 (1) The Board must give the Lord Chief Justice—
(a) acopy of any advice duly given under paragraphs 20 to 22, and
(b) anotice specifying a period within which advice under this paragraph must
be given.
(2) The Lord Chief Justice must then give such advice as the Lord Chief Justice thinks
fit in respect of the proposed recommendation.
(3) In deciding what advice to give, the Lord Chief Justice must, in particular, have
regard to the likely impact on the courts in England and Wales of making an order
under section 76 in accordance with the proposed recommendation.
Commencement Information
1195 Sch. 10 para. 23 in force at 2.8.2010 by S.. 2010/1118, art. 2(b)
Information obtained by consultees
24 A person (“the consultee”) to whom a copy of the warning notice is given under
paragraph 19(1) may, for the purposes of giving advice under paragraphs 20 to 23,
request the licensing authority or any other person to provide the consultee with
such additional information as may be specified by the consultee.
Commencement Information
1196 Sch. 10 para. 24 in force at
1010 by S.L. 2010/1118, art. 2b)
Representations by the approved regulator etc
25 (1) The Board must—
(a) _ give the licensing authority a copy of any advice duly given under paragraphs
20 to 23, and
(b) publish that advice together with any written representations duly made by
the licensing authority under paragraph 18 and the report (if any) prepared
under that paragraph.
(2) The licensing authority and any body within sub-paragraph (3) may make to the
Board—
(a) written representations, and
(b) if authorised to do so by the Board, oral representations,
about the advice.
(3) A body is within this sub-paragraph if it represents licensed bodies authorised by the
licensing authority to carry on activities which are reserved legal activities.
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Legal Services Act 2007 (c. 29) 221
SCHEDULE 10 — Designation of approved regulators as licensing authorities
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) The Board may allow any other person to make written or oral representations about
the advice.
(5) The Board may make rules governing the making to the Board of written or oral
representations.
(6) Representations under this paragraph must be made within—
(a) _ the period of 28 days beginning with the day on which the representations
and advice are published under sub-paragraph (1)(b), or
(b) such longer period as the Board may specify in a particular case.
(7) Where oral representations are made, the Board must prepare a report of those
representations.
(8) Before preparing that report, the Board must—
(a) give each person who made oral representations a reasonable opportunity to
comment on a draft of the report of those representations, and
(b) have regard to any comments duly made.
(9) The Board must, as soon as reasonably practicable afier the end of the period
within which representations under this paragraph may be made, publish any written
representations duly made and the report (if any) prepared under sub-paragraph (7).
Commencement Information
1197 Sch. 10 para. 25 partly in force; Sch. 10 para. 25 not in force at Royal Assent see s. 211; Sch. 10 para.
25(5) in force at 1.1.2009 by S.I. 2008/3149, art. 2(d)(ii)
1198 Sch. 10 para. 25(1)-(4) (6)-(9) in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)
Publication of advice ete
26 (1) Nothing in paragraph 25 operates—
(a) to prevent a person who gives advice under paragraphs 20 to 23 from
publishing that advice, or
(b) to prevent a person who makes representations under paragraph 18 or 25
from publishing those representations.
(2) A person (“the publisher”) publishing any such material (whether under paragraph
25 or otherwise) must, so far as practicable, exclude any matter which relates to the
private affairs of a particular individual the publication of which, in the opinion of
the publisher, would or might seriously and prejudicially affect the interests of that
individual.
Commencement Information
1199 Sch. 10 para. 26 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)
Decision by the Board
27 (1) After considering—
(a) any advice duly given under paragraphs 20 to 23,
is
is}
Legal Services Act 2007 (¢. 29)
SCHEDULE 11 — Licensing rules
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) any representations duly made under paragraph 18 or 25, and
(c) any other information which the Board considers relevant,
the Board must decide whether to make the proposed recommendation.
(2) The Board must give notice of its decision (“the decision notice”) to the licensing
authority and to the Lord Chancellor.
(3) If the Board decides to make the proposed recommendation, the decision notice
must—
(a) contain the recommendation, and
(b) state why the Board is satisfied of the matters mentioned in section 76(5)
(a) and (b).
(4) The Board must publish the decision notice.
Commencement Information
1200 Sch. 10 para. 27 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)
SCHEDULE 11 Section 83
LICENSING RUI
Part 1
LICENSING PROCEDURE
Applications for licences
1 (1) Licensing rules must make provision about the form and manner in which
applications for licences are to be made, and the fee (if any) which is to accompany
an application.
(2) They may make provision about—
(a) the information which applications must contain, and
(b) the documents which must accompany applications.
Commencement Information
1201 Sch. 11 para. I in force at 2.8.2010 by S.L. 2010/1118, art. 2(¢)
Determination of applications
2 (1) Licensing rules must make the following provision about the determination of
applications for licences.
(2) Before the end of the decision period the licensing authority must—
(a) decide the application,
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Legal Services Act 2007 (c. 29) 22:
SCHEDULE 11 — Licensing rules
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) notify the applicant of its decision, and
(c) _ if it decides to refuse the application, set out in the notice the reasons for
the refusal.
(3) The decision period is the period of 6 months beginning with the day on which the
application is made to the licensing authority in accordance with its licensing rules.
(4) The licensing authority may, on one or more occasions, give the applicant a notice (an
“extension notice”) extending the decision period by a period specified in the notice.
(5) But—
(a) an extension notice may only be given before the time when the decision
period would end, but for the extension notice, and
(b) the total decision period must not exceed 9 months.
(6) An extension notice must set out the reasons for the extension.
Commencement Information
1202 Sch. 11 para. 2 in force at 2.8.2010 by S.1. 2010/1118, art. 2(¢)
Review of determination
3 Licensing rules must make provision for review by the licensing authority of—
(a) adecision to refuse an application for a licence;
(b) if licence is granted, the terms of the licence.
Commencement Information
1203 Sch. 11 para. 3 in force at 2.8.2010 by S.1. 2010/1118, art. 2(¢)
Period of licence and renewal
4 (1) The licensing rules may make provision—
(a) limiting the period for which any licence is (subject to the provision of this
Part of this Schedule and of the licensing rules) to remain in force;
(b) about the renewal of licences, including provision about the form and manner
in which an application for the renewal is to be made, and the fee (if any)
which is to accompany an application.
(2) The licensing rules may make provision about—
(a) _ the information which applications for renewal must contain, and
(b) the documents which must accompany applications.
(3) Licensing rules must provide that a licence issued to a licensed body by the licensing
authority ceases to have effect if the licensed body is issued with a licence by another
licensing authority.
Commencement Information
1204 Sch. 11 para. 4 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)
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224 Legal Services Act 2007 (¢. 29)
SCHEDULE 11 — Licensing rules
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Continuity of licences
5 (1) Licensing rules may make provision about the effect, on a licence issued to a
partnership or other unincorporated body (“the existing body”), of any change in the
membership of the existing body.
(2) The provision which may be made includes provision for the existing body's licence
to be transferred where the existing body ceases to exist and another body succeeds
to the whole or substantially the whole of its business.
Commencement Information
1205 Sch. 11 para. 5 in force at 2.8.2010 by S.1. 2010/1118, art. 2(¢)
Modification of licences
6 (1) Licensing rules must make provision about the form and manner in which
applications are to be made for modification of the terms of a licence under
section 86, and the fee (if any) which is to accompany the application.
(2) They may make provision as to the circumstances in which the licensing authority
may modify the terms of a licence under section 86 without an application being
made.
(3) They must make provision for review by the licensing authority of—
(a) _adecision to refuse an application for modification of the terms of a licence;
(b) if the licensing authority makes licensing rules under sub-paragraph (2), a
decision under those rules to modify the terms of a licence.
Commencement Information
1206 Sch. 11 para. 6 in force at 2.8.2010 by S.1. 2010/1118, art. 2(¢)
Modifications under section 106 or 107
7 (1) Licensing rules must make provision about the form and manner in which
applications are to be made under section 106 or 107, and the fee (if any) which is
to accompany the application.
(2) They may make provision as to the matters to which the licensing authority must
have regard in determining whether to make an order under section 106, or to revoke
or modify such an order.
(3) They must make provision for review by the licensing authority of —
(a) a decision to refuse an application under those sections;
(b) the terms of any order made under section 106 or any decision under
section 107.
Commencement Information
1207 Sch. 11 para. 7 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)
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SCHEDULE 11 — Licensing rules
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
8 (J) Licensing rules must make the following provision in relation to licensed bodies to
which section 106 applies (“special bodies”), and in relation to which an order under
section 106 has been made.
(2) If a special body becomes a special body of a different kind, it must notify the
licensing authority of that fact before the end of the relevant period.
(3) Ifa special body ceases to be a special body, it must notify the licensing authority of
that fact before the end of the relevant period.
(4) The relevant period is the period of 30 days (or such longer period as may be specified
in licensing rules) beginning with the day on which the body first became a special
body of a different kind, or ceased to be a special body.
(5) Licensing rules may make provision requiring a special body to provide the licensing
authority with such information relevant to the matters mentioned in section 106(5)
as may be specified in the licensing rules.
Commencement Information
1208 Sch. 11 para. 8 in force at 2.8.2010 by S.1. 2010/1118, art. 2(¢)
PART 2
STRUCTURAL REQUIREMENTS
Management
9 (1) Licensing rules must require a licensed body to comply with the following
requirement at all times.
(2) At least one of the licensed body's managers must be a person (other than a licensed
body) who is an authorised person in relation to a licensed activity.
(3) No manager of the licensed body may be a person who under this Part of this Act is
disqualified from acting as a manager of a licensed body.
Commencement Information
1209 Sch. 11 para. 9 in force at 2.8.2010 by S.1. 2010/1118, art. 2(¢)
10 (1) Licensing rules may make further provision as to—
(a) the managers of licensed bodies, and
(b) the arrangements for the management by them of the licensed body and its
activities.
(2) They must not require all the managers of a licensed body to be authorised persons
in relation to a reserved legal activity.
Commencement Information
1210 Sch. 11 para. 10 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)
226 Legal Services Act 2007 (¢. 29)
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Document Generated: 2024-12-05
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Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Head of Legal Practice
11 (1) Licensing rules must include the following requirements.
(2) A licensed body must at all times have an individual—
(a) who is designated as Head of Legal Practice, and
(b) whose designation is approved by the licensing authority.
(3) A designation of an individual as Head of Legal Practice has effect only while the
individual—
(a) consents to the designation,
(b) _ is an authorised person in relation to one or more of the licensed activities,
and
(c) is not under this Part of this Act disqualified from acting as Head of Legal
Practice of a licensed body.
(4) The licensing authority may approve a person's designation only if it is satisfied that
the person is a fit and proper person to carry out the duties imposed by section 91
in relation to that body.
(5) The licensing authority may approve a person's designation in the course of
determining an application for a licence under section 84.
(6) If the licensing authority is satisfied that the person designated as a licensed body's
Head of Legal Practice has breached a duty imposed by section 91, it may withdraw
its approval of that person's designation.
Commencement Information
1211 Sch. 11 para. 11 in force at 2.8.2010 by S.I. 2010/1118, art. 2(¢)
12 (1) Licensing rules must make provision—
(a) about the procedures and criteria that will be applied by the licensing
authority when determining under paragraph 11(4) whether an individual is
a fit and proper person;
(b) for a review by the licensing authority of a determination under that
paragraph that an individual is not a fit and proper person;
(c) about the procedures and criteria that will be applied by the licensing
authority in determining under paragraph 11(6) whether to withdraw its
approval;
(d) for a review by the licensing authority of a determination under that
paragraph to withdraw its approval;
(e) about the procedure which is to apply where a licensed body ceases to
comply with the requirement imposed by virtue of paragraph 11(2).
(2) Rules made in accordance with sub-paragraph (1)(e) may in particular provide that
the requirement imposed by virtue of paragraph 11(2) is suspended until such time as
may be specified by the licensing authority if the licensed body complies with such
other requirements as may be specified in the rules.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1212 Sch. 11 para. 12 in force at 2.8.2010 by S.I. 2010/1118, art. 2(6)
Head of Finance and Administration
13. (1) Licensing rules must include the following requirements.
(2) A licensed body must at all times have an individual—
(a) who is designated as Head of Finance and Administration, and
(b) whose designation is approved by the licensing authority.
(3) A designation of an individual as Head of Finance and Administration has effect only
while the individual—
(a) consents to the designation, and
(b) is not under this Part of this Act disqualified from acting as Head of Finance
and Administration of a licensed body.
(4) The licensing authority may approve a person's designation only if it is satisfied that
the person is a fit and proper person to carry out the duties imposed by section 92
in relation to that body.
(5) The licensing authority may approve a person's designation in the course of
determining an application for a licence under section 84.
(6) If the licensing authority is satisfied that the person designated as a licensed body's
Head of Finance and Administration has breached a duty imposed by section 92, it
may withdraw its approval of that person's designation.
Commencement Information
1213 Sch. 11 para. 13 in force at 2.8.2010 by S.I. 2010/1118, art. 2(¢)
14 (1) Licensing rules must make provision—
(a) about the procedures and criteria that will be applied by the licensing
authority when determining under paragraph 13(4) whether an individual is
a fit and proper person;
(b) for a review by the licensing authority of a determination under that
paragraph that an individual is not a fit and proper person;
(c) about the procedures and criteria that will be applied by the licensing
authority in determining under paragraph 13(6) whether to withdraw its
approval;
(d) for a review by the licensing authority of a determination under that
paragraph to withdraw its approval;
(e) about the procedure which is to apply where a licensed body ceases to
comply with the requirement imposed by virtue of paragraph 13(2).
(2) The rules made in accordance with sub-paragraph (1)(e) may in particular provide
that the requirement imposed by virtue of sub-paragraph 13(2) is suspended until
such time as may be specified by the licensing authority if the licensed body complies
with such other requirements as may be specified in the rules.
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SCHEDULE 11 — Licensing rules
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1214 Sch. 11 para. 14 in force at 2.8.2010 by S.I. 2010/1118, art. 2(6)
RT 3
PRACTICE REQUIREMENTS
Practising address
15 (1) Licensing rules must require a licensed body, other than one to which sub-
paragraph (3) applies, at all times to have a practising address in England and Wales.
(2) For this purpose “practising address”, in relation to a licensed body, means an address
from which the body provides services which consist of or include the carrying on
of reserved legal activities.
(3) This sub-paragraph applies to a licensed body—
(a) which is a company or limited liability partnership, and
(b) _ the registered office of which is situated in England and Wales (or in Wales).
Commencement Information
1215 Sch. 11 para. 15 in force at 2
1010 by S.L. 2010/1118, art. 2¢€)
Licensed activities
16 Licensing rules must provide that a licensed body may carry on a licensed activity
only through a person who is entitled to carry on the activity.
Commencement Information
1216 Sch. 11 para. 16 in force at 2.8.2010 by S.1. 2010/1118, art. 2(c)
Compliance with regulatory arrangements etc
17 (1) Licensing rules must include the following provision.
(2) A licensed body must at all times have suitable arrangements in place to ensure that—
(a) it, and its managers and employees, comply with the duties imposed by
section 176, and
(b) it, and any person to whom sub-paragraph (3) applies, maintain the
professional principles set out in section 1(3).
(3) This sub-paragraph applies to any manager or employee of the licensed body who is
an authorised person in relation to an activity which is a reserved legal activity.
(4) A licensed body must at all times have suitable arrangements in place to ensure that
non-authorised persons subject to the duty imposed by section 90 in relation to the
licensed body comply with that duty.
Legal Services Act 2007 (c. 29) 229
SCHEDULE 11 — Licensing rules
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(5) Licensing rules may make provision as to the arrangements which are suitable for
the purposes of rules made under sub-paragraphs (2) and (4).
Commencement Information
1217 Sch. 11 para. 17 in force at 2.8.2010 by S.1. 2010/1118, art. 2(¢)
Disqualified employees
18 (1) Licensing rules must include the following requirement.
(2) A licensed body may not employ a person who under this Part of this Act is
disqualified from being an employee of a licensed body.
Commencement Information
1218 Sch. 11 para. 18 in force at 2.8.2010 by S.1. 2010/1118, art. 2(c)
Indemnification arrangements and compensation arrangements
19 (1) For the purpose of giving effect to indemnification arrangements and compensation
arrangements, licensing rules may—
(a) authorise or require the licensing authority to establish and maintain a fund
or funds;
(b) authorise or require the licensing authority to take out and maintain insurance
with authorised insurers;
(c) require licensed bodies or licensed bodies of any specific description to take
out and maintain insurance with authorised insurers.
(2) In this paragraph “authorised insurer” has the same meaning as in section 64.
Commencement Information
1219 Sch. 11 para. 19 in force at 2.8.2010 by S.1. 2010/1118, art. 2(c)
Accounts
20 (1) The licensing rules must make provision as to the treatment of money within sub-
paragraph (2), and the keeping of accounts in respect of such money.
(2) The money referred to in sub-paragraph (1) is money (including money held on
trust) which is received, held or dealt with by the licensed body, its managers and
employees for clients or other persons.
Commencement Information
1220 Sch. 11 para. 20 in force at 2.8.2010 by S.I. 2010/1118, art. 2(¢)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
PART 4
REGULATION
Fees
21 (1) The licensing rules must require licensed bodies to pay periodical fees to the licensing
authority.
(2) The rules may provide for the payment of different fees by different descriptions of
licensed body.
Commencement Information
1221 Sch. 11 para. 21 in force at 2.
010 by S.I. 2010/1118, art. 2(¢)
Financial penalties
22 The licensing rules must make provision as to—
(a) the acts and omissions in respect of which the licensing authority may
impose a penalty under section 95, and
(b) the criteria and procedure to be applied by the licensing authority in
determining whether to impose a penalty under that section, and the amount
of any penalty.
Commencement Information
1222 Sch. 11 para. 22 in force at 2.8.2010 by S.I. 2010/1118, art. 2(¢)
Disqualifications
23 (1) Licensing rules must make provision as to the criteria and procedure to be applied
by the licensing authority in determining whether a person should be disqualified
under section 99.
(2) Licensing rules must make provision—
(a) for a review by the licensing authority of a determination by the licensing
authority that a person should be disqualified;
(b) as to the criteria and procedure to be applied by the licensing authority in
determining whether a person's disqualification should cease to be in force;
(c) requiring the licensing authority to notify the Board of any determination
by the licensing authority that a person should be disqualified, of the results
of any review of that determination, and of any decision by the licensing
authority that a person's disqualification should cease to be in force.
Commencement Information
1223 Sch. 11 para. 23 in force at 2.8.2010 by S.I. 2010/1118, art. 2(¢)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Suspension or revocation of licence under section 101
24 (1) Licensing rules must make the following provision.
(2) The licensing authority may suspend or revoke a licensed body's licence under
section 101 in the following cases.
(3) The first case is that the licensed body becomes a body which is not a licensable body.
(4) The second case is that the licensed body fails to comply with licensing rules made
under paragraph 16 (carrying on of licensed activities).
(5) The third case is that—
(a) anon-authorised person holds a restricted interest in the licensed body—
(i) as a result of the person taking a step in circumstances where
that constitutes an offence under paragraph 24(1) of Schedule 13
(whether or not the person is charged with or convicted of an offence
under that paragraph),
(ii) in breach of conditions imposed under paragraph 17, 28, or 33 of
that Schedule, or
(iii) the person's holding of which is subject to an objection by the
licensing authority under paragraph 31 or 36 of that Schedule,
(b) _ if the relevant licensing rules make the provision mentioned in paragraph
38(1)(a) of that Schedule, a non-authorised person has under those rules a
shareholding in the licensed body, or a parent undertaking of the licensed
body, which exceeds the share limit,
(c) _ if the relevant licensing rules make the provision mentioned in paragraph
38(1)(b) of that Schedule, a non-authorised person has under those rules
an entitlement to exercise, or control the exercise of, voting rights in the
licensed body or a parent undertaking of the licensed body which exceeds
the voting limit,
(d) _ if the relevant licensing rules make the provision mentioned in paragraph
38(1)(c) of that Schedule, the total proportion of shares in the licensed body
or a parent undertaking of the licensed body held by non-authorised persons
exceeds the limit specified in the rules, or
(e) if the relevant licensing rules make the provision mentioned in paragraph
38(1)(d) of that Schedule, the total proportion of voting rights in the licensed
body or a parent undertaking of the licensed body which non-authorised
persons are entitled to exercise, or control the exercise of, exceeds the limit
specified in the rules.
(6) The fourth case is that a non-authorised person subject to the duty in section 90 in
relation to the licensed body fails to comply with that duty.
(7) The fifth case is that the licensed body, or a manager or employee of the licensed
body, fails to comply with the duties imposed by section 176.
(8) The sixth case is that—
(a) _ the licensed body fails to comply with licensing rules made under paragraph
9(3) or 18 (prohibition on disqualified managers and employees), and
(b) the manager or employee concerned was disqualified as a result of breach
of a duty within section 99(4)(c) or (d).
232 Legal Services Act 2007 (¢. 29)
SCHEDULE 12 ~ Entitlement to make an application for a licence to the Board
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(9) The seventh case is that the licensed body is unable to comply with licensing rules
made under—
(a) paragraph 11 (requirement for Head of Legal Practice), or
(b) paragraph 13 (requirement for Head of Finance and Administration).
(10) Before suspending or revoking a licence in accordance with sub-paragraph (2), the
licensing authority must give the licensed body notice of its intention.
(11) The licensing authority may not suspend or revoke the licence before the end of the
period of 28 days beginning with the day on which the notice is given to the licensed
body (or any longer period specified in the notice).
Commencement Information
1224 Sch. 11 para. 24 in force at 2.8.2010 by S.1. 2010/1118, art. 2(¢)
25 Licensing rules may make provision about other circumstances in which the
licensing authority may exercise its power under section 101 to suspend or revoke
a licence.
Commencement Information
1225 Sch. 11 para. 25 in force at 2.8.2010 by S.1. 2010/1118, art. 2(¢)
26 (1) Licensing rules must make provision about the criteria and procedure the licensing
authority will apply in deciding whether to suspend or revoke a licence, or to end the
suspension of a licence, under section 101.
(2) They must make provision for a review by the licensing authority of a decision by
the licensing authority to suspend or revoke a licence.
Commencement Information
1226 Sch. 11 para. 26 in force at 2.8.2010 by S.1. 2010/1118, art. 2(¢)
SCHEDULE 12 Section 84
ENTITLEMENT TO MAKE AN APPLICATION FOR A LICENCE TO THE BOARD.
PROSPEC
Application to Board
1 (1) A licensable body may apply to the Board for a decision that the body is entitled to
make an application for a licence to the Board acting in its capacity as a licensing
authority.
(2) An application under sub-paragraph (1) may be made only on one of the grounds
specified in this paragraph.
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SCHEDULE 12 ~ Entitlement to make an application for a licence to the Board
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
y
3
3
(3) The first ground is that—
(a) there is no competent licensing authority, and
(b) _ there is no potentially competent licensing authority.
(4) The second ground is that—
(a) each competent licensing authority has determined that it does not have
suitable regulatory arrangements,
(b) if one or more competent licensing authorities have made an application to
the Board under Part 3 of Schedule 4 for the approval of alterations of their
regulatory arrangements, each of those authorities has determined that it will
not have suitable regulatory arrangements if the application is granted, and
(c) each potentially competent licensing authority has determined that it will not
have suitable regulatory arrangements if it becomes a competent licensing
authority.
(5) The third ground applies only in relation to a licensable body within sub-
paragraph (6), and is that—
(a) _ the body has made an application for a licence to each competent licensing
authority which has suitable regulatory arrangements, and
(b) no such licensing authority is prepared to grant the body a licence on
terms which are appropriate to that body, having regard to the matters in
section 106(5)(a) to (c) and any other matter specified in rules made by the
Board for the purposes of this sub-paragraph.
(6) The licensable bodies within this sub-paragraph are—
(a) anot for profit body;
(b) acommunity interest company;
(c) an independent trade union;
(d) ifn order under section 106(1)(e) so provides in relation to a description of
body prescribed under that section, a body of that description.
Board's decision on an application under paragraph 1
2 (1) On an application under paragraph I the Board must, before the end of the decision
period, decide whether the licensable body is entitled to make an application for a
licence to the Board acting in its capacity as a licensing authority.
(2) The decision period is—
(a) in relation to an application on the first ground, the period of 14 days
beginning with the day on which the application is made,
(b) in relation to an application on the second ground, the period of 28 days
beginning with the day on which the application is made, and
(c) in relation to an application on the third ground, the period of 60 days
beginning with the day on which the application is made.
(3) The Board must give a notice to the licensable body—
(a) stating its decision, and
(b) giving reasons for its decision.
(4) The Board must make rules providing for a review of any decision made by it under
this paragraph.
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SCHEDULE 12 ~ Entitlement to make an application for a licence to the Board
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(5) The rules may in particular provide that if the Board decides to grant the application,
the Board may review that decision if the ground on which the application was
granted ceases to be made out before the Board (in its capacity as a licensing
authority) determines any application for a licence made by the licensable body.
Commencement Information
1227 Sch. 12 para. 2 partly in force; Sch. 12 para. 2 not in force at Royal Assent see s. 211; Sch. 12 para. 2(4)
(5) in force at 1.1.2009 by S.1. 2008/3149, art. 2(d)(iii)
PROSPEC
Licensing authority's duty to make relevant determinations
3 (1) A licensable body may apply to each competent licensing authority for—
(a) a determination as to whether the authority has suitable regulatory
arrangements;
(b) a statement as to whether the authority has made an application as
mentioned in paragraph 1(4)(b) and if it has, a determination as to whether,
if the application is granted, the authority will have suitable regulatory
arrangements.
(2) A licensable body may apply to each potentially competent licensing authority for a
determination as to whether it will have suitable regulatory arrangements in place if
it becomes a competent licensing authority.
(3) A competent (or potentially competent) licensing authority to which a licensable
body makes an application under sub-paragraph (1) or (2) may require the licensable
body to provide it with such information in relation to the licensable body as it may
specify.
(4) The authority may specify only information which it reasonably requires for the
purpose of making the determination applied for.
(5) A competent (or potentially competent) licensing authority to which an application
is made under sub-paragraph (1) or (2) must make the determination before the end
of—
(a) _ the decision period, or
(b) _ if it requires the licensable body to provide it with information under sub-
paragraph (3), the period of 28 days beginning with the day on which the
information is provided.
(6) The decision period, in relation to an application under sub-paragraph (1) or (2), is
the period of 28 days beginning with the day on which the application is made.
“The Board”
4 In this Schedule references to the Board, unless otherwise stated, are to the Board
acting otherwise than in its capacity as a licensing authority or an approved
regulator.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
PROSPEC
“Competent licensing authority”
B) “Competent licensing authority”, in relation to a licensable body, means an
approved regulator designated as a licensing authority in relation to each reserved
legal activity which the licensable body proposes to carry on.
PROSPEC
“Potentially competent licensing authority”
6 (1) “Potentially competent licensing authority”, in relation to a licensable body, means
an approved regulator—
(a) which has made an application to the Board under Part 1 of Schedule 10
for a recommendation that the Lord Chancellor make a relevant designation
order, and whose application has not been determined, or
(b) in respect of which the Board has made such a recommendation, but in
respect of which no relevant designation order (or decision not to make such
an order) has been made by the Lord Chancellor.
(2) A relevant designation order is an order—
(a) designating the approved regulator as a licensing authority in respect of one
or more reserved legal activities, and
(b) _ the effect of which will be that the approved regulator becomes a competent
licensing authority in relation to the licensable body.
PROSPECTIVE
“Suitable regulatory arrangements”
7 (1) “Suitable regulatory arrangements”, in relation to a licensable body and a competent
licensing authority, means regulatory arrangements which are suitable in relation to
the licensable body, having regard to—
(a) the composition of the licensable body, including in particular the matters
in sub-paragraph (2);
(b) _ the services the licensable body proposes to provide;
(c) if the licensable body proposes to carry on non-reserved activities, any
regulation to which the carrying on of such activities is subject;
(d) _ the persons to whom the licensable body proposes to provide services.
(2) The matters are—
(a) _ the kinds of authorised persons who are managers of, or have an interest in,
the licensable body,
(b) the proportion of persons who are managers of, or have an interest in,
the licensable body who are authorised persons or authorised persons of a
particular kind,
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SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(c) _ the kinds of non-authorised persons who are managers of, or have an interest
in, the licensable body,
(d) the proportion of persons who are managers of, or have an interest in, the
licensable body who are non-authorised persons or non-authorised persons
of a particular kind, and
(e) the kinds of non-authorised persons who have an indirect interest in the
licensable body.
(3) In sub-paragraph (2)—
(a) “authorised person” means a person who is an authorised person in relation
to any activity which is a reserved legal activity, and
(b) authorised persons are of different kinds if they are authorised to carry on
such activities by different approved regulators.
SCHEDULE 13 Section 89
OWNERSHIP OF LICENSED BODIES
Part 1
INTRODUCTORY,
Restricted interests subject to approval
1 (1) The holding by a non-authorised person of a restricted interest in a licensed body
is subject to the approval of the relevant licensing authority in accordance with the
provisions of this Schedule.
(2) In relation to a licensed body which is a partnership, for the purposes of section 34
of the Partnership Act 1890 (c. 39) (dissolution by illegality) the holding by a
non-authorised person of a restricted interest in the body without the approval of
the relevant licensing authority does not make it unlawful for the business of the
partnership to be carried on, or for the partners to carry it on in partnership.
Commencement Information
1228 Sch. 13 para. I in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(d)
Restricted interest
2 (1) “Restricted interest” means each of the following—
(a) amaterial interest;
(b) if licensing rules are made by the relevant licensing authority under sub-
paragraph (2), a controlled interest.
(2) Licensing rules may specify that a controlled interest is a restricted interest for the
purposes of this Schedule.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1229 Sch. 13 para. 2 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(d)
Material interest
3 (1) For the purposes of this Part of this Act, a person holds a material interest in a body
(“B”) if the person—
(a) holds at least 10% of the shares in B,
(b) is able to exercise significant influence over the management of B by virtue
of the person's shareholding in B,
(c) holds at least 10% of the shares in a parent undertaking (“P”) of B,
(d) is able to exercise significant influence over the management of P by virtue
of the person's shareholding in P,
(e) is entitled to exercise, or control the exercise of, voting power in B which, if
it consists of voting rights, constitutes at least 10% of the voting rights in B,
(f) _ is able to exercise significant influence over the management of B by virtue
of the person's entitlement to exercise, or control the exercise of, voting
rights in B,
(g) _ is entitled to exercise, or control the exercise of, voting power in P which, if
it consists of voting rights, constitutes at least 10% of the voting rights in P,
(h) _ is able to exercise significant influence over the management of P by virtue
of the person's entitlement to exercise, or control the exercise of, voting
rights in P.
(2) Licensing rules made by the relevant licensing authority may provide—
(a) that the references in sub-paragraph (1) to 10% are to have effect as
references to such lesser percentage as may be specified in the rules;
(b) that in relation to a partnership, for the purposes of this Part a person has
a material interest in the partnership if he is a partner (whether or not the
person has a material interest by virtue of sub-paragraph (1)).
(3) For the purposes of sub-paragraph (1) “the person” means—
(a) _ the person,
(b) any of the person's associates, or
(c) the person and any of the person's associates taken together.
(4) For the purposes of this Schedule, material interests held by virtue of different
paragraphs of sub-paragraph (1) are restricted interests of different kinds.
Commencement Information
1230 Sch. 13 para. 3 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(d)
Controlled interest
4 (J) For the purposes of this Schedule, a person holds a controlled interest in a body (“B”)
if the person—
(a) holds at least x% of the shares in B,
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238 Legal Services Act 2007 (. 29)
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) holds at least x% of the shares in a parent undertaking (“P”) of B,
(c) is entitled to exercise, or control the exercise of, at least x% of the voting
rights in B, or
(d) _ is entitled to exercise, or control the exercise of, at least x% of the voting
rights in P.
(2) For the purposes of sub-paragraph (1) “the person” means—
(a) the person,
(b) any of the person's associates, or
(c) the person and any of the person's associates taken together.
(3) In sub-paragraph (1), “x” means such percentage as may be specified in licensing
rules made by the relevant licensing authority under paragraph 2(2).
(4) Licensing rules made under paragraph 2(2) may specify more than one percentage.
(5) Any percentage specified by licensing rules made under paragraph 2(2) must be
greater than—
(a) 10%, or
(b) _ if the relevant licensing authority makes licensing rules under paragraph 3(2)
(a), the percentage specified in those rules.
(6) For the purposes of this Schedule—
(a) controlled interests held by virtue of different paragraphs of sub-
paragraph (1) are restricted interests of different kinds;
(b) if licensing rules made under paragraph 2(2) specify more than one
percentage, controlled interests held by virtue of each of those percentages
are restricted interests of different kinds.
Commencement Information
1231 Sch. 13 para. 4 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(4)
Associates, parent undertakings and voting power
5 (1) For the purposes of this Schedule “associate”, in relation to a person (“A”) and—
(a) ashareholding in a body (“S”), or
(b) an entitlement to exercise or control the exercise of voting power in a body
Cv"),
means a person listed in sub-paragraph (2).
(2) The persons are—
(a) the spouse or civil partner of A,
(b) achild or stepchild of A (if under 18),
(c) _ the trustee of any settlement under which A has a life interest in possession
(in Scotland a life interest),
(d) an undertaking of which A is a director,
(ce) anemployee of A,
(f) apartner of A (except, where S or V is a partnership in which A is a partner,
another partner in S or V),
(g) if Ais an undertaking—
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SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(i) a director of A,
(ii) a subsidiary undertaking of A, or
(iii) a director or employee of such a subsidiary undertaking,
(h) if A has with any other person an agreement or arrangement with respect
to the acquisition, holding or disposal of shares or other interests in S or V
(whether or not they are interests within the meaning of section 72(3)), that
other person, or
(i) if A has with any other person an agreement or arrangement under which
they undertake to act together in exercising their voting power in relation to
S or V, that person.
(3) In sub-paragraph (2)(c), “settlement” means any disposition or arrangement under
which property is held on trust (or subject to a comparable obligation).
(4) For the purposes of this Schedule—
“parent undertaking” and “subsidiary undertaking” have the same
meaning as in the Financial Services and Markets Act 2000 (c. 8) (see
section 420 of that Act);
“voting power”, in relation to a body which does not have general
meetings at which matters are decided by the exercise of voting rights, means
the right under the constitution of the body to direct the overall policy of the
body or alter the terms of its constitution.
Commencement Information
1232. Sch. 13 para. 5 in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(4)
The approval requirements
6 (1) For the purposes of this Schedule, the approval requirements are met in relation to
a person's holding of a restricted interest if—
(a) the person's holding of that interest does not compromise the regulatory
objectives,
(b) _ the person's holding of that interest does not compromise compliance with
the duties imposed by section 176 by the licensed body or persons to whom
sub-paragraph (2) applies, and
(c) _ the person is otherwise a fit and proper person to hold that interest.
(2) This sub-paragraph applies to any employee or manager of the licensed body who is
an authorised person in relation to an activity which is a reserved legal activity.
(3) In determining whether it is satisfied of the matters mentioned in sub-paragraph (1)
(a) to (c), the licensing authority must in particular have regard to—
(a) _ the person's probity and financial position,
(b) whether the person is disqualified as mentioned in section 100(1), or
included in the list kept by the Board under paragraph 51,
(c) the person's associates, and
(d) any other matter which may be specified in licensing rules.
240 Legal Services Act 2007 (. 29)
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) Licensing rules must make provision about the procedures that will be applied by the
licensing authority when determining whether it is satisfied of the matters mentioned
in sub-paragraph (1)(a) to (c).
Commencement Information
1233 Sch. 13 para. 6 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(d)
Approval of multiple restricted interests
7 (1) This paragraph applies if a person (“P”) holds a kind of restricted interest in a body
(“B”) by virtue of —
(a) holding a particular percentage of the shares in B or a parent undertaking
of B, or
(b) anentitlement to exercise, or control the exercise of, a particular percentage
of the voting rights in B or a parent undertaking of B.
(2) If the relevant licensing authority approves P's holding of that interest, it is to be
treated as also approving P's holding of any lesser restricted interest in B held by P.
(3) A lesser restricted interest is a kind of restricted interest held by P by virtue of—
(a) holding a smaller percentage of the shares mentioned in sub-paragraph (1)
(a), or
(b) an entitlement to exercise, or control the exercise of, a smaller percentage of
the voting rights mentioned in sub-paragraph (1)(b).
Commencement Information
1234 Sch. 13 para. 7 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(4)
Board's power to prescribe rules
8 In this Schedule “prescribed” means prescribed by rules made by the Board for the
purposes of this Schedule.
Lord Chancellor's power to modify
9 The Lord Chancellor may, on the recommendation of the Board, by order modify—
(a) paragraph 3 (material interest);
(b) paragraphs 4(2), 5, 6(3)(c), 38(3), 41(3) and 42(3) (associates).
Commencement Information
1235. Sch. 13 para. 9 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(d)
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Legal Services Act 2007 (c. 29) 241
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
PART 2
APPROVAL OF RESTRICTED INTERESTS ON APPLICATION FOR LICENCE
Requirement to identify non-authorised persons
10 (1) Where a body applies to a licensing authority for a licence, it must identify in its
application—
(a) any non-authorised person who holds a restricted interest in the body, or
whom the body expects to hold such an interest when the licence is issued,
and
(b) _ the kind of restricted interest held, or expected to be held, by that person.
(2) If, before the licence is issued, there is any change in—
(a) the identity of the non-authorised persons within sub-paragraph (1)(a), or
(b) the kind of restricted interest held, or expected to be held, by a person
identified to the licensing authority under that sub-paragraph,
the applicant must inform the relevant licensing authority within such period as may
be specified by order made by the Lord Chancellor on the recommendation of the
Board.
Commencement Information
1236 Sch. 13 para. 10 in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(d)
ll (1) It is an offence for a person to fail to comply with a requirement imposed on the
person by paragraph 10.
(2) A person who is guilty of an offence under sub-paragraph (1) is liable on summary
conviction to a fine not exceeding level 5 on the standard scale.
(3) It is a defence for a person charged with an offence under sub-paragraph (1) to show
that at the time of the alleged offence the person had no knowledge of the facts by
virtue of which the duty to notify arose.
Commencement Information
1237 Sch. 13 para. 1] in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(d)
12 (1) This paragraph applies if a person under a duty to notify imposed by paragraph 10—
(a) had no knowledge of the facts by virtue of which that duty arose, but
(b) subsequently becomes aware of those facts.
(2) The person must give the licensing authority the required notification within such
period, after the person becomes so aware, as may be specified by order made by the
Lord Chancellor on the recommendation of the Board.
(3) A person who fails to comply with the duty to notify imposed by sub-paragraph (2)
is guilty of an offence.
(4) A person who is guilty of an offence under sub-paragraph (3) is liable on summary
conviction to a fine not exceeding level 5 on the standard scale.
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hs}
Legal Services Act 2007 (. 29)
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1238 Sch. 13 para. 12 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(d)
Requirement to notify non-authorised persons
13 (1) Where an applicant for a licence identifies a non-authorised person to a licensing
authority in accordance with paragraph 10 or 12, it must give that person a notice—
(a) stating that it has applied for a licence and identified the person to the
licensing authority in accordance with paragraph 10 or 12, and
(b) explaining the effect of paragraph 14.
(2) It is an offence for a person to fail to comply with a requirement imposed on it by
sub-paragraph (1).
(3) A person who is guilty of an offence under sub-paragraph (2) is liable on summary
conviction to a fine not exceeding level 5 on the standard scale.
Commencement Information
1239 Sch. 13 para. 13 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(d)
Licensing authority's power to require information
14. (1)A licensing authority may require a non-authorised person identified to it in
accordance with paragraph 10 or 12 to provide it with such documents and
information as it may require.
(2) It is an offence for a person who is required to provide information or documents
under sub-paragraph (1) knowingly to provide false or misleading information or
documents.
(3) A person who is guilty of an offence under sub-paragraph (2) is liable—
(a) onsummary conviction, to a fine not exceeding the statutory maximum, and
(b) on conviction on indictment, to a term of imprisonment not exceeding 2
years or a fine (or both).
Commencement Information
1240 Sch. 13 para. 14 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)
Licence may not be granted unless non-authorised persons approved
15 (1) This paragraph applies where an applicant for a licence (“the applicant”) gives the
licensing authority notification under paragraph 10 or 12 in relation to one or more
non-authorised persons.
(2) The licensing authority may not grant the application for a licence unless, in
relation to each non-authorised person in respect of which notification is given (“the
investor”), it approves the investor's holding of the restricted interest to which the
notification relates (“the notified interest”).
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SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) Sub-paragraph (2) does not apply in relation to a non-authorised person who does
not hold the notified interest when the licence is issued.
(4) In this Part of this Schedule, “the applicant”, “the investor” and “the notified interest”
are to be construed in accordance with this paragraph.
Commencement Information
1241 Sch. 13 para. 15 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(d)
Unconditional approval of notified interest
16 (1) Ifthe licensing authority is satisfied that the approval requirements are met in relation
to the investor's holding of the notified interest, it must approve the investor's holding
of that interest without conditions.
(2) If the licensing authority approves the investor's holding of the notified interest
without conditions, it must notify the investor and the applicant of its approval as
soon as reasonably practicable.
Commencement Information
1242 Sch. 13 para. 16 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(d)
Conditional approval of notified interest
17 (1) If the licensing authority is not satisfied that the approval requirements are met in
relation to the investor's holding of the notified interest, it may approve the investor's
holding of the notified interest subject to conditions.
(2) It may do so only if it considers that, if the conditions are complied with, it will
be appropriate for the investor to hold the notified interest without the approval
requirements being met.
(3) If the licensing authority proposes to approve the investor's holding of the notified
interest subject to conditions it must give the investor and the applicant a warning
notice.
(4) The warning notice must—
(a) specify the nature of the conditions proposed and the reasons for their
imposition, and
(b) state that representations may be made to the licensing authority within the
prescribed period.
(5) The licensing authority must consider any representations made within the prescribed
period.
(6) If the licensing authority approves the investor's holding of the notified interest
subject to conditions, it must notify the investor and the applicant of its approval as
soon as reasonably practicable.
(7) The notice must—
(a) specify the reasons for the imposition of the conditions, and
244 Legal Services Act 2007 (. 29)
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) explain the effect of Part 5 of this Schedule.
Commencement Information
1243. Sch. 13 para. 17 partly in force; Sch. 13 para. 17 not in force at Royal Assent see s. 211; Sch. 13 para.
17(4)(b)(5) in force for certain purposes at 1.1.2009 by S.I. 2008/3149, art. 2(4)(iv)
1244. Sch. 13 para. 17(1)-(3)(4)(a)(6)(7) in force at 1.10.2011 by S.L 2011/2196, art. 2(1)(@)
1245. Sch. 13 para. 17(4)(b)(5) in force at 1.10.2011 in so far as not already in force by S.I. 2011/2196, art.
2(1)(@)
18 (1) The investor and the applicant may before the end of the prescribed period appeal to
the relevant appellate body against the imposition of any or all of the conditions.
(2) The relevant appellate body may dismiss the appeal, or allow the appeal and—.
(a) _ order the licensing authority to approve the investor's holding of the notified
interest without conditions, or subject to such conditions as may be specified
in the order, or
(b) remit the matter to the licensing authority.
(3) A party to the appeal may before the end of the prescribed period appeal to the High
Court on a point of law arising from the decision of the relevant appellant body, but
only with the permission of the High Court.
(4) The High Court may make such order as it thinks fit.
(5) If the investor's holding of the notified interest is subject to conditions as a result of
an order made on an appeal under this paragraph, for the purposes of this Schedule
the conditions are to be treated as having been imposed under paragraph 17.
Modifications etc. (not altering text)
C21 Sch. 13 para. 18 modified (with effect in accordance with art. 2 of the amending S.I.) by Legal Services
Act 2007 (Appeals from Licensing Authority Decisions) Order 2011 (S.L. 2011/1712), arts. 2(1), 5, Sch.
para. 2(2)
C22 Sch. 13 para. 18 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (Chartered Institute of Patent Attorneys and Institute of Trade Mark Attorneys)
Order 2014 (S.1. 2014/1897), art. 2(1), Sch. para. 2(1)(2) (with art. 2(2))
C23. Sch. 13 para. 18 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (Institute of Chartered Accountants in England and Wales) Order 2014 (S.L
2014/1898), art. 2, Sch. para. 2(1)(2)
C24 Sch. 13 para. 18 modified (1.10.2018) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (General Council of the Bar) Order 2018 (S.I. 2018/457), art. 1, Sch. para. 2(2)
25. Sch. 13 para. 18 modified (6.4.2020) by The Legal Services Act 2007 (Chartered Institute of Legal
Executives) (Appeals from Licensing Authority Decisions) Order 2020 (S.I. 2020/301), art. 1, Sch. para.
2(2)
Commencement Information
1246 Sch. 13 para. 18 partly in force; Sch. 13 para. 18 not in force at Royal Assent see s. 211; Sch. 13 para.
18(1)(3) in force for certain purposes at 1.1.2009 by S.1. 2008/3149, art. 2(d)(iv)
1247 Sch. 13 para. 18(1)(3) in force at 1.10.2011 in so far as not already in force by S.1. 2011/2196, art. 2(1)(d)
1248 Sch. 13 para. 18(2)(4)(5) in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(d)
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Legal Services Act 2007 (c. 29) 245
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Objection to notified interest
19 (1) If the licensing authority is not satisfied that the approval requirements are met in
relation to the investor's holding of the notified interest, it may object to the investor's
holding of that interest.
(2) If the licensing authority proposes to object to the investor's holding of the notified
interest, it must give the investor and the applicant a warning notice.
(3) The warning notice must—
(a) specify the reasons for the proposed objection, and
(b) _ state that representations may be made to the licensing authority within the
prescribed period.
(4) The licensing authority must consider any representations made within the prescribed
period.
(5) If the licensing authority objects to the investor's holding of the notified interest,
it must notify the investor and the applicant of its objection as soon as reasonably
practicable.
(6) The notice must—
(a) specify the reasons for the objection, and
(b) explain the effect of Part 5 of this Schedule.
Commencement Information
1249 Sch. 13 para. 19 partly in force; Sch. 13 para. 19 not in force at Royal Assent see s. 211; Sch. 13 para.
19(3)(b)(4) in force for certain purposes at 1.1.2009 by S.I. 2008/3149, art. 2(d)(iv)
1250. Sch. 13 para. 19(1)(2)(3)(a)(5)(6) in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(a)
1251 Sch. 13 para. 19(3)(b)(4) in force at 1.10.2011 in so far as not already in force by S.I. 2011/2196, art.
2)(@)
20 (1) The investor and the applicant may before the end of the prescribed period appeal to
the relevant appellate body against the objection.
(2) The relevant appellate body may dismiss the appeal, or allow the appeal and—
(a) _ order the licensing authority to approve the investor's holding of the notified
interest without conditions, or subject to such conditions as may be specified
in the order, or
(b) remit the matter to the licensing authority.
(3) A party to the appeal may before the end of the prescribed period appeal to the High
Court on a point of law arising from the decision of the relevant appellate body, but
only with the permission of the High Court.
(4) The High Court may make such order as it thinks fit.
(5) If the investor's holding of the notified interest is subject to conditions as a result of
an order made on an appeal under this paragraph, for the purposes of this Schedule
the conditions are to be treated as having been imposed under paragraph 17.
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246 Legal Services Act 2007 (. 29)
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Modifications etc. (not altering text)
C26 Sch. 13 para. 20 modified (with effect in accordance with art. 2 of the amending S.L) by Legal Services
Act 2007 (Appeals from Licensing Authority Decisions) Order 2011 (S.. 2011/1712), arts. 2(1), 5, Sch.
para. 2(3)
C27 Sch. 13 para. 20 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (Chartered Institute of Patent Attomeys and Institute of Trade Mark Attorneys)
Order 2014 (S.L 2014/1897), art. 2(1), Sch. para. 2(1)(3) (with art. 2(2))
C28. Sch. 13 para. 20 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (Institute of Chartered Accountants in England and Wales) Order 2014 (S.L
2014/1898), art. 2, Sch. para. 2(1)(3)
C29 Sch. 13 para. 20 modified (1.10.2018) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (General Council of the Bar) Order 2018 (S.I. 2018/457), art. 1, Sch. para. 2(3)
C30. Sch. 13 para. 20(3) modified (6.4.2020) by The Legal Services Act 2007 (Chartered Institute of Legal
Executives) (Appeals from Licensing Authority Decisions) Order 2020 (S.I. 2020/301), art. 1, Sch. para
2(3)
Commencement Information
1252. Sch. 13 para. 20 partly in force; Sch. 13 para. 20 not in force at Royal Assent see s. 211; Sch. 13 para.
20(1)(3) in force at 1.1.2009 by S.1. 2008/3149, art. 2(a)(iv)
1253. Sch. 13 para. 20(1)(3) in force at 1.10.2011 in so far as not already in force by S.1. 2011/2196, art. 2(1)(d)
1254 Sch. 13 para. 20(2)(4)(5) in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(d)
PART 3
APPROVAL OF RESTRICTED INTERESTS AFTER LICENCE IS ISSUED
POWERS OF LICENSING AUTHORITY IN RELATION TO CHANGE OF INTERESTS
Continuing notification requirements
21 (1) This paragraph applies where a non-authorised person (“the investor” }—
(a) proposes to take a step which would result in the investor acquiring a
restricted interest in a licensed body (or, if the investor already has one or
more kinds of restricted interest, acquiring an additional kind of restricted
interest), or
(b) acquires such an interest in a licensed body without taking such a step.
(2) Ina case within sub-paragraph (1)(a) the investor must notify the licensed body and
the relevant licensing authority of the proposal.
(3) In a case within sub-paragraph (1)(b) the investor must notify the licensed body
and the relevant licensing authority of the acquisition within such period, after the
investor becomes aware of it, as may be specified by order made by the Lord
Chancellor on the recommendation of the Board.
(4) In this Part of this Schedule—
(a) references to “the investor” are to be construed in accordance with this
paragraph, and
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SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) references to a notifiable interest are to the restricted interest which the
investor will have as a result of the step the investor proposes to take (or has
as a result of the acquisition which has taken place).
Commencement Information
1255. Sch. 13 para. 21 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(d)
Offences in connection with paragraph 21
22 (1) It is an offence for a person to fail to comply with a requirement imposed by—
(a) paragraph 21(2), or
(b) paragraph 21(3).
(2) A person who is guilty of an offence under sub-paragraph (1) is liable on summary
conviction to a fine not exceeding level 5 on the standard scale.
(3) It is a defence for a person charged with an offence under sub-paragraph (1)(a) to
show that at the time of the alleged offence the person had no knowledge of the facts
by virtue of which the duty to notify arose.
Commencement Information
1256 Sch. 13 para. 22 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)
23 (1) This paragraph applies if a person under the duty to notify imposed by paragraph
21(2)—
(a) had no knowledge of the facts by virtue of which that duty arose, but
(b) subsequently becomes aware of those facts.
(2) The person must give the licensed body and the licensing authority the required
notification within such period, after the person becomes so aware, as may be
specified by order made by the Lord Chancellor on the recommendation of the Board.
(3) A person who fails to comply with the duty to notify imposed by sub-paragraph (2)
is guilty of an offence.
(4) A person who is guilty of an offence under sub-paragraph (3) is liable on summary
conviction to a fine not exceeding level 5 on the standard scale.
Commencement Information
1257 Sch. 13 para. 23 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)
24 (1) It is an offence for a non-authorised person, who under paragraph 21(2) is required
to notify the licensed body and the relevant licensing authority of a proposal to
take a step, to take the step, unless the relevant licensing authority has approved the
investor's holding of the notifiable interest under paragraph 27 or 28.
(2) If paragraph 22(3) applies, the reference in sub-paragraph (1) to paragraph 21(2) is
to be read as a reference to paragraph 23(2).
(3) A person who is guilty of an offence under sub-paragraph (1) is liable—
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248 Legal Services Act 2007 (. 29)
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) on summary conviction, to a fine not exceeding the statutory maximum, and
(b) on conviction on indictment, to a term of imprisonment not exceeding 2
years or a fine (or both).
Commencement Information
1258 Sch. 13 para. 24 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(d)
Duty of licensing authority following notification etc.
25 (1) The relevant licensing authority must—.
(a) following receipt of a notification under paragraph 21(2) or (3) or 23(2), or
(b) _ if the licensing authority becomes aware that an investor has failed to comply
with a notification requirement imposed by paragraph 21(2) or (3) or 23(2),
determine which of the steps in sub-paragraph (3) to take.
(2) The licensing authority must make the determination within such period as may be
prescribed.
(3) The steps are—
(a) to approve the investor's holding of the notifiable interest unconditionally
under paragraph 27,
(b) to warn the investor under paragraph 28(3) that it proposes to approve the
investor's holding of the notifiable interest subject to conditions,
(c) to approve under paragraph 28(4) the investor's holding of the notifiable
interest subject to conditions,
(d) to warn the investor under paragraph 31(2) that it proposes to object to the
investor's holding of the notifiable interest, or
(ce) to object under paragraph 31(3) to the investor's holding of the notifiable
interest.
Commencement Information
1259 Sch. 13 para. 25 partly in force; Sch. 13 para. 25 not in force at Royal Assent see s. 211; Sch. 13 para.
25(2) in force for certain purposes at 1.1.2009 by S.1. 2008/3149, art. 2(d)(iv)
1260. Sch. 13 para. 25(1)(3) in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(4)
1261 Sch. 13 para. 25(2) in force at 1.10.2011 in so far as not already in force by S.1. 2011/2196, art. 2(1)(d)
Licensing authority's power to require information
26 (1) A licensing authority may require the investor to provide it with such documents and
information as it may require.
(2) It is an offence for a person who is required to provide information or documents
under sub-paragraph (1) knowingly to provide false or misleading information or
documents.
(3) A person who is guilty of an offence under sub-paragraph (2) is liable—
(a) onsummary conviction, to a fine not exceeding the statutory maximum, and
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Legal Services Act 2007 (c. 29) 249
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) on conviction on indictment, to a term of imprisonment not exceeding 2
years or a fine (or both).
Commencement Information
1262. Sch. 13 para. 26 in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(@)
Unconditional approval of notifiable interest
27 (1) Ifthe licensing authority is satisfied that the approval requirements are met in relation
to the investor's holding of the notifiable interest, it must approve the investor's
holding of that interest without conditions.
(2) If the licensing authority approves the investor's holding of the notifiable interest
without conditions, it must notify the investor and the licensed body of its approval
as soon as reasonably practicable.
Commencement Information
1263 Sch. 13 para. 27 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(d)
Conditional approval of notifiable interest
28 (1) If the licensing authority is not satisfied that the approval requirements are met
in relation to the investor's holding of the notifiable interest, it may approve the
investor's holding of that interest subject to conditions.
(2) It may do so only if it considers that, if the conditions are complied with, it will
be appropriate for the investor to hold the notifiable interest without the approval
requirements being met.
(3) If the licensing authority proposes to approve the investor's holding of the notifiable
interest subject to conditions it must give the investor and the licensed body a warning
notice.
(4) But the licensing authority may approve the investor's holding of the notifiable
interest subject to conditions without giving a warning notice if it considers it
necessary or desirable to do so for the purpose of protecting any of the regulatory
objectives.
(5) The warning notice must—
(a) specify the nature of the conditions proposed and the reasons for their
imposition, and
(b) _ state that representations may be made to the licensing authority within the
prescribed period.
(6) The licensing authority must consider any representations made within the prescribed
period.
(7) If the licensing authority approves the investor's holding of the notifiable interest
subject to conditions, it must notify the investor and the licensed body of its approval
as soon as reasonably practicable.
250 Legal Services Act 2007 (. 29)
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(8) The notice must—
(a) specify the reasons for the imposition of the conditions and (if the investor
already holds the notifiable interest) the time from which they have effect,
and
(b) explain the effect of Part 5 of this Schedule.
Commencement Information
1264 Sch. 13 para. 28 partly in force; Sch. 13 para. 28 not in force at Royal Assent see s. 211; Sch. 13 para
28(5)(b)(6) in force for certain purposes at 1.1.2009 by S.I. 2008/3149, art. 2(d)(iv)
1265. Sch. 13 para. 28(1)-(4)(5)(a)(7)(8) in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(a)
1266 Sch. 13 para. 28(5)(b)(6) in force at 1.10.2011 in so far as not already in force by S.1. 2011/2196, art.
21d)
29 (1) The investor and the licensed body may before the end of the prescribed period appeal
to the relevant appellate body against the imposition of any or all the conditions.
(2) The relevant appellate body may dismiss the appeal, or allow the appeal and—
(a) order the licensing authority to approve the investor's holding of the
notifiable interest without conditions, or subject to such conditions as may
be specified in the order, or
(b) remit the matter to the licensing authority.
(3) A party to the appeal may before the end of the prescribed period appeal to the High
Court on a point of law arising from the decision of the relevant appellate body, but
only with the permission of the High Court.
(4) The High Court may make such order as it thinks fit.
(5) If the investor's holding of the notifiable interest is subject to conditions as a result of
an order made on an appeal under this paragraph, for the purposes of this Schedule
the conditions are to be treated as having been imposed under paragraph 28.
Modifications etc. (not altering text)
C31 Sch. 13 para. 29 modified (with effect in accordance with art. 2 of the amending S.L) by Legal Services
‘Act 2007 (Appeals from Licensing Authority Decisions) Order 2011 (S.L. 2011/1712), arts. 2(1), 5, Sch.
para. 2(4)
32 Sch. 13 para. 29 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (Institute of Chartered Accountants in England and Wales) Order 2014 (S.I.
2014/1898), art. 2, Sch. para. 2(1)(4)
33. Sch. 13 para. 29 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (Chartered Institute of Patent Attomeys and Institute of Trade Mark Attorneys)
Order 2014 (S.L. 2014/1897), art. 2(1), Sch. para. 2(1)(4) (with art. 2(2))
C34 Sch. 13 para. 29 modified (1.10.2018) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (General Council of the Bar) Order 2018 (S.I. 2018/457), art. 1, Sch. para. 2(4)
C35 Sch. 13 para. 29 modified (6.4.2020) by The Legal Services Act 2007 (Chartered Institute of Legal
Executives) (Appeals from Licensing Authority Decisions) Order 2020 (S.I. 2020/301), art. 1, Sch. para.
24)
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Legal Services Act 2007 (c. 29) 251
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1267 Sch. 13 para. 29 partly in force; Sch. 13 para. 29 not in force at Royal Assent see s. 211; Sch. 13 para.
29(1)(3) in force for certain purposes at 1.1.2009 by S.I. 2008/3149, art. 2(d)(iv)
1268. Sch. 13 para. 29(1)(3) in force at 1.10.2011 in so far as not already in force by S.1. 2011/2196, art. 2(1)(d)
1269 Sch. 13 para. 29(2)(4)(5) in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(d)
Duration of unconditional or conditional approval
30 In a case within paragraph 21(1)(a), the licensing authority's approval under
paragraph 27 or 28 remains effective only if the investor acquires the notifiable
interest—
(a) before the end of such period as may be specified in the notice under
paragraph 27(2) or 28(7), or
(b) if no such period is specified, before the end of the period of one year
beginning with the date of that notice.
Commencement Information
1270 Sch. 13 para. 30 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(a)
Objection to acquisition of notifiable interest
31 (1) If the licensing authority is not satisfied that the approval requirements are met
in relation to the investor's holding of the notifiable interest, it may object to the
investor's holding of that interest.
(2) If the licensing authority proposes to object to the investor's holding of the notifiable
interest, it must give the investor and the licensed body a warning notice.
(3) But the licensing authority may object to the investor's holding of the notifiable
interest without giving a warning notice if it considers it necessary or desirable to do
so for the purpose of protecting any of the regulatory objectives.
(4) The warning notice must—
(a) specify the reasons for the proposed objection, and
(b) _ state that representations may be made to the licensing authority within the
prescribed period.
(5) The licensing authority must consider any representations made within the prescribed
period.
(6) If the licensing authority objects to the investor's holding of the notifiable interest, it
must notify the investor and the licensed body of its objection as soon as reasonably
practicable.
(7) The notice must—
(a) _ specify the reasons for the objection, and
(b) explain the effect of Part 5 of this Schedule.
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252 Legal Services Act 2007 (. 29)
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1271 Sch. 13 para. 31 partly in force; Sch. 13 para. 31 not in force at Royal Assent see s. 211; Sch. 13 para,
31(4)(b)(5) in force for certain purposes at 1.1.2009 by S.I. 2008/3149, art. 2(d)(iv)
1272 Sch. 13 para. 31(1)-(3)(4)(a)(6)(7) in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(d)
1273 Sch. 13 para. 31(4)(b)(5) in force at 1.10.2011 in so far as not already in force by S.1. 2011/2196, art.
2(1)(@)
32. (1) The investor and the licensed body may before the end of the prescribed period appeal
to the relevant appellate body against the objection.
(2) The relevant appellate body may dismiss the appeal, or allow the appeal and—
(a) order the licensing authority to approve the investor's holding of the
notifiable interest without conditions, or subject to such conditions as may
be specified in the order, or
(b) remit the matter to the licensing authority.
(3) A party to the appeal may before the end of the prescribed period appeal to the High
Court on a point of law arising from the decision of the relevant appellant body, but
only with the permission of the High Court.
(4) The High Court may make such order as it thinks fit.
(5) If the investor's holding of the notifiable interest is subject to conditions as a result of
an order made on an appeal under this paragraph, for the purposes of this Schedule
the conditions are to be treated as having been imposed under paragraph 28.
Modifications etc. (not altering text)
C36 Sch. 13 para. 32 modified (with effect in accordance with art. 2 of the amending S.I.) by Legal Services
Act 2007 (Appeals from Licensing Authority Decisions) Order 2011 (S.I. 2011/1712), arts. 2(1), 5, Sch.
para. 2(5)
C37 Sch. 13 para. 32 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (Chartered Institute of Patent Attomeys and Institute of Trade Mark Attorneys)
Order 2014 (S.L. 2014/1897), art. 2(1), Sch. para. 2(1)(5) (with art. 2(2))
38 Sch. 13 para. 32 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (Institute of Chartered Accountants in England and Wales) Order 2014 (8.1.
2014/1898), art. +h. para. 2(1)(5)
39 Sch. 13 para. 32 modified (1.10.2018) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (General Council of the Bar) Order 2018 (S.I. 2018/457), art. 1, Sch. para. 2(5)
C40 Sch. 13 para. 32 modified (6.4.2020) by The Legal Services Act 2007 (Chartered Institute of Legal
Executives) (Appeals from Licensing Authority Decisions) Order 2020 (S.I. 2020/301), art. 1, Sch. para.
2(5)
Commencement Information
1274 Sch. 13 para. 32 partly in force; Sch. 13 para. 32 not in force at Royal Assent see s. 211; Sch. 13 para.
32(1)(3) in force for certain purposes at 1.1.2009 by S.1. 2008/3149, art. 2(d)(iv)
1275 Sch. 13 para. 32(1)(3) in force at 1.10.2011 in so far as not already in force by S.I. 2011/2196, art. 2(1)(d)
1276 Sch. 13 para. 32(2)(4)(5) in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)
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Legal Services Act 2007 (c. 29) 253
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
POWERS OF LICENSING AUTHORITY WHERE NO CHANGE OF INTERESTS
Imposition of conditions (or further conditions) on existing restricted interest
33 (1) The relevant licensing authority may impose conditions (or further conditions) on a
person's holding of a restricted interest in a licensed body (or a restricted interest of
a particular kind) if—
(a) _ it is not satisfied that the approval requirements are met in relation to the
person's holding of that interest, or
(b) it is satisfied that a condition imposed under paragraph 17 or 28 or this
paragraph on the person's holding of that interest has not been, or is not
being, complied with.
(2) The licensing authority may act under sub-paragraph (1) only—
(a) if it considers that, if the conditions are complied with, it will be
appropriate for the investor to hold the restricted interest without the
approval requirements being met, and
(b) before the end of such period (beginning with the time when the licensing
authority becomes aware of the matters in question) as may be prescribed.
(3) If the licensing authority proposes to impose conditions (or further conditions) on
the person's holding of the restricted interest, it must give the person and the licensed
body a warning notice.
(4) But the licensing authority may impose conditions (or further conditions) on the
person's holding of the restricted interest without giving a warning notice if it
considers it necessary or desirable to do so for the purpose of protecting any of the
regulatory objectives.
(5) The warning notice must—
(a) specify the nature of the conditions proposed and the reasons for their
imposition, and
(b) state that representations may be made to the licensing authority within the
prescribed period.
(6) The licensing authority must consider any representations made within the prescribed
period.
(7) If the licensing authority imposes conditions (or further conditions) on the person's
holding of the restricted interest, it must notify the person and the licensed body as
soon as reasonably practicable.
(8) The notice must—
(a) specify the reasons for the imposition of the conditions, and the time from
which they are to take effect, and
(b) explain the effect of Part 5 of this Schedule.
Commencement Information
1277 Sch. 13 para. 33 partly in force; Sch. 13 para. 33 not in force at Royal Assent see s. 211; Sch. 13 para,
33(2)(b)(5)(b)(6) in force for certain purposes at 1.1.2009 by S.1. 2008/3149, art. 2(d)(iv)
1278 Sch. 13 para. 33(1)(2)(a)(3)(4)(5)(a)(7)(8) in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(d)
254 Legal Services Act 2007 (. 29)
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
1279 Sch. 13 para. 33(2)(b)(5)(b)(6) in force at 1.10.2011 in so far as not already in force by S.I. 2011/2196,
art. 2(1)(@)
34 (1) The person and the licensed body may before the end of the prescribed period
appeal to the relevant appellate body against any or all of the conditions (or further
conditions).
(2) The relevant appellate body may dismiss the appeal, or allow the appeal and—.
(a) modify or quash the conditions imposed by the licensing authority under
paragraph 33, or
(b) remit the matter to the licensing authority.
(3) A party to the appeal may before the end of the prescribed period appeal to the High
Court on a point of law arising from the decision of the relevant appellate body, but
only with the permission of the High Court.
(4) The High Court may make such order as it thinks fit.
(5) If the person's holding of the restricted interest is subject to any conditions as a result
of an order made on an appeal under this paragraph, for the purposes of this Schedule
those conditions are to be treated as having been imposed under paragraph 33.
Modifications etc. (not altering text)
C41 Sch. 13 para. 34 modified (with effect in accordance with art. 2 of the amending S.L) by Legal Services
Act 2007 (Appeals from Licensing Authority Decisions) Order 2011 (S.I. 2011/1712), arts. 2(1), 5, Sch.
para. 2(6)
C42 Sch. 13 para. 34 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (Chartered Institute of Patent Attorneys and Institute of Trade Mark Attorneys)
Order 2014 (S.1. 2014/1897), art. 2(1), Sch. para. 2(1)(6) (with art. 2(2))
C43 Sch. 13 para. 34 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (Institute of Chartered Accountants in England and Wales) Order 2014 (S.L
2014/1898), art. 2, Sch. para. 2(1)(6)
C44 Sch. 13 para. 34 modified (1.10.2018) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (General Council of the Bar) Order 2018 (S.1. 2018/457), art. 1, Sch. para. 2(6)
C45. Sch. 13 para. 34 modified (6.4.2020) by The Legal Services Act 2007 (Chartered Institute of Legal
Executives) (Appeals from Licensing Authority Decisions) Order 2020 (S.1. 2020/301), art. 1, Sch. para.
(6)
Commencement Information
1280. Sch. 13 para. 34 partly in force; Sch. 13 para. 34 not in force at Royal Assent see s. 211; Sch. 13 para.
34(1)(3) in force for certain purposes at 1.1.2009 by S.L. 2008/3149, art. 2(d)(iv)
1281 Sch. 13 para. 34(1)(3) in force at 1.10.2011 in so far as not already in force by S.I. 2011/2196, art. 2(1)(d)
1282. Sch. 13 para. 34(2)(4)(5) in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)
Variation and cancellation of conditions
35 (1) A person whose holding of a restricted interest in a licensed body is subject to a
condition imposed under paragraph 17, 28 or 33 may apply to the relevant licensing
authority—
(a) for the condition to be varied, or
(b) for the condition to be cancelled.
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Legal Services Act 2007 (c. 29) 255
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) The licensing authority may, on its own initiative, cancel a condition imposed under
one of those paragraphs.
(3) If the licensing authority varies or cancels a condition under this paragraph, it must
notify the person and the licensed body as soon as reasonably practicable.
Commencement Information
1283. Sch. 13 para. 35 in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(4)
Objection to existing restricted interest
36 (1) The relevant licensing authority may object to a person's holding of a restricted
interest in a licensed body (or a restricted interest of a particular kind) if—
(a) _ it is not satisfied that the approval requirements are met in relation to the
person's holding of that interest, or
(b) _ itis satisfied that a condition imposed under paragraph 17, 28 or 33 on the
person's holding of the interest has not been, or is not being, complied with.
(2) The licensing authority may act under sub-paragraph (1) only before the end of such
period (beginning with the time when the licensing authority becomes aware of the
matters in question) as may be prescribed.
(3) If the licensing authority proposes to object to a person's holding of the restricted
interest, it must give the person and the licensed body a warning notice.
(4) But the licensing authority may object to the person's holding of the restricted interest
without giving a warning notice if it considers it necessary or desirable to do so for
the purpose of protecting any of the regulatory objectives.
(5) The warning notice must—
(a) specify the reasons for the proposed objection, and
(b) state that representations may be made to the licensing authority within the
prescribed period.
(6) The licensing authority must consider any representations made within the prescribed
period.
(7) If the licensing authority objects to the person's holding of the restricted interest, it
must notify the person and the licensed body of its objection as soon as reasonably
practicable.
(8) The notice must—
(a) specify the reasons for the objection, and
(b) explain the effect of Part 5 of this Schedule.
Commencement Information
1284 Sch. 13 para, 36 partly in force; Sch. 13 para. 36 not in force at Royal Assent see s. 211; Sch. 13 para.
36(2)(5)(b)(6) in force for certain purposes at 1.1.2009 by S.I. 2008/3149, art. 2(d)(iv)
1285. Sch. 13 para. 36(1)(3)(4)(5)(a)(7)(8) in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(d)
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256 Legal Services Act 2007 (. 29)
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
1286 Sch. 13 para. 36(2)(5)(b)(6) in force at 1.10.2011 in so far as not already in force by S.1. 2011/2196,
art. 2(1)(d)
37. (1) The person and the licensed body may before the end of the prescribed period appeal
to the relevant appellate body against the objection.
(2) The relevant appellate body may dismiss or allow the appeal.
(3) If the relevant appellate body allows the appeal it may also—
(a) _ order the licensing authority to impose under paragraph 33 such conditions
on the person's holding of the restricted interest as may be specified in the
order, or
(b) remit the matter to the licensing authority.
(4) A party to the appeal may before the end of the prescribed period appeal to the High
Court on a point of law arising from the decision of the relevant appellant body, but
only with the permission of the High Court.
(5) The High Court may make such order as it thinks fit.
(6) If the person's holding of the restricted interest is subject to conditions as a result of
an order made on an appeal under this paragraph, for the purposes of this Schedule
the conditions are to be treated as having been imposed under paragraph 33.
Modifications etc. (not altering text)
C46 Sch. 13 para. 37 modified (with effect in accordance with art. 2 of the amending $.1) by Legal Services
‘Act 2007 (Appeals from Licensing Authority Decisions) Order 2011 (S.L. 2011/1712), arts. 2(1), 5, Sch.
para. 2(7)
C47 Sch. 13 para. 37 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (Chartered Institute of Patent Attorneys and Institute of Trade Mark Attorneys)
Order 2014 (S.L 2014/1897), art. 2(1), Sch. para. 2(1)(7) (with art. 2(2))
C48. Sch. 13 para. 37 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (Institute of Chartered Accountants in England and Wales) Order 2014 (S.L
2014/1898), art. 2, Sch. para. 2(1)(7)
C49 Sch. 13 para. 37 modified (1.10.2018) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (General Council of the Bar) Order 2018 (S.. 2018/457), art. 1, Sch. para. 2(7)
C50 Sch. 13 para. 37 modified (6.4.2020) by The Legal Services Act 2007 (Chartered Institute of Legal
Executives) (Appeals from Licensing Authority Decisions) Order 2020 (S.I. 2020/301), art. 1, Sch. para.
7)
Commencement Information
1287 Sch. 13 para. 37 partly in force; Sch. 13 para. 37 not in force at Royal Assent see s. 211; Sch. 13 para.
37(1)(4) in force for certain purposes at 1.1.2009 by S.I. 2008/3149, art. 2(d)(iv)
1288 Sch. 13 para. 37(1)(4) in force at 1.10.2011 in so far as not already in force by S.1. 2011/2196, art. 2(1)(d)
1289 Sch. 13 para. 37(2)(3)(5)(6) in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(a)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
PART 4
ADDITIONAL RESTRICTIONS
Power to impose share limit, voting limit etc
38 (1) Licensing rules may provide that—
(a) anon-authorised person may not have a shareholding in a licensed body, or
in a parent undertaking of a licensed body, which exceeds a limit specified
in the rules (“the share limit”);
(b) anon-authorised person may not have an entitlement to exercise, or control
the exercise of, voting rights in a licensable body, or a parent undertaking of
a licensable body, which exceeds a limit specified in the rules (“the voting
limit”);
(c) the total proportion of shares in a licensed body, or a parent undertaking
of a licensed body, held by non-authorised persons may not exceed a limit
specified in the rules;
(d) the total proportion of voting rights in a licensed body, or a parent
undertaking of a licensed body, which non-authorised persons are entitled
to exercise or control the exercise of, may not exceed a limit specified in
the rules.
(2) Rules made under any paragraph of sub-paragraph (1) in relation to a licensed body
and a parent undertaking may specify different limits in relation to the licensed body
and the parent undertaking.
(3) Licensing rules made under sub-paragraph (1)(a) or (b) may provide that references
in those rules to a person, in relation to a person's shareholding or entitlement to
exercise or control the exercise of voting rights, are to—
(a) the person,
(b) any of the person's associates, or
(c) the person and any of the person's associates taken together.
(4) In relation to a licensed body which is a partnership, for the purposes of section 34
of the Partnership Act 1890 (c. 39) (dissolution by illegality) a breach of licensing
rules made under sub-paragraph (1) does not make it unlawful for the business of the
partnership to be carried on, or for the partners to carry it on in partnership.
Commencement Information
1290 Sch, 13 para. 38 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)
Obligation to notify where share limit or voting limit exceeded
39 (1) This paragraph applies in relation to a licensed body, or a parent undertaking of a
licensed body, if licensing rules made by the relevant licensing authority make the
provision mentioned in paragraph 38(1)(a) or (b) in relation to the body.
(2) Any non-authorised person who acquires—
(a) ashareholding in the body which exceeds the share limit, or
(b) anentitlement to exercise, or control the exercise of, voting rights in the body
which exceeds the voting limit,
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258 Legal Services Act 2007 (. 29)
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
must notify the body (and, if the body is a parent undertaking of a licensed body,
the licensed body) and the licensing authority of the acquisition within such period,
after the person becomes aware of it, as may be specified by order made by the Lord
Chancellor on the recommendation of the Board.
(3) It is an offence for a person to fail to comply with a requirement imposed by sub-
paragraph (2).
(4) A person who is guilty of an offence under sub-paragraph (3) is liable on summary
conviction to a fine not exceeding level 5 on the standard scale.
(5) It is a defence for a person charged with an offence under sub-paragraph (3) to show
that at the time of the alleged offence the person had no knowledge of the facts by
virtue of which the duty to notify arose.
Commencement Information
1291. Sch. 13 para. 39 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(d)
40 (1) This paragraph applies if a person under the duty to notify imposed by paragraph
39(2)—
(a) had no knowledge of the facts by virtue of which that duty arose, but
(b) subsequently becomes aware of those facts.
(2) The person must give the body (and, if the body is a parent undertaking of a licensed
body, the licensed body) and the licensing authority the required notification within
such period, after the person becomes so aware, as may be specified by order made
by the Lord Chancellor on the recommendation of the Board.
(3) A person who fails to comply with the duty to notify imposed by sub-paragraph (2)
is guilty of an offence.
(4) A person who is guilty of an offence under sub-paragraph (3) is liable on summary
conviction to a fine not exceeding level 5 on the standard scale.
Commencement Information
1292. Sch. 13 para. 40 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)
PARTS
ENFORCEMENT
DIVESTITURE
The divestiture condition
41 (J) The divestiture condition is satisfied in relation to a non-authorised person and a
licensed body if—
(a) _ the person holds a restricted interest in the licensed body in the circumstances
mentioned in sub-paragraph (2), and
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SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) _ the person holds that interest, in whole or in part, by virtue of the person's
shareholding in a body corporate with a share capital (in this Part of this
Schedule referred to as “the relevant shares”).
(2) The circumstances are that the person holds the restricted interest—
(a) as a result of the person taking a step in circumstances in which that
constitutes an offence under paragraph 24(1) (whether or not the person is
charged with or convicted of an offence under that paragraph),
(b) in breach of conditions imposed under paragraph 17, 28, or 33, or
(c) in contravention of an objection by the licensing authority under paragraph
31 or 36.
(3) In sub-paragraph (1)(b), references to a person's shareholding are to be read in
accordance with paragraph 3(3) or 4(2) (as the case may be).
Commencement Information
1293 Sch. 13 para. 41 in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(d)
42 (J) Ifthe relevant licensing rules make the provision mentioned in paragraph 38(1)(a) or
(b), the divestiture condition is also satisfied in relation to a non-authorised person
and a licensed body if—
(a) the person's shareholding in the body, or a parent undertaking of the body,
exceeds the share limit, and the body or parent undertaking (as the case may
be) is a body corporate with a share capital, or
(b) _ the person's entitlement to exercise or control the exercise of voting rights
in the body, or a parent undertaking of the body, exceeds the voting limit by
virtue of the person holding shares in a body corporate with a share capital.
(2) In this Part of this Schedule, “excess shares” means
(a) in a case within sub-paragraph (1)(a), the number of shares by which the
person's shareholding exceeds the share limit, and
(b) in a case within sub-paragraph (1)(b), the number of shares held by the
person in excess of the number of shares the person could hold without
the person's entitlement to exercise, or control the exercise of, voting rights
exceeding the voting limit.
(3) References in this paragraph to a person's shareholding (or holding of shares) or
entitlement are to be read in accordance with any applicable licensing rules made
under paragraph 38(3).
Commencement Information
1294 Sch. 13 para. 42 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(a)
Application for divestiture
43 (1) If the divestiture condition is satisfied in relation to a non-authorised person and a
licensed body, the licensing authority may give the person a restriction notice under
paragraph 44 and apply to the High Court for an order under paragraph 45.
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260 Legal Services Act 2007 (. 29)
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) The licensing authority may not make an application to the High Court for an order
under paragraph 45 unless—
(a) _ it has notified the person that it intends to do so if the divestiture condition
is satisfied in relation to the person and the body at the end of the relevant
period, and
(b) the relevant period has expired.
(3) The relevant period is such period (not less than the prescribed period) as may be
specified in the notice.
Commencement Information
1295. Sch. 13 para. 43 partly in force; Sch. 13 para. 43 not in force at Royal Assent see s. 211; Sch. 13 para.
43(3) in force for certain purposes at 1.1.2009 by S.1. 2008/3149, art. 2(d)(iv)
1296 Sch. 13 para. 43(1)(2) in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(a)
1297 Sch. 13 para. 43(3) in force at 1.10.2011 in so far as not already in force by S.1. 2011/2196, art. 2(1)(d)
Restriction notice
44 (1) A restriction notice is a notice directing that such of the relevant shares or excess
shares (as the case may be) as are specified in the notice are, until further notice,
subject to one or more of the following restrictions.
(2) The restrictions are—
(a) atransfer of (or agreement to transfer) those shares, or in the case of unissued
shares a transfer of (or agreement to transfer) the right to be issued with
them, is void;
(b) no voting rights are to be exercisable in respect of the shares;
(c) no further shares are to be issued in right of them or in pursuance of any
offer made to their holder;
(d) except in a liquidation, no payment is to be made of any sums due from the
company on the shares, whether in respect of capital or otherwise.
(3) A copy of the restriction notice must be given to the body to whose shares it relates.
(4) A restriction notice ceases to have effect—
(a) in accordance with an order of the High Court under paragraph 45(4):
(b) if no application has been made to the High Court for an order under
paragraph 45 before the end of such period as may be prescribed, at the end
of that period;
(c) _ if the licensed body ceases to be licensed by the licensing authority.
Commencement Information
1298 Sch. 13 para. 44 partly in force; Sch. 13 para. 44 not in force at Royal Assent see s. 211; Sch. 13 para.
44(4)(b) in force for certain purposes at 1.1.2009 by S.1. 2008/3149, art. 2(d)(iv)
1299 Sch. 13 para. 44(1)-(3)(4)(a)(c) in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(a)
1300 Sch. 13 para. 44(4)(b) in force at 1.10.2011 in so far as not already in force by S.1. 2011/2196, art. 2(1)(d)
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SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Divestiture by High Court
45 (1) If the divestiture condition is satisfied by virtue of paragraph 41 the High Court may,
on the application of the licensing authority, order the sale of the appropriate number
of the relevant shares.
(2) The appropriate number of the relevant shares is the number of those shares, the sale
of which will result in the non-authorised person no longer holding—
(a) a restricted interest in the licensed body, or
(b) if the non-authorised person holds more than one kind of restricted interest,
a restricted interest the person's holding of which is within paragraph 41(2).
(3) If the divestiture condition is satisfied by virtue of paragraph 42 the High Court may,
on the application of the licensing authority, order the sale of the excess shares.
(4) If shares are for the time being subject to any restriction under paragraph 44, the
court may order that they are to cease to be subject to that restriction.
(5) If the divestiture condition is satisfied by virtue of paragraph 41(2)(b) or (c), no order
may be made under sub-paragraph (1) or (4)—
(a) until the end of the period within which an appeal may be made against the
imposition of the conditions or the objection, or
(b) if an appeal is made, until the appeal has been determined or withdrawn.
(6) If an order has been made under sub-paragraph (1) or (3) the court may, on the
application of the licensing authority, make such further order relating to the sale or
transfer of the shares as it thinks fit.
(7) If shares are sold in pursuance of an order under this paragraph, the proceeds of sale,
less the costs of sale, must be paid into court for the benefit of the persons beneficially
interested in them.
(8) Any such person may apply to the court for the whole or part of the proceeds to be
paid to the person.
Commencement Information
1301 Sch. 13 para. 45 in force at 1.10.2011 by S.. 2011/2196, art. 2(1)(d)
CONDITIONS
Enforcement of conditions
46 (1) If a person holds a restricted interest in a licensed body in breach of conditions
imposed under paragraph 17, 28 or 33, the licensing authority may make an
application to the High Court for an order under this paragraph.
(2) The licensing authority may not make such an application unless—
(a) it has notified the person that it intends to do so if the conditions are not
complied with before the end of the relevant period, and
(b) the relevant period has expired.
(3) The relevant period is such period (not less than the prescribed period) as may be
specified in the notice.
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yD
8
Legal Services Act 2007 (. 29)
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) The High Court may, on the application of the licensing authority, make such order
as the court thinks fit to secure compliance with the conditions to which the person's
holding of the restricted interest is subject.
(5) No order may be made under this paragraph—
(a) _ until the end of the period within which an appeal may be made against the
imposition of the conditions, or
(b) if an appeal is made, until the appeal has been determined or withdrawn.
Commencement Information
1302. Sch. 13 para. 46 partly in force; Sch. 13 para. 46 not in force at Royal Assent see s. 21
46(3) in force for certain purposes at 1.1.2009 by S.I. 2008/3149, art. 2(d)(iv)
1303. Sch. 13 para. 46(1)(2)(4)(5) in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(4)
1304 Sch. 13 para. 46(3) in force at 1.10.2011 in so far as not already in force by S.I. 2011/2196, art. 2(1)(d)
Sch. 13 para,
RECORDS OF DECISIONS
Duty to notify Board of decisions under this Schedule
47 (1) The relevant licensing authority must notify the Board where—
(a) it has objected under paragraph 19, 31, or 36 to a person's holding of a
restricted interest, or
(b) ithas imposed conditions under paragraph 17, 28, or 33 ona person's holding
of a restricted interest.
(2) The notification must state—
(a) _ the reasons for the objection or imposition of conditions, and
(b) the kind of restricted interest to which the objection or conditions related.
(3) If the licensing authority takes any action under paragraph 43 in relation to a person
notified to the Board under sub-paragraph (1), it must notify the Board of that fact.
(4) If there is an appeal to the relevant appellate body against the objection or imposition
of conditions, the licensing authority must notify the Board of the outcome of that
appeal (and any subsequent appeal to the High Court).
(5) If the licensing authority has imposed conditions on a person's holding of a restricted
interest, it must notify the Board of any decision taken by it under paragraph 35
(variation and cancellation of conditions).
(6) The licensing authority must give the person and the licensed body concerned a copy
of any notification it gives the Board under this paragraph.
Modifications etc. (not altering text)
C51 Sch. 13 para. 47 modified (with effect in accordance with art. 2 of the amending S.I.) by Legal Services
Act 2007 (Appeals from Licensing Authority Decisions) Order 2011 (S.L. 2011/1712), arts. 2(1), 5, Sch.
para. 2(8)
52 Sch. 13 para. 47 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (Chartered Institute of Patent Attorneys and Institute of Trade Mark Attorneys)
Order 2014 (S.L. 2014/1897), art. 2(1), Sch. para. 2(1)(8) (with art. 2(2))
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Legal Services Act 2007 (c. 29) 263
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
C53 Sch. 13 para. 47 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (Institute of Chartered Accountants in England and Wales) Order 2014 (S.L
2014/1898), art. 2, Sch. para. 2(1)(8)
C54 Sch. 13 para. 47 modified (6.4.2020) by The Legal Services Act 2007 (Chartered Institute of Legal
Executives) (Appeals from Licensing Authority Decisions) Order 2020 (S.I. 2020/301), art. 1, Sch. para.
(8)
CSS Sch. 13 para. 47(4) modified (1.10.2018) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (General Council of the Bar) Order 2018 (S.I. 2018/457), art. 1, Sch. para. 2(8)
Commencement Information
1305. Sch. 13 para. 47 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(d)
48 (1) A licensing authority must notify the Board where under paragraph 16, 17, 27 or 28
it approves the holding of a restricted interest in a licensed body by a person included
in the list kept by the Board under paragraph 51.
(2) The notification must state—
(a) if the approval was under paragraph 17 or 28, the conditions to which the
approval was subject, and
(b) the reasons for the licensing authority's decision to approve the person's
holding of the interest.
(3) If the approval was under paragraph 17 or 28 and there is an appeal to the relevant
appellate body against the imposition of conditions, the licensing authority must
notify the Board of the outcome of that appeal (and any subsequent appeal to the
High Court).
(4) If the approval was under paragraph 17 or 28, the licensing authority must notify the
Board of any decision taken by it under paragraph 35 (variation and cancellation of
conditions).
(5) The licensing authority must give the person and the licensed body concerned a copy
of any notification it gives the Board under this paragraph.
Modifications etc. (not altering text)
C56 Sch. 13 para. 48 modified (with effect in accordance with art. 2 of the amending $.1) by Legal Services
Act 2007 (Appeals from Licensing Authority Decisions) Order 2011 (S.L 2011/1712), arts. 2(1), 5, Sch.
para. 2(9)
C57 Sch. 13 para. 48 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (Institute of Chartered Accountants in England and Wales) Order 2014 (S.L
2014/1898), art. 2, Sch. para. 2(1)(9)
C58 Sch. 13 para. 48 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (Chartered Institute of Patent Attomeys and Institute of Trade Mark Attorneys)
Order 2014 (S.L 2014/1897), art. 2(1), Sch. para. 2(1)(9) (with art. 2(2))
C59 Sch. 13 para. 48 modified (6.4.2020) by The Legal Services Act 2007 (Chartered Institute of Legal
Executives) (Appeals from Licensing Authority Decisions) Order 2020 (S.I. 2020/301), art. 1, Sch. para.
29)
C60 Sch. 13 para. 48(3) modified (1.10.2018) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (General Council of the Bar) Order 2018 (S.I. 2018/457), art. 1, Sch. para. 2(9)
Commencement Information
1306 Sch. 13 para. 48 in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(@)
264 Legal Services Act 2007 (. 29)
SCHEDULE 13 ~ Ownership of licensed bodies
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Power to notify Board where share limit or voting limit breached
49 (1) This paragraph applies if the relevant licensing rules make the provision mentioned
in paragraph 38(1)(a) or (b).
(2) The licensing authority may, if it considers it appropriate to do so in all the
circumstances of the case, notify the Board where a non-authorised person
acquires—
(a) a shareholding in a licensed body or parent undertaking of a licensed body
which exceeds the share limit, or
(b) an entitlement to exercise, or control the exercise of, voting rights in a
licensed body or parent undertaking of a licensed body which exceeds the
voting limit.
(3) If the licensing authority proposes to make a notification under sub-paragraph (2), it
must give the person and the licensed body a warning notice.
(4) The warning notice must—
(a) specify the reasons for the proposed notification, and
(b) state that representations may be made to the licensing authority within the
prescribed period.
(5) The licensing authority must consider any representations made within the prescribed
period.
(6) If the licensing authority notifies the Board under sub-paragraph (2), it must give
the person concerned and the licensed body a copy of the notification and a notice
stating the reasons for the notification.
(7) If the share limit or voting limit is breached in relation to a parent undertaking of a
licensed body, references in sub-paragraphs (3) and (6) to the licensed body include
the parent undertaking.
Commencement Information
1307 Sch. 13 para. 49 partly in force; Sch. 13 para. 49 not in force at Royal Assent see s. 211; Sch. 13 para
49(4)(b)(5) in force for certain purposes at 1.1.2009 by S.L. 2008/3149, art. 2(d)(iv)
1308 Sch. 13 para. 49(1)-(3)(4)(a) (6) (7) in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(a)
1309 Sch. 13 para. 49(4)(b)(5) in force at 1.10.2011 in so far as not already in force by S.1. 2011/2196, art.
2(1)(@)
50 (1) The person concerned and the licensed body may before the end of the prescribed
period appeal to the relevant appellate body against the notification.
(2) The relevant appellate body may—
(a) dismiss the appeal, or
(b) allow the appeal and order the person's name to be removed from the list
kept by the Board under paragraph 51.
(3) A party to the appeal may before the end of the prescribed period appeal to the High
Court on a point of law arising from the decision of the relevant appellant body, but
only with the permission of the High Court.
(4) The High Court may make such order as it thinks fit.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(5) The licensing authority must notify the Board of the outcome of any appeal under
this paragraph, and give the person concerned and the licensed body a copy of the
notification.
(6) If the share limit or voting limit is breached in relation to a parent undertaking of a
licensed body, references in sub-paragraphs (1) and (5) to the licensed body include
the parent undertaking.
Modifications etc. (not altering text)
C61 Sch. 13 para. 50 modified (with effect in accordance with art. 2 of the amending S.I.) by Legal Services
‘Act 2007 (Appeals from Licensing Authority Decisions) Order 2011 (S.L. 2011/1712), arts. 2(1), 5, Sch.
para. 2(10)
C62 Sch. 13 para. 50 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (Chartered Institute of Patent Attorneys and Institute of Trade Mark Attorneys)
Order 2014 (S.1. 2014/1897), art. 2(1), Sch. para. 2(1)(10) (with art. 2(2))
C63 Sch. 13 para. 50 modified (18.7.2014) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (Institute of Chartered Accountants in England and Wales) Order 2014 (S.L
2014/1898), art. 2, Sch. para. 2(1)(10)
C64 Sch. 13 para. 50 modified (1.10.2018) by The Legal Services Act 2007 (Appeals from Licensing
Authority Decisions) (General Council of the Bar) Order 2018 (S.. 2018/457), art. 1, Sch. para. 2(10)
C65 Sch. 13 para. 50 modified (6.4.2020) by The Legal Services Act 2007 (Chartered Institute of Legal
Executives) (Appeals from Licensing Authority Decisions) Order 2020 (S.I. 2020/301), art. 1, Sch. para.
2(10)
Commencement Information
1310 Sch. 13 para. 50 partly in force; Sch. 13 para. 50 not in force at Royal Assent see s. 211; Sch. 13 para.
50(1)(3) in force for certain purposes at 1.1.2009 by S.I. 2008/3149, art. 2(d)(iv)
1311 Sch. 13 para. 50(1)(3) in force at 1.10.2011 in so far as not already in force by S.1. 2011/2196, art. 2(1)(d)
1312 Sch. 13 para. 50(2)(4) in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(a)
Board's list of persons subject to objections and conditions
51. (1) The Board must keep a list of the persons in respect of which it receives a notification
under paragraph 47(1) or 49(2).
(2) The list must record—
(a) in relation to a person notified to the Board under paragraph 47(1), the
information included in the notification by virtue of paragraph 47(2) and any
notification under paragraph 47(3), and
(b) inrelation to any person included in the list, the information included in any
notification relating to that person under paragraph 48.
(3) If the Board receives a notification under paragraph 47(4) or (5), 48(3) or (4) or 50(5)
it must make such alterations to the list as it considers appropriate having regard
to the decision of the licensing authority or the outcome of the appeal (which may
include removing a person from the list).
(4) The Board must make the list kept by it under this paragraph available to every
licensing authority.
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266 Legal Services Act 2007 (c. 29)
SCHEDULE 14 — Licensing authority's powers of intervention
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1313 Sch. 13 para. 51 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(4)
SCHEDULE 14 Section 102
LICENSING AUTHORITY'S POWERS OF INTERVENTION
Modifications etc. (not altering text)
C66 Sch. 14 applied (with modifications) (9.12.2014) by The Legal Services Act 2007 (Chartered Institute
of Legal Executives) (Modification of Functions) Order 2014 (S.I. 2014/3234), arts. 1(1), 5
C67 Sch. 14 applied (with modifications) (9.12.2014) by The Legal Services Act 2007 (The Institute of
Chartered Accountants in England and Wales) (Modification of Functions) Order 2014 (S.L 2014/3236),
arts. 1(2), 3
C68 Sch. 14 applied (with modifications) (9.12.2014) by The Legal Services Act 2007 (the Chartered Institute
of Patent Attorneys and the Institute of Trade Mark Attorneys) (Modification of Functions) Order 2014
(SL. 2014/3238), art. 2(1), Sch. 2 para. 12, Sch. 4 para. 12 (as amended (6.4.2017) by The Deregulation
Act 2015 and Small Business, Enterprise and Employment Act 2015 (Consequential Amendments)
(Savings) Regulations 2017 (S.I. 2017/540), reg. 1, Sch. 2 para. 13 (with reg. 4))
C69 Sch. 14 applied (with modifications) (1.10.2018) by The Legal Services Act 2007 (General Council of
the Bar) (Modification of Functions) Order 2018 (S.1. 2018/48), arts. 1, 4
Introductory
1 (1) This Schedule applies—
(a) where, in relation to a licensed body and the relevant licensing authority, one
or more of the intervention conditions is satisfied;
(b) where a licence granted to a body has expired (and has not been renewed or
replaced by the relevant licensing authority).
(2) The intervention conditions are—
(a) _ that the licensing authority is satisfied that one or more of the terms of the
licensed body's licence have not been complied with;
(b) that a person has been appointed receiver or manager of property of the
licensed body;
(c) that a relevant insolvency event has occurred in relation to the licensed body;
(d) that the licensing authority has reason to suspect dishonesty on the part of
any manager or employee of the licensed body in connection with—
(i) that body's business,
(ii) any trust of which that body is or was a trustee,
(iii) any trust of which the manager or employee of the body is or was a
trustee in that person's capacity as such a manager or employee, or
(iv) the business of another body in which the manager or employee is
or was a manager or employee, or the practice (or former practice)
of the manager or employee;
(ec) _ that the licensing authority is satisfied that there has been undue delay—
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SCHEDULE 14 — Licensing authority's powers of intervention
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(i) on the part of the licensed body in connection with any matter in
which it is or was acting for a client or with any trust of which it is
or was a trustee, or
(ii) on the part of a person who is or was a manager or employee of
the licensed body in connection with any trust of which that person
is or was a trustee in that person's capacity as such a manager or
employee,
and the notice conditions are satisfied;
(f) that the licensing authority is satisfied that it is necessary to exercise the
powers conferred by this Schedule (or any of them) in relation to a licensed
body to protect—
(i) the interests of clients (or former or potential clients) of the licensed
body,
(ii) the interests of the beneficiaries of any trust of which the licensed
body is or was a trustee, or
(iii) the interests of the beneficiaries of any trust of which a person who
is or was a manager or employee of the licensed body is or was a
trustee in that person's capacity as such a manager or employee.
(3) For the purposes of sub-paragraph (2) a relevant insolvency event occurs in relation
to a licensed body if—
(a) a resolution for a voluntary winding-up of the body is passed without a
declaration of solvency under section 89 of the Insolvency Act 1986 (c. 45);
(b) _ the body enters administration within the meaning of paragraph 1(2)(b) of
Schedule B1 to that Act;
(c) an administrative receiver within the meaning of section 251 of that Act is
appointed;
["8'(d) a winding up becomes a creditors’ voluntary winding up under section 96 of
that Act (conversion to creditors’ voluntary winding up);]
(e) an order for the winding up of the body is made.
(4) The notice conditions referred to in sub-paragraph (2)(e) are—
(a) _ that the licensing authority has given the licensed body a notice inviting it
to give an explanation within such period (of not less than 8 days) following
the giving of the notice as may be specified in it;
(b) _ that the licensed body has failed within that period to give an explanation
which the licensing authority regards as satisfactory; and
(c) that the licensing authority gives notice of the failure to the licensed body
and (at the same time or later) notice that this Schedule applies in its case
by virtue of sub-paragraph (2)(e).
(5) Where this Schedule applies in relation to a licensed body by virtue of sub-
paragraph (1)(a) it continues to apply after the body's licence has been revoked or
has otherwise ceased to have effect.
(6) For the purposes of this Schedule “licensed body” includes—
(a) _abody whose licence is suspended;
(b) a body to whom this Schedule continues to apply by virtue of sub-
paragraph (5);
(c) except in this paragraph, a body whose licence has ceased to have effect as
mentioned in sub-paragraph (1)(b).
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268 Legal Services Act 2007 (¢. 29)
SCHEDULE 14 — Licensing authority's powers of intervention
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Textual Amendments
FI51_ Sch. 14 para. 1(3)(d) substituted (6.4.2017) by The Deregulation Act 2015 and Small Business, Enterprise
and Employment Act 2015 (Consequential Amendments) (Savings) Regulations 2017 (S.I. 2017/540),
reg. 1, Sch. 1 para. (2) (with reg. 4)
Commencement Information
1314. Sch. 14 para. 1 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(¢)
Money: prohibition on payment
2 (1) The licensing authority may apply to the High Court for an order under sub-
paragraph (2), and the High Court may make the order if it thinks fit.
(2) The order is that a person holding money on behalf of the licensed body may not
make any payment of the money, except with the leave of the court.
(3) An order under sub-paragraph (2) may take effect in relation to a person—
(a) whether or not the person is named in the order;
(b) however the money is held;
(c) whether the money was received before or after the order was made.
(4) But an order under sub-paragraph (2) does not take effect in relation to a person until
the licensing authority—
(a) has given the person a copy of the order, and
(b) (in the case ofa bank or other financial institution) has indicated the branches
at which it believes money to which the order relates is held.
(5) A person is not to be treated as having disobeyed an order under sub-paragraph (2)
by making a payment of money if the court is satisfied that the person—
(a) _ exercised due diligence to ascertain whether it was money to which the order
related, and
(b) failed to ascertain that the order related to it.
Commencement Information
1315. Sch. 14 para. 2 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(e)
Money etc: vesting in licensing authority
3 (1) The sums of money to which this paragraph applies, and the right to recover or
receive them, vest in the licensing authority if the licensing authority decides that
they should do so.
(2) This paragraph applies to all sums of money held by or on behalf of the licensed
body in connection with—
(a) _ its activities as a licensed body,
(b) any trust of which it is or was a trustee, or
(c) any trust of which a person who is or was a manager or employee of the
licensed body is or was a trustee in that person's capacity as such a manager
or employee.
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SCHEDULE 14 — Licensing authority's powers of intervention
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) Sub-paragraph (1) applies whether the sums were received by the person holding
them before or after the licensing authority's decision.
(4) Those sums and that right are held by the licensing authority—
(a) on trust to exercise the powers conferred by this Schedule in relation to them,
and
(b) subject to that and to rules under paragraph 6, on trust for the persons
beneficially entitled.
(5) The licensing authority must give the licensed body, and any other person in
possession of sums of money to which this paragraph applies—
(a) acopy of the licensing authority's decision, and
(b) anotice prohibiting the payment out of those sums.
(6) A person to whom a notice under sub-paragraph (5) is given may apply to the High
Court for an order directing the licensing authority to withdraw the notice.
(7) An application under sub-paragraph (6) must be made within 8 days of the licensing
authority giving the person notice under sub-paragraph (5).
(8) The person must give not less than 48 hours notice of any application under sub-
paragraph (6)—
(a) to the licensing authority, and
(b) if the notice under sub-paragraph (5) gives the name ofa solicitor instructed
by the licensing authority, to that solicitor.
(9) If the court makes the order, it may make any other order it thinks fit with respect
to the matter.
(10) It is an offence for a person to whom a notice has been given under sub-paragraph (5)
to pay out sums of money at a time when such payment is prohibited by the notice.
(11) A person who is guilty of an offence under sub-paragraph (10) is liable on summary
conviction to a fine not exceeding level 3 on the standard scale.
Commencement Information
1316 Sch. 14 para. 3 in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(e)
4 (1) Any rights to which this paragraph applies shall vest in the licensing authority if the
licensing authority decides that they should do so.
(2) This paragraph applies to any right to recover or receive debts due to the licensed
body in connection with its business.
(3) Any sums recovered by the licensing authority by virtue of the exercise of rights
vested under sub-paragraph (1) vest in the licensing authority and are held by it—
(a) ontrust to exercise the powers conferred by this Schedule in relation to them,
and
(b) subject to that and to rules under paragraph 6, on trust for the persons
beneficially entitled.
(4) The licensing authority must give the licensed body, and any other person who owes
a debt to which the order applies a copy of the licensing authority's decision.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1317 Sch. 14 para. 4 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(€)
iS (1) If the licensing authority takes possession of any sum of money to which paragraph
3 applies or by virtue of paragraph 4, it must pay it into a special account in the name
of the licensing authority or a person nominated on its behalf.
(2) A person nominated under sub-paragraph (1) holds that sam—
(a) on trust to permit the licensing authority to exercise the powers conferred by
this Schedule in relation to it, and
(b) subject to that and rules under paragraph 6, on trust for the persons
beneficially entitled.
(3) A bank or other financial institution at which a special account is kept is under no
obligation to ascertain whether it is being dealt with properly.
Commencement Information
1318 Sch. 14 para, 5 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(€)
6 (1) The licensing authority may make rules governing its treatment of sums vested in it
under paragraph 3 or 4(3).
(2) The rules may, in particular, make provision in respect of cases where the licensing
authority, having taken such steps to do so as are reasonable in all the circumstances
of the case, is unable to trace the person or persons beneficially entitled to any sum
vested in the licensing authority under paragraph 3 or 4(3) (including provision which
requires amounts to be paid into or out of any fund maintained by the licensing
authority in connection with its compensation arrangements).
Commencement Information
1319 Sch. 14 para. 6 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(e)
Money: information
7 (1) The licensing authority may apply to the High Court for an order requiring a person
to give the licensing authority—
(a) information about any money held by the person on behalf of the licensed
body, and the accounts in which it is held, or
(b) information relevant to identifying any money held by the licensed body or
by another person on its behalf.
(2) The High Court may make the order if it is satisfied that there is reason to suspect—
(a) inacase within sub-paragraph (1)(a), that the person holds money on behalf
of the licensed body, and
(b) ina case within sub-paragraph (1)(b), that the person has the information
in question.
(3) This paragraph is without prejudice to paragraphs 2 to 6.
Legal Services Act 2007 (c. 29) 271
SCHEDULE 14 — Licensing authority's powers of intervention
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1320 Sch. 14 para. 7 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(€)
Notice to produce or deliver documents
8 (1) The licensing authority may give notice to the licensed body requiring it to produce
or deliver all documents in its possession or under its control in connection with—
(a) _ its activities as a licensed body,
(b) any trust of which it is or was a trustee, or
(c) any trust of which a person who is or was a manager or employee of the
licensed body is or was a trustee in that person's capacity as such a manager
or employee.
(2) The notice may require the documents to be produced—
(a) to any person appointed by the licensing authority;
(b) ata time and place to be fixed by the licensing authority.
(3) The person appointed by the licensing authority may take possession of any such
documents on behalf of the licensing authority.
(4) It is an offence for a person having possession of such documents to refuse, neglect
or otherwise fail to comply with a notice under sub-paragraph (1).
(5) Sub-paragraph (4) does not apply where an application has been made to the High
Court under paragraph 9(1)(a).
(6) A person who is guilty of an offence under sub-paragraph (4) is liable on summary
conviction to a fine not exceeding level 3 on the standard scale.
Commencement Information
1321 Sch. 14 para. 8 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(e)
Order to produce or deliver documents
9 (1) The High Court may, on the application of the licensing authority, make an order for
production or delivery—
(a) in relation to a person required to produce documents under paragraph 8 and
the documents the person was required to produce;
(b) if it is satisfied that there is reason to suspect that documents in relation
to which the powers in paragraph 8 are exercisable have come into the
possession or under the control of some person other than the licensed body,
in relation to that person and those documents.
(2) An order for production or delivery is an order—
(a) requiring a person to produce or deliver documents to any person appointed
by the licensing authority, at a time and place specified in the order, and
(b) authorising the appointed person to take possession of the documents on
behalf of the licensing authority.
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is
is)
Legal Services Act 2007 (¢. 29)
SCHEDULE 14 — Licensing authority's powers of intervention
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) The court may, on the application of the licensing authority, authorise a person
appointed by the licensing authority to enter any premises (using such force as is
reasonably necessary) to search for and take possession of—
(a) any documents to which an order for production or delivery relates;
(b) any property—
(i) in the possession of or under the control of the licensed body, or
(ii) in the case of an order under sub-paragraph (1)(b), which was in the
possession or under the control of that body and has come into the
possession or under the control of the person in respect of whom the
order is made,
which the licensing authority reasonably requires for the purpose of
accessing information contained in any such documents,
and to use property obtained under paragraph (b) for that purpose.
(4) It may do so on making the order for production or delivery, or at any later time.
Commencement Information
1322 Sch. 14 para. 9 in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(e)
Taking posses
ion of documents etc under notice or order
10 (1) This paragraph applies where the licensing authority takes possession of documents
or any other property under paragraph 8 or 9.
(2) On taking possession, it must give a notice to—
(a) the licensed body, and
(b) any other person from whom the documents or property were received or
from whose possession they were taken.
(3) The notice must state that possession has been taken and specify the date on which
possession was taken.
(4) A person to whom a notice under sub-paragraph (2) is given may apply to the High
Court for an order directing the licensing authority to deliver the documents or other
property to such person as the applicant requires.
(5) An application under sub-paragraph (4) must be made within 8 days of the licensing
authority giving the person notice under sub-paragraph (2).
(6) The person must give not less than 48 hours notice of the application—
(a) to the licensing authority, and
(b) _ if the notice under sub-paragraph (2) gives the name of a solicitor instructed
by the licensing authority, to that solicitor.
(7) The court may make any order it thinks fit.
Modifications ete. (not altering text)
C70 Sch. 14 para. 10 applied (with modifications) (12.9.2011) by The Legal Services Act 2007 (Designation
as a Licensing Authority) Order 2011 (S.I. 2011/2038), art. 1, Sch. para. 1(5)
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Legal Services Act 2007 (c. 29) 273
SCHEDULE 14 — Licensing authority's powers of intervention
Document Generated: 2024-1
This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
C71 Sch. 14 para. 10 applied (23.12.2011) by The Legal Services Act 2007 (Designation as a Licensing
Authority) (No. 2) Order 2011 (S.I. 2011/2866), arts. 1(2), 5(5)
Commencement Information
1323 Sch. 14 para. 10 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(e)
Mail and other forms of communication
(1) The High Court, on the application of the licensing authority, may from time to time
make a communications redirection order.
(2) A communications redirection order is an order that specified communications to
the licensed body are to be directed, in accordance with the order, to the licensing
authority or any person appointed by the licensing authority.
(3) For the purposes of this paragraph—
(a) “specified communications” means communications of such description as
are specified in the order;
(b) the descriptions of communications which may be so specified include—
(i) communications in the form of a postal packet;
(ii) electronic communications;
(iii) communications by telephone.
(4) A communications redirection order has effect for such time not exceeding 18 months
as is specified in the order.
(5) Where a communications redirection order has effect, the licensing authority or the
person appointed by the licensing authority may take possession or receipt of the
communications redirected in accordance with the order.
(6) Where a communications redirection order is made the licensing authority must pay
to the designated payee the like charges (if any) as would have been payable for the
redirection of the communications to which the order relates if the addressee—
(a) had permanently ceased to occupy or use the premises or other destination
of the communications, and
(b) had applied to the designated payee to redirect the communications as
mentioned in the order.
(7) For this purpose “the designated payee” means—
(a) in the case of an order relating to postal packets, the postal operator
concerned, and
(b) in any other case, the person specified in the order as the designated payee.
(8) The High Court may, on the application of the licensing authority, authorise the
licensing authority, or a person appointed by it, to take such steps as may be specified
in the order in relation to any website purporting to be or have been maintained by or
on behalf of the licensed body, if the High Court is satisfied that the taking of those
steps is necessary to protect the public interest or the interests of clients (or potential
or former clients) of the licensed body.
(9) In this paragraph “postal operator” and “postal packet” have the meaning given by
["'*section 27 of the Postal Services Act 2011].
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274 Legal Services Act 2007 (c. 29)
SCHEDULE 14 — Licensing authority's powers of intervention
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(10) This paragraph does not apply where the powers conferred by this Part of this
Schedule are exercisable by virtue of paragraph 1(2)(e).
Textual Amendments
F152. Words in Sch. 14 para. 11(9) substituted (1.10.2011) by Postal Services Act 2011 (c. 5), s. 93(2)(3), Sch.
12 para, 189; S.1. 2011/2329, art. 3
Commencement Information
1324 Sch. 14 para. 11 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(e)
Use of documents in licensing authority's possession
12 (1) The licensing authority may apply to the High Court for an order as to the disposal or
destruction of any document or other property in its possession by virtue of paragraph
8,9 or 11.
(2) The court may make any order it thinks fit.
Modifications etc. (not altering text)
C72 Sch. 14 para. 12 applied (with modifications) (12.9.2011) by The Legal Services Act 2007 (Designation
as a Licensing Authority) Order 2011 (S.I. 2011/2038), art. 1, Sch. para. 1(5)
C73 Sch. 14 para. 12 applied (23.12.2011) by The Legal Services Act 2007 (Designation as a Licensing
Authority) (No. 2) Order 2011 (S.. 2011/2866), arts. 1(2), 5(5)
Commencement Information
1325 Sch. 14 para. 12 in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(e)
13. (1) The licensing authority may take copies of or extracts from any documents in its
possession by virtue of paragraph 8, 9 or 11.
(2) If the licensing authority proposes to deliver such documents to any person, it may
make the delivery conditional on the person giving a reasonable undertaking to
supply copies or extracts to the licensing authority.
(3) Sub-paragraphs (1) and (2) are subject to any order made by the court under
paragraph 10 or 12.
Modifications etc. (not altering text)
C74. Sch. 14 para. 13 applied (with modifications) (12.9.2011) by The Legal Services Act 2007 (Designation
as a Licensing Authority) Order 2011 (S.I. 2011/2038), art. 1, Sch. para. 1(5)
C75. Sch. 14 para. 13 applied (23.12.2011) by The Legal Services Act 2007 (Designation as a Licensing
Authority) (No. 2) Order 2011 (S.I. 2011/2866), arts. 1(2), 5(5)
Commencement Information
1326 Sch. 14 para. 13 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(e)
Legal Services Act 2007 (c. 29) 275
SCHEDULE 14 — Licensing authority's powers of intervention
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Trusts
14 (1) If the licensed body is a trustee of any trust, the licensing authority may apply to the
High Court for an order for the appointment of a new trustee in substitution for it.
(2) If a person who is a manager or employee of the licensed body is a trustee of any
trust in that person's capacity as such a manager or employee, the licensing authority
may apply to the High Court for an order for the appointment of a new trustee in
substitution for that person.
(3) The Trustee Act 1925 (c. 19) has effect in relation to an appointment of a new trustee
under this paragraph as it has effect in relation to an appointment under section 41
of that Act.
Commencement Information
1327 Sch. 14 para. 14 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(e)
General powers of licensing authority
15 The powers conferred by this Schedule in relation to sums of money, documents or
other property may be exercised despite any lien on them or right to their possession.
Modifications etc. (not altering text)
C76 Sch. 14 paras. 15-17 applied (with modifications) (12.9.2011) by The Legal Services Act 2007
(Designation as a Licensing Authority) Order 2011 (S.1. 2011/2038), art. 1, Sch. para. 1(5)
C77 Sch. 14 paras. 15-17 applied (23.12.2011) by The Legal Services Act 2007 (Designation as a Licensing
Authority) (No. 2) Order 2011 (S.I. 2011/2866), arts. 1(2), 5(5)
Commencement Information
1328 Sch. 14 para. 15 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(e)
16 The licensing authority may do all things which are reasonably necessary to
facilitate the exercise of its powers under this Schedule.
Modifications etc. (not altering text)
C76 Sch. 14 paras. 15-17 applied (with modifications) (129.2011) by ‘The Legal Services Act 2007
(Designation as a Licensing Authority) Order 2011 (S.1. 2011/2038), art. 1, Sch. para. 1(5)
C77 Sch. 14 paras. 15-17 applied (23.12.2011) by The Legal Services Act 2007 (Designation as a Licensing
Authority) (No. 2) Order 2011 (S.I. 2011/2866), arts. 1(2), 5(5)
Commencement Information
1329 Sch. 14 para. 16 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(e)
Licensing authority's costs
17 (1) Any costs incurred by the licensing authority for the purposes of this Schedule
(including the costs of any person exercising powers under this Schedule on behalf
of the licensing authority)—
(a) are to be paid by the licensed body, and
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) may be recovered from the licensed body as a debt owing to the licensing
authority.
(2) Sub-paragraph (1) is subject to any order for payment of costs that may be made on
an application to the court under this Schedule.
Modifications etc. (not altering text)
C76 Sch. 14 paras. 15-17 applied (with modifications) (12.9.2011) by The Legal Services Act 2007
(Designation as a Licensing Authority) Order 2011 (S.L. 2011/2038), art. 1, Sch. para. 1(5)
C77 Sch. 14 paras. 15-17 applied (23.12.2011) by The Legal Services Act 2007 (Designation as a Licensing
Authority) (No. 2) Order 2011 (S.I. 2011/2866), arts. 1(2), 5(5)
Commencement Information
1330 Sch. 14 para. 17 in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(e)
18 (1) The High Court, on the application of the licensing authority, may order a liable party
to pay a specified proportion of the costs mentioned in paragraph 17.
(2) For this purpose a “liable party” means—
(a) if the licensed body is a partnership, any former partner in the licensed body,
(b) in any other case, any manager or former manager of the licensed body.
(3) The High Court may make an order under this paragraph in respect of a liable party
only if it is satisfied that the conduct (or any part of the conduct) by reason of which
this Schedule applies was conduct carried on with the consent or connivance of, or
was attributable to any neglect on the part of, the liable party.
(4) In this paragraph “specified” means specified in the order made by the High Court.
Commencement Information
1331 Sch. 14 para. 18 in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(e)
SCHEDULE 15 Section 114
THE OFFICE FOR LEGAL COMPLAINTS
Membership
1 (1) The OLC is to consist of the following members—
(a) achairman appointed by the Board with the approval of the Lord Chancellor,
and
(b) at least 6, but not more than 8, other persons appointed by the Board after
consultation with the chairman.
(2) The Lord Chancellor may by order amend sub-paragraph (1) by substituting, for the
limit on the maximum number of persons for the time being specified in paragraph (b)
of that sub-paragraph, a different limit.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
2 (1) In appointing members of the OLC, the Board must ensure that a majority of the
members of the OLC are lay persons.
(2) The chairman must be a lay person.
(3) In this Schedule a reference to a “lay person” is a reference to a person who has
never been—
(a) an authorised person in relation to an activity which is a reserved legal
activity,
["(aa) an authorised person (within the meaning given in section 31 of the Financial
Services and Markets Act 2000 (authorised persons)) in relation to regulated
claims management activity (within the meaning given by section 417(1) of
that Act (definitions)),]
(b) an advocate in Scotland,
(c) asolicitor in Scotland,
(d) amember of the Bar of Northern Ireland, or
(ec) asolicitor of the Court of Judicature of Northern Ireland.
(4) For the purposes of sub-paragraph (3), a person is deemed to have been an authorised
person in relation to an activity which is a reserved legal activity if that person has
before the appointed day been—
(a) a barrister,
(b) asolicitor,
(c) apublic notary,
(d) alicensed conveyancer,
(e) granted a certificate issued by the Institute of Legal Executives authorising
the person to practise as a legal executive,
(f) a registered patent attorney, within the meaning given by section 275(1) of
the Copyright, Designs and Patents Act 1988 (c. 48),
(g) aregistered trade mark attorney, within the meaning of the Trade Marks Act
1994 (c. 26), or
(h) granted a right of audience or right to conduct litigation in relation to any
proceedings by virtue of section 27(2)(a) or section 28(2)(a) of the Courts
and Legal Services Act 1990 (c. 41) (rights of audience and rights to conduct
litigation).
(5) For the purpose of sub-paragraph (4)—
“appointed day” means the day appointed for the coming into force of
section 13;
“licensed conveyancer” has the meaning given by section 11(2) of the
Administration of Justice Act 1985 (c. 61).
Textual Amendments.
F153 Sch. 15 para. 2(3)(aa) inserted (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in
force) by The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.L
2018/1253), arts. 1(2)(3), 95(10)(a)
3 (1) An ombudsman may be a member (but not chairman) of the OLC.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) In appointing members of the OLC, the Board must ensure that a majority of the
members of the OLC are not ombudsmen.
4 In appointing members of the OLC, the Board must have regard to the desirability
of securing that the OLC includes members who (between them) have experience
in or knowledge of—
(a) the handling of complaints,
(b) _ the provision of legal services,
(c) legal education and legal training,
(d) consumer affairs,
(e) civil or criminal proceedings and the working of the courts,
(f) the maintenance of the professional standards of persons who provide legal
services,
(g) non-commercial legal services,
(h) _ the differing needs of consumers, and
(i) the provision of claims management services (within the meaning of
[section 419A of the Financial Services and Markets Act 2000 (c. 8))).
Textual Amendments
F154 Words in Sch. 15 para. 4(i) substituted (29.11.2018 for specified purposes, 1.4.2019 in so far as not
already in force) by The Financial Services and Markets Act 2000 (Claims Management Activity) Order
2018 (S.1. 2018/1253), arts. 1(2)(3), 95(10)(b)
Terms of appointment and tenure of members
5 A member of the OLC is to hold and vacate office in accordance with the terms and
conditions of the member's appointment (subject to this Schedule).
6 (1) A member of the OLC must be appointed for a fixed period.
(2) The period for which a member is appointed must not exceed 5 years.
(3) A person who has held office as a member may be re-appointed once only, for a
further period (whether consecutive or not) not exceeding 5 years.
ul Ifa member of the OLC who is a lay person becomes a person within paragraph (a)
to (e) of paragraph 2(3), that person ceases to be a member of the OLC.
8 (1) A member may at any time—
(a) resign from office by giving notice to the Board;
(b) be removed from office by the Board.
(2) The Board may not under sub-paragraph (1)(b) remove a member (including the
chairman) from office unless the Board is satisfied that the member—
(a) has failed without reasonable excuse to discharge the functions of the office
for a continuous period of at least 6 months,
(b) has been convicted of an offence,
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SCHEDULE 15 — The Office for Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(©) is an undischarged bankrupt ["or is a person in relation to whom a
moratorium period under a debt relief order applies (under Part 7A of the
Insolvency Act 1986)], or
(d) is otherwise unfit to hold the office or unable to discharge its functions.
(3) The chairman may be removed from office under sub-paragraph (1)(b) only with the
consent of the Lord Chancellor.
(4) The Board must consult the chairman before removing a member (other than the
chairman) under sub-paragraph (1)(b).
(5) The Board may not remove an ordinary member on the ground mentioned in
paragraph (a) of sub-paragraph (2) more than 3 months after the end of the period
mentioned in that paragraph.
Textual Amendments
F155 Words in Sch. 15 para. 8(2)(c) inserted (1.10.2012) by The Tribunals, Courts and Enforcement Act 2007
(Consequential Amendments) Order 2012 (S.I. 2012/2404), art. 1, Sch. 2 para. 61(3) (with art. 5)
9 The chairman ceases to be chairman upon ceasing to be a member of the OLC.
Remuneration etc of members
10 The chairman and other members of the OLC are to be paid by the Board in
accordance with provision made by or under their terms of appointment.
Modifications etc. (not altering text)
C78 Sch. 15 para. 10 modified (temp.) (7.3.2008) by The Legal Services Act 2007 (Commencement No.1
and Transitory Provisions) Order 2008 (S.I. 2008/222), art. 8
11 The terms of appointment of the chairman or any other member may provide for
the Board to pay, or make payments towards the provision of, a pension, allowance
or gratuity to or in respect of that person.
12 If the Board thinks there are circumstances that make it right for a person ceasing
to hold office as chairman or another member to receive compensation, the OLC
may pay that person such compensation as the Board may determine.
Staff
13 The OLC may appoint such staff as it considers appropriate to assist in the
performance of its functions.
14 Staff appointed under paragraph 13 are to be—
(a) appointed on terms and conditions determined by the OLC, and
(b) paid by the OLC in accordance with provision made by or under the terms
of appointment.
15 A member of staff appointed under paragraph 13 may be a member (but not
chairman) of the OLC.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
20
21
22
The terms and conditions on which an ombudsman, or any member of staff
appointed under paragraph 13, is appointed may provide for the OLC to pay, or
make payments towards the provision of, a pension, allowance or gratuity to or in
respect of that person.
The OLC may pay compensation for loss of employment to or in respect of an
ombudsman (or former ombudsman), or a member (or former member) of staff
appointed under paragraph 13.
Arrangements for assistance
(1) The OLC may make arrangements with such persons as it considers appropriate for
assistance to be provided to it or to an ombudsman.
(2) Arrangements may include the paying of fees to such persons.
(3) The persons with whom the OLC may make arrangements include approved
regulators; and the arrangements it may make include arrangements for assistance
to be provided to an ombudsman in relation to the investigation and consideration
of a complaint.
Committees
(1) The OLC may establish committees.
(2) Any committee so established may establish sub-committees.
(3) Only members of the OLC may be members of a committee or sub-committee.
(4) A majority of the members of a committee or sub-committee must be lay persons.
Proceedings
(1) The OLC may regulate its own procedure, and the procedure of its committees and
sub-committees, including quorum.
(2) But the quorum of a committee or sub-committee must not be less than 3.
(3) The OLC must publish any rules of procedure made under this paragraph.
(4) This paragraph is without prejudice to any other power the OLC has under this Act
to make rules.
The validity of any act of the OLC is not affected—
(a) _ by a vacancy in the office of chairman or amongst the other members, or
(b) by a defect in the appointment or any disqualification of a person as
chairman or another member of the OLC.
Delegation of functions
(1) The OLC may authorise—
(a) the chairman or any other member of the OLC,
(b) acommittee or sub-committee of the OLC,
(c) anombudsman, or
(d) amember of the OLC's staff appointed under paragraph 13,
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SCHEDULE 15 ~The Office for Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
23
24
25
26
to exercise, on behalf of the OLC, such of its functions, in such circumstances, as
it may determine.
(2) Sub-paragraph (1) does not apply to—
(a) the OLC's functions under section 118(1) (annual report),
(b) the OLC's functions under section 122 (appointment of Chief Ombudsman
and assistant ombudsmen),
(c) the OLC's functions under paragraph 20 or 23 of this Schedule, or
(d) any power or duty the OLC has to make rules under this Part of this Act.
(3) A committee may delegate functions (including functions delegated to the
committee) to—
(a) asub-committee,
(b) the chairman or any other member of the OLC,
(c) an ombudsman, or
(d) amember of the OLC's staff appointed under paragraph 13.
Budget
(1) The OLC must, before the start of each financial year, adopt an annual budget which
has been approved by the Board.
(2) The OLC may, with the approval of the Board, vary the budget for a financial year
at any time after its adoption.
(3) The annual budget must include an indication of—
(a) the distribution of resources deployed in the operation of the ombudsman
scheme, and
(b) the amounts of income of the OLC arising or expected to arise from the
operation of the scheme.
Land
(1) During the initial 5 year period, the OLC must not acquire or dispose of an interest
in land, except with the approval of the Lord Chancellor.
(2) The initial 5 year period is the period of 5 years beginning with the day on which the
appointment of the first Interim Chief Executive under paragraph 10 of Schedule 22
takes effect or the day on which the first appointment of a member of the OLC takes
effect, whichever first occurs.
Borrowing
(1) The OLC must not borrow money, except—
(a) with the consent of the Board, or
(b) in accordance with a general authorisation given by the Board.
(2) The Board may not consent or give a general authorisation for the purposes of sub-
paragraph (1), except with the consent of the Lord Chancellor.
Accounts
(1) The OLC must—
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SCHEDULE 15 ~ The Office for Legal Complaints
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) keep proper accounts and proper records in relation to the accounts, and
(b) prepare in respect of each financial year a statement of accounts.
(2) Each statement of accounts must comply with any directions given by the Lord
Chancellor, with the approval of the Treasury, as to—
(a) the information to be contained in it and the manner in which it is to be
presented;
(b) the methods and principles according to which the statement is to be
prepared;
(c) the additional information (if any) which is to be provided for the
information of Parliament.
(3) The OLC must give a copy of each statement of accounts to the Board before the
end of the month of August next following the financial year to which the statement
relates.
(4) The Board must give a copy of each statement received under sub-paragraph (3)—
(a) to the Lord Chancellor, and
(b) to the Comptroller and Auditor General.
(5) The Comptroller and Auditor General must—
(a) examine, certify and report on each statement of accounts which is received
under sub-paragraph (4), and
(b) give a copy of the Comptroller and Auditor General's report to the Lord
Chancellor.
(6) In respect of each financial year, the Lord Chancellor must lay before Parliament a
document consisting of—
(a) acopy of the statement of accounts for that year, and
(b) acopy of the Comptroller and Auditor General's report on that statement.
(7) “Financial year” means—
(a) the period beginning with the day on which the OLC is established and
ending with the next following 31 March, and
(b) each successive period of 12 months.
Status
27 (1) The OLC is not to be regarded—
(a) as the servant or agent of the Crown, or
(b) as enjoying any status, immunity or privilege of the Crown.
(2) Accordingly—
(a) the OLC's property is not to be regarded as property of or held on behalf of
the Crown, and
(b) the staff appointed under paragraph 13 are not to be regarded as servants or
agents of the Crown or as enjoying any status, immunity or privilege of the
Crown.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Application of seal and proof of instruments
28 The application of the seal of the OLC is to be authenticated by the signature of any
member of the OLC, or of its staff, who has been authorised (whether generally or
specifically) by the OLC for the purpose.
29 Any contract or instrument which, if entered into or executed by an individual,
would not need to be under seal, may be entered into or executed on behalf of the
OLC by any person who has been authorised (whether generally or specifically) by
the OLC for the purpose.
30 A document purporting to be duly executed under the seal of the OLC, or signed
on its behalf—
(a) _ is to be received in evidence, and
(b) _ is to be taken to be executed or signed in that way, unless the contrary is
proved.
Disqualification
31 (1) In Part 2 of Schedule 1 to the House of Commons Disqualification Act 1975 (c. 24)
(bodies of which all members are disqualified) at the appropriate place insert— “
The Office for Legal Complaints. ”
(2) In Part 3 of that Schedule (other disqualifying offices) at the appropriate place insert
— “The Chief Ombudsman or an assistant ombudsman appointed under section 122
of the Legal Services Act 2007 (Chief Ombudsman and assistant ombudsmen
appointed for the purposes of the ombudsman scheme). ”
(3) In Part 2 of Schedule I to the Northern Ireland Assembly Disqualification Act 1975
(c. 25) (bodies of which all members are disqualified) at the appropriate place insert
—“ The Office for Legal Complaints. ”
(4) In Part 3 of that Schedule (other disqualifying offices) at the appropriate place insert
— “The Chief Ombudsman or an assistant ombudsman appointed under section 122
of the Legal Services Act 2007 (Chief Ombudsman and assistant ombudsmen
appointed for the purposes of the ombudsman scheme). ”
Freedom of information
32 In Part 6 of Schedule I to the Freedom of Information Act 2000 (c. 36) (other public
bodies and offices which are public authorities) at the appropriate place insert— “
The Office for Legal Complaints. ”
Public records
33 In Schedule 1 to the Public Records Act 1958 (c. 51) (definition of public records)
at the appropriate place in Part 2 of the Table at the end of paragraph 3 insert— “
The Office for Legal Complaints. ”
Exemption from liability in damages
34 (1) This paragraph applies to—
(a) the OLC,
(b) amember of the OLC,
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(c) an ombudsman, and
(d) amember of the OLC's staff appointed under paragraph 13.
(2) A person to whom this paragraph applies is not liable in damages for anything done
or omitted in the exercise or purported exercise of the functions conferred on the
person concerned by or by virtue of this or any other enactment.
(3) But sub-paragraph (2) does not apply—
(a) if it is shown that the act or omission was in bad faith, or
(b) so as to prevent an award of damages made in respect of an act or omission
on the ground that the act or omission was unlawful as a result of section 6(1)
of the Human Rights Act 1998 (c. 42).
SCHEDULE 16 Section 177
THE LAW SOCIETY, SOLICITORS, RECOGNISED BODIES AND FOREIGN LAWYERS
Part 1
THE SOLICITORS ACT 1974 (C. 47)
1 The Solicitors Act 1974 is amended in accordance with this Part of this Schedule.
Commencement Information
1332 Sch. 16 para. 1 in force at 7.3.2008 by S.I. 2008/222, art. 2(j)(i)
2 In section 1A (practising certificates: employed solicitors)—
(a) omit “or” at the end of paragraph (b),
(b) _ in paragraph (c) omit “by the Council of the Law Society”, and
(c) at the end of that paragraph insert “or
(d) by any other person who, for the purposes of the Legal
Services Act 2007, is an authorised person in relation to
an activity which is a reserved legal activity (within the
meaning of that Act).”
Commencement Information
1333. Sch. 16 para. 2(b) in force at 7.3.2008 by S.I. 2008/2:
1.1.2010 by S.I. 2009/3250, art. 2(f)(ii) (with art. 9)
art. 2()(); Sch. 16 para, 2(a)(c) in force at
F186
Textual Amendments
F156 Sch. 16 para. 3 repealed (1.11.2015) by The Legal Servi
of Functions) Order 2015 (S.I. 2015/401), arts. 1(3), 3(3)
‘Act 2007 (The Law Society) (Modification
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
285
4 In section 2 (training regulations)—
(a) in subsection (1) omit “, with the concurrence of the Secretary of State, the
Lord Chief Justice and the Master of the Rolls,”,
(b) in subsection (3)(a)—
(i) in sub-paragraph (i) omit “, whether by service under articles or
otherwise,”,
(ii) in sub-paragraph (v) omit “articles may be discharged or”, and
(iii) in that sub-paragraph after “be” (in the second place) insert “
started or ”, and
(c) omit subsections (4) and (5).
Commencement Information
1334. Sch. 16 para. 4(b) in force at 7.3.2008 by S.1. 2008/22, art. 2(j)(i); Sch. 16 para. 4(a)(c) in force at
1.1.2010 by S.1. 2009/3250, art. 2(f)(ii) (with art. 9)
5 In section 3 (admission as solicitor), in subsection (2)—
(a) for “Master of the Rolls” (in each place) substitute “ Society ”, and
(b) for “his” substitute “ its ”.
Commencement Information
1335. Sch. 16 para. 5 in force at 1.7.2009 by S.. 2009/1365, art. 2(a)(i)
6 In section 6 (keeping of the roll) omit subsections (2) to (4).
Commencement Information
1336 Sch. 16 para. 6 in force at 1.7.2009 by S.1. 2009/1365, art. 2(a)(i)
7 In section 7 (entry of name and restoration of name struck off)—
(a) for paragraph (a) substitute—
“(a) of written evidence of admission of any person as a
solicitor by the Society,”, and
(b) for “Council” substitute “ Society ”.
Commencement Information
1337 Sch. 16 para. 7(b) in force at 7.3.2008 by S.1. 2008/22, art. 2(j)(i); Sch. 16 para. 7(a) in force at 1.7.2009
by S.I. 2009/1365, art. 2(a)(i)
8 (1) Section 8 (removal or restoration of name at solicitor’s request) is amended as
follows.
(2) In subsection (2) for “Council” substitute “ Society ”.
(3) In subsection (4) for “Master of the Rolls” substitute “ High Court ”.
(4) After that subsection insert—
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“(4A) In relation to an appeal under subsection (4) the High Court may make such
order as it thinks fit as to payment of costs.
(4B) The decision of the High Court on an appeal under subsection (4) shall be
final.”
(5) Omit subsection (5).
Commencement Information
1338 Sch. 16 para. 8(1)(2) in force at 7.3.2008 by S.I. 2008/222, art. 2(j)(i); Sch. 16 para. 8(3)-(5) in force at
1.7.2009 by S.1. 2009/1365, art. 2(a)(iii) (subject to art. 4)
9 For sections 9 and 10 (applications for and issue of practising certificates)
substitute—
“9 Applications for practising certificates
(1) A person whose name is on the roll may apply to the Society to be issued
with a practising certificate.
(2) An application under this section may include an application for a sole
solicitor endorsement.
(3) An application under this section must be—
(a) made in accordance with regulations under section 28, and
(b) accompanied by the appropriate fee.
(4) “The appropriate fee”, in relation to an application, means—
(a) any fee payable under subsection (1) of section 11 in respect of the
practising certificate applied for, and
(b) any additional fee payable under subsection (4) of that section in
respect of the application.
10 The issue of practising certificates
(1) Subject to the following provisions of this section, where an application
is made in accordance with section 9, the Society must issue a practising
certificate to the applicant if it is satisfied that the applicant—
(a) is not suspended from practice, and
(b) is complying with any prescribed requirements imposed on the
applicant.
(2) A practising certificate issued to an applicant of a prescribed description
must be issued subject to any conditions prescribed in relation to applicants
of that description.
(3) In such circumstances as may be prescribed, the Society must, if it considers
it is in the public interest to do so—
(a) refuse to issue a practising certificate under this section, or
(b) where it decides to issue a practising certificate, issue it subject to
one or more conditions.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) The conditions which may be imposed include—
(a) conditions requiring the person to whom the certificate is issued
to take specified steps that will, in the opinion of the Society,
be conducive to the carrying on by that person of an efficient
practice as a solicitor (including, if the certificate has a sole solicitor
endorsement, an efficient practice as a sole solicitor);
(b) conditions which prohibit that person from taking any specified
steps, except with the approval of the Society.
(5) In this section —
“prescribed” means prescribed by regulations under section 28;
“specified”, in relation to a condition imposed on a practising
certificate, means specified in the condition.”
Commencement Information
1339 Sch. 16 para. 9 in force at 1.7.2009 by S.I. 2009/1365, art. 2(a)(i)
10 After section 10 (as inserted by paragraph 9) insert—
“10A Register of holders of practising certificates
(1) The Society must keep a register of all solicitors who hold practising
certificates.
(2) The register must contain—
(a) _ the full name of each solicitor who holds a practising certificate,
(b) in relation to each solicitor who holds a practising certificate, a
statement as to whether there is in force a sole solicitor endorsement,
and
(c) such other information as may be specified in regulations under
section 28(1)(d).”
Commencement Information
1340 Sch. 16 para. 10 in force at 1.7.2009 by S.I. 2009/1365, art. 2(a)(i)
ll For section 11 (fee payable on issue of practising certificate) substitute—
“11 Fee payable on issue of practising certificates
(1) Before a practising certificate is issued, there must be paid to the Society in
respect of the certificate a fee of such amount as the Society may from time
to time determine.
(2) Different fees may be specified for different categories of applicant and in
respect of different circumstances.
(3) Subsection (4) applies where a solicitor makes an application for a practising
certificate if—
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288 Legal Services Act 2007 (¢. 29)
SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) _ the solicitor has failed to deliver an accountant's report required by
rules under section 34(1) by such time or in such circumstances as
may be prescribed by those rules, and
(b) a practising certificate has not been issued by the Society to the
solicitor since the Society became aware of the failure.
(4) Where this subsection applies, the solicitor's application must be
accompanied by an additional fee of such amount as the Society from time
to time determines.”
Commencement Information
1341 Sch. 16 para. 11 wholly in force at 1.7.2009, see s. 211 and S.1. 2009/1365, art. 2(a)(ii) (subject to art. 3)
12 Omit section 12 (discretion of Society with respect to issue of practising certificates
in special cases).
Commencement Information
1342 Sch. 16 para. 12 in force at 1.7.2009 by S.1. 2009/1365, art. 2(a)(i)
13 Omit section 12A (additional fee payable by certain solicitors on applying for
practising certificates).
Commencement Information
1343. Sch. 16 para. 13 in force at 1.7.2009 by S.I. 2009/1365, art. 2(a)(i)
14 For section 13 (appeals in connection with issue of practising certificates)
substitute—
“13 Appeals etc in connection with the issue of practising certificates
(1) A person who makes an application under section 9 may appeal to the High
Court against—
(a) a decision to refuse the application for a practising certificate,
(b) if the application included an application for a sole solicitor
endorsement, a decision to refuse the application for the
endorsement, or
(c) adecision to impose a condition on a practising certificate issued in
consequence of the application.
(2) A person who holds a practising certificate subject to a condition within
section 10(4)(b) may appeal to the High Court against any decision by the
Society to refuse to approve the taking of any step for the purposes of that
condition.
(3) The Society may make rules which provide, as respects any application
under section 9 that is neither granted nor refused by the Society within such
period as may be specified in the rules, for enabling an appeal to be brought
under this section in relation to the application as if it had been refused by
the Society.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) On an appeal under subsection (1), the High Court may—
(a) affirm the decision of the Society,
(b) direct the Society to make a sole solicitor endorsement on the
applicant's practising certificate and to issue that certificate subject
to such conditions (if any) as the High Court may think fit,
(c) direct the Society to issue a certificate to the applicant free from
conditions or subject to such conditions as the High Court may think
fit,
(d) direct the Society not to issue a certificate,
(ce) if. certificate has been issued, by order suspend it,
(f) _ ifthe certificate has been endorsed with a sole solicitor endorsement,
by order suspend the endorsement, or
(g) make such other order as the High Court thinks fit.
(5) On an appeal under subsection (2), the High Court may—
(a) affirm the decision of the Society,
(b) direct the Society to approve the taking of one or more steps for the
purposes of a condition within section 10(4)(b), or
(c) make such other order as the High Court thinks fit.
(6) In relation to an appeal under this section the High Court may make such
order as it thinks fit as to payment of costs.
(7) The decision of the High Court on an appeal under subsection (1) or (2) shall
be final.”
Commencement Information
1344 Sch. 16 para. 14 wholly in force at 1.7.2009 see s. 211 and S.I. 2009/1365, art. 2(a)(iii) (subject to art. 4)
FISTS
Textual Amendments
F157 Sch. 16 para, 15 repealed (1.11.2015) by The Legal Services Act 2007 (The Law Society) (Modification
of Functions) Order 2015 (S.1. 2015/401), arts. 1(3), 33)
16 (1) Section 13A (imposition of conditions while practising certificates are in force) is
amended as follows.
(2) For subsections (2) to (5) substitute—
“(2) The power conferred by subsection (1) is exercisable in relation to a solicitor
at any time during the period for which the solicitor's current certificate is
in force if—
(a) under section 13ZA the Society grants a sole solicitor endorsement,
or
(b) it appears to the Society that the case is of a prescribed description.
(3) “Prescribed” means prescribed by regulations under section 28.”
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290 Legal Services Act 2007 (¢. 29)
SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) In subsection (6) for “Master” to the end substitute “ High Court against the decision
of the Society. ”
(4) In subsection (7)—
(a) _ for “Master of the Rolls” (in both places) substitute “ High Court ”, and
(b) for “he” substitute “it”.
(5) After that subsection insert—
“(7A) The decision of the High Court on an appeal under subsection (6) shall be
final.”
(6) For subsection (8) substitute—
“(8) Subsections (4) and (5) of section 10 apply for the purposes of subsection (1)
of this section as they apply for the purposes of that section.”
(7) After that subsection insert—
“(9) A solicitor who holds a practising certificate subject to a condition imposed
under subsection (1) which prohibits that solicitor from taking any steps
specified in the condition, except with the approval of the Society, may
appeal to the High Court against any decision by the Society to refuse to
approve the taking of any step for the purposes of that condition.
(10) On an appeal under subsection (9), the High Court may—
(a) affirm the decision of the Society,
(b) direct the Society to approve the taking of one or more steps for the
purposes of the condition, or
(c) make such other order as the High Court thinks fit.
(11) The decision of the High Court on an appeal under subsection (9) shall be
final.
(12) In relation to an appeal under this section the High Court may make such
order as it thinks fit as to payment of costs.”
Commencement Information
1345. Sch. 16 para. 16 wholly in force at 1.7.2009 see s. 211 and S.1. 2009/1365, art. 2(a)(iii) (subject to art. 4)
17 In section 13B (suspension of practising certificates where solicitors convicted of
fraud or serious crime)—
MUS), srcwaims + semaines tamane ss seams s se
MIB) cemass ss cauans s susieaesssamass ssc
(c) in subsection (7) for “Master of the Rolls” substitute “ High Court”,
(d) in subsection (8)—
(i) for “Master of the Rolls” (in both places) substitute “ High Court”,
ead (1) ee ee ee
(iii) in paragraph (d) for “he” substitute “ it ”, and
(e) after that subsection insert—
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“(9) In relation to an appeal under subsection (7) the High Court may
make such order as it thinks fit as to payment of costs.
(10) The decision of the High Court on an appeal under subsection (7)
shall be final.”
Textual Amendments
F158 Sch. 16 para. 17(a)(b) repealed (1.11.2015) by The Legal Services Act 2007 (The Law Society)
(Modification of Functions) Order 2015 (S.I. 2015/401), arts. 1(3), 3(3)
F159 Sch. 16 para. 17(d)(ii) repealed (1.11.2015) by The Legal Services Act 2007 (The Law Society)
(Modification of Functions) Order 2015 (S.1. 2015/401), arts. 1(3), 3(3)
Commencement Information
1346 Sch. 16 para. 17 wholly in force at 1.7.2009 see s. 211 and S.I. 2009/1365, art. 2(a)(iii) (subject to art. 4)
18 Omit section 14 (commencement, expiry and replacement of practising
certificates).
Commencement Information
1347 Sch. 16 para. 18 in force at 1.7.2009 by S.I. 2009/1365, art. 2(a)(i)
19 In section 15 (suspension of practising certificates), in subsection (1A)—
(a) after “6(1)” insert“, 6A(1) ”,
(b) after “1(1)(a)(i),” insert “ (aa), ”, and
(c) after “section” insert “31 or”.
Commencement Information
1348 Sch. 16 para. 19 in force at 1.7.2009 by S.I. 2009/1365, art. 2(a)(i)
20 (1) Section 16 (duration of suspension of practising certificates) is amended as follows.
(2) For subsection (1) substitute—
“(1) Where a practising certificate is suspended, it expires on such date as may
be prescribed by regulations under section 28.”
(3) In subsection (3)(c) for “the replacement date of the certificate” substitute “ the date
on which his certificate will expire ”.
(4) In subsection (5)—
(a) for “Master of the Rolls, who” substitute “ High Court, which ”, and
(b) in paragraph (b) for “he” substitute “ it”.
(5) After that subsection insert—
“(6) In relation to an appeal under subsection (5) the High Court may make such
order as it thinks fit as to payment of costs.
(7) The decision of the High Court on an appeal under subsection (5) shall be
final.”
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y
is}
Legal Services Act 2007 (¢. 29)
SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1349 Sch. 16 para. 20 wholly in force at 1.7.2009 see s. 211 and S.1. 2009/1365, art. 2(a)(iii) (subject to art. 4)
21 In section 17 (publicity in relation to suspension of practising certificates), in
subsections (1) and (2) omit “in the London Gazette”.
Commencement Information
1350 Sch. 16 para. 21 in force at 7.3.2008 by S.I. 2008/
art. 2) (0)
a)
Textual Amendments
F160. Sch. 16 para. 22 repealed (1.11.2015) by The Legal Services Act 2007 (The Law Society) (Modification
of Functions) Order 2015 (S.I. 2015/401), arts. 1(3), 3(3)
23 For section 18 (evidence as to holding of practising certificates) substitute—
“18 Extracts from the roll or register etc as evidence
(1) An extract from the roll, or an extract from the register kept under
section 10A, which is certified as correct by the Society is evidence of the
matters mentioned in it.
(2) A certificate from the Society stating that—
(a) aperson's name is or was on the roll, or
(b) aperson is or was registered in the register kept under section 10A,
is evidence of the matters stated.”
Commencement Information
1351 Sch. 16 para. 23 in force at 1.7.2009 by S.I. 2009/1365, art. 2(a)(i)
24 Omit section 19 (rights of practising and rights of audience).
Commencement Information
1352. Sch. 16 para. 24 in force at 1.1.2010 by S.I. 2009/3250, art.2(f(ii)
25 For section 20 (unqualified person not to act as solicitor) substitute—
“20 Unqualified person not to act as solicitor
(1) No unqualified person is to act as a solicitor.
(2) Any person who contravenes subsection (1) is guilty of an offence and liable
on conviction on indictment to imprisonment for not more than 2 years or
to a fine, or to both.”
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SCHEDULE 16 ~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1353 Sch. 16 para. 25 in force at 1.1.2010 by S.1. 2009/3250, art.2((ii)
26 Omit—
(a) _ sections 22 and 22A (unqualified person not to prepare certain instruments
etc), and
(b) section 23 (unqualified person not to prepare papers for probate etc).
Commencement Information
1354 Sch. 16 para. 26 wholly in force at 1.1.2010, see s. 211 and $.1. 2009/3250, art. 2(f)(ii) (subject to art
5 and with art. 9)
27 In section 24 (application of penal provisions to body corporate), in subsection (2)
from “sections” to the end substitute “ section 20 the reference to an unqualified
person and the reference to a person both include a reference to a body corporate. ”
Commencement Information
1355. Sch. 16 para. 27 wholly in force at 1.1.2010, see s. 211 and S.1. 2009/3250, art. 2(f(ii) (subject to art.
5 and with art. 9)
28 In section 26 (time limit for commencement of certain proceedings) omit “, 22 or
23”.
Commencement Information
1356 Sch. 16 para. 28 wholly in force at 1.1.2010, see s. 211 and S.1. 2009/3250, art. 2(f)(ii) (subject to art
5 and with art. 9)
29 Omit section 27 (saving for persons authorised to conduct legal proceedings).
Commencement Information
1357 Sch. 16 para. 29 in force at 1.1.2010 by S.I. 2009/3250, art.2(f)
30 (1) Section 28 (regulations) is amended as follows.
(2) In subsection (1)—
(a) for “Master of the Rolls” substitute “ Society ”,
(b) omit “, with the concurrence of the Secretary of State and the Lord Chief
Justice,”,
(c) in paragraph (c) omit “and applications for them”,
Flot) mee: femmes $s sown ss:
(ec) in paragraph (d) for “section 9” substitute “ section 10A ”.
(3) Omit subsections (2) and (3).
(4) In subsection (3A)—
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294
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SCHEDULE 16 ~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status:
This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) for “may—” insert “may (among other things)—
(za) make provision about the form in which the roll is to be kept
and the manner in which entries are to be made, altered and
removed;”,
(b) omit “and” at the end of paragraph (b), and
(c) after paragraph (d) insert—
“(e) require the information on the roll to be made available to
the public;
(f) specify the manner in which information is to be made so
available and require it to be made so available during office
hours and without charge.”
(5) After that subsection insert—
“(3B) Regulations about practising certificates or sole solicitor endorsements may
(among other things) —
(a)
(b)
(c)
(©)
@
(g)
(hy
@
@
(k)
prescribe the form and manner in which applications for, or relating
to, practising certificates or sole solicitor endorsements are to be
made;
prescribe information which must be included in or accompany such
applications;
make provision about time limits for dealing with such applications,
and confer on a person power to extend or bring forward such a time
limit in prescribed circumstances;
prescribe the requirements which applicants for practising
certificates must satisfy before they may be issued with a practising
certificate;
prescribe descriptions of applicants, and conditions in relation
to them, for the purposes of section 10(2) (circumstances in
which practising certificates must be issued subject to prescribed
conditions);
prescribe descriptions of applicants, and conditions in relation to
them, for the purposes of section 13ZA(5) (circumstances in which
a practising certificate endorsed with a sole solicitor endorsement
after it was issued must be made subject to prescribed conditions);
prescribe circumstances for the purposes of section 10(3)
(circumstances in which application may be refused ete in the public
interest);
make provision about when conditions imposed on practising
certificates take effect (including provision conferring power on
the Society to direct that a condition is not to have effect until the
conclusion of any appeal in relation to it);
make provision for the commencement, duration, replacement,
withdrawal and expiry of practising certificates or sole solicitor
endorsements;
prescribe circumstances for the purposes of section 13A(2)
(circumstances in which conditions can be imposed during period
of practising certificate);
require solicitors who hold practising certificates to notify the
Society of such matters as may be prescribed, at such times, or in
such circumstances as may be prescribed.
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Legal Services Act 2007 (c. 29) 295
SCHEDULE 16 ~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3C) Regulations about the keeping of the register under section 10A may (among
other things)—
(a) make provision about the form in which the register is to be kept and
the manner in which entries are to be made, altered and removed;
(b) require information of a specified kind to be included in entries in
the register;
(c) require information (or information of a specified description) on
the register to be made available to the public;
(d) _ specify the manner in which it is to be made so available and require
it to be made so available during office hours and without charge.
(3D) Regulations under this section may make provision for appeals to the High
Court against decisions made by the Society under the regulations.
(3E) In relation to an appeal under regulations made by virtue of subsection (3D),
the High Court may make such order as it thinks fit as to payment of costs.
(3F) The decision of the High Court on such an appeal shall be final.
(3G) Regulations under this section may—
(a) provide for a person to exercise a discretion in dealing with any
matter;
(b) include incidental, supplementary and consequential provision;
(c) make transitory or transitional provision and savings;
(d) make provision generally or only in relation to specified cases or
subject to specified exceptions;
(e) make different provision for different cases.”
(6) Omit subsections (4) and (5).
Textual Amendments
F161 Sch. 16 para. 30(2)(d) repealed (1.11.2015) by The Legal Services Act 2007 (The Law Society)
(Modification of Functions) Order 2015 (S.1. 2015/401), arts. 1(3), 3(3)
Commencement Information
1358 Sch. 16 para. 30 wholly in force at 1.7.2009 see s. 211 and S.I. 2009/1365, art. 2(a)(iv) (subject to arts.
3,4)
31 (1) Section 31 (rules as to professional practice, conduct and discipline) is amended as
follows.
(2) In subsection (1)—
(a) for “Council may, if they think fit,” substitute “ Society may ”,
(b) omit “, with the concurrence of the Master of the Rolls,”,
(c) after “conduct” insert “ , fitness to practise ”,
(d) for “Council” (in the second place) substitute “ Society ”, and
(e) after “being” insert “ , or have been, ”.
(3) After that subsection insert—.
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296 Legal Services Act 2007 (¢. 29)
SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“(1A) The powers conferred on the Society by subsection (1) include power to
make, in relation to solicitors, provision of a kind which the Society would be
prohibited from making but for section 157(5)(c) of the Legal Services Act
2007 (exception from prohibition on approved regulators making provision
for redress).”
(4) Omit subsections (3) and (4).
Commencement Information
1359 Sch. 16 para. 31(1)(2)(a)(d) in force at 7.3.2008 by S.L. 2008/222, art. 2(j)(i); Sch. 16 para. 31(2)(c)(e)
in force at 31.3.2009 by S.I. 209/503, art. 2(b)(i); Sch. 16 para. 31(2)(b)(3)(4) in force at 1.1.2010 by
S.L 2009/3250, art. 2(f)(ii) (with art. 9)
32 (1) Section 32 (accounts rules and trust accounts rules) is amended as follows.
(2) In subsection (1)—
(a) for “Council” (in the first place) substitute “ Society ”,
(b) omit “, with the concurrence of the Master of the Rolls”,
(c) for paragraphs (a) and (b) substitute—
“(a) as to the opening and keeping by solicitors of accounts
at banks or with building societies for money within
subsection (1A);
(aa) as to the operation by solicitors of accounts kept by their
clients or other persons at banks or with building societies
or other financial institutions;
(b) as to the keeping by solicitors of accounts containing
information as to money received, held or paid by them for
or on account of their clients or other persons (including
money received, held or paid under a trust); and”,
(d) in paragraph (c) of that subsection—
(i) for “Council” substitute “ Society ”,
(ii) for “them” substitute “ it ”, and
(iii) after “being” insert “ , or have been, ”, and
(e) omit from “and the rules” to the end.
(3) After that subsection insert—
“(1A) The money referred to in subsection (1) is money (including money held on
trust) which is received, held or dealt with for clients or other persons.”
(4) Omit subsection (2).
(5) In subsection (4)—
(a) for “Council” substitute “ Society ”,
(b) omit “or (2)”, and
(c) after “solicitor” (in both places) insert “ or any of his employees ”.
(6) In subsection (5) for “by virtue” to the end substitute “ or a part of the rules. ”
(7) Omit subsection (6).
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SCHEDULE 16 ~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1360 Sch. 16 para. 32(1)(2)(a)(c)-(e)(3)-(7) in force at 31.3.2009 by S.I. 2009/503, art. 2(b)(i); Sch. 16 para.
32(2)(b) in force at 1.1.2010 by S.I. 2009/3250, art. 2(f)(ii) (with art. 9)
33. (1) Section 33 (interest on clients' money) is amended as follows.
(2) For subsection (1) substitute—
“(1) Rules under section 32 may require a solicitor to pay interest, or sums in liew
of and equivalent to interest, to a client, any other person or any trust, for
whom the solicitor holds money.”
(3) In subsection (2), omit from “and the rules” to the end.
(4) For subsection (3) substitute—
“(3) Except as provided by the rules, a solicitor is not liable to account to any
client, other person or trust for interest received by the solicitor on money
held at a bank or building society in an account which is for money received
or held for, or on account of —
(a) _ the solicitor's clients, other persons or trusts, generally, or
(b) _ that client, person or trust, separately.”
(5) For subsection (4) substitute—
“(4) Rules under section 32 may—
(a) prescribe the circumstances in which a solicitor may make
arrangements to limit or exclude an obligation imposed on the
solicitor by rules made by virtue of this section, and
(b) prescribe the requirements to be met by and in relation to those
arrangements.”
Commencement Information
1361 Sch. 16 para. 33 in force at 31.3.2009 by S.I 2009/503, art. 2(b)(i)
34 (1) Section 33A (inspection of practice bank accounts etc) is amended as follows.
(2) In subsection (1)—
(a) for “Council” (in each place) substitute “ Society ”, and
(b) omit “, with the concurrence of the Master of the Rolls,”.
(3) In subsection (2) for “Council” substitute “ Society ”.
Commencement Information
1362. Sch. 16 para. 34(1)(2)(a)(3) in force at 7.3.2008 by S.1. 2008/22, art. 2(j)(i); Sch. 16 para. 34(2)(b) in
force at 1.1.2010 by S.1. 2009/3250, art. 2(f)(ii) (with art. 9)
35 (1) Section 34 (accountants' reports) is amended as follows.
(2) For subsections (1) to (SA) substitute—
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“(1) The Society may make rules requiring solicitors to provide the Society with
reports signed by an accountant (in this section referred to as an “accountant's
report”) at such times or in such circumstances as may be prescribed by the
tules.
(2) The rules may specify requirements to be met by, or in relation to, an
accountant's report (including requirements relating to the accountant who
signs the report).”
(3) In subsection (6) for “this section or of any rules made under it” substitute “ any rules
made under this section ”.
(4) Omit subsections (7) and (8).
(5) At the end insert—
“(9) Where an accountant, during the course of preparing an accountant's
report—
(a) discovers evidence of fraud or theft in relation to money held by a
solicitor for a client or any other person (including money held on
trust) or money held in an account of a client of a solicitor, or an
account of another person, which is operated by the solicitor, or
(b) obtains information which the accountant has reasonable cause
to believe is likely to be of material significance in determining
whether a solicitor is a fit and proper person to hold money for
clients or other persons (including money held on trust) or to operate
an account ofa client of the solicitor or an account of another person,
the accountant must immediately give a report of the matter to the Society.
(10) No duty to which an accountant is subject is to be regarded as contravened
merely because of any information or opinion contained in a report under
subsection (9).”
Commencement Information
1363 Sch. 16 para. 35 in force at 31.3.2009 by S.1 2009/503, art. 2(b)(i)
36 After section 34 insert—
“Sole solicitors
34A Employees of solicitors
(1) Rules made by the Society may provide for any rules made under section 31,
32, 33A or 34 to have effect in relation to employees of solicitors with such
additions, omissions or other modifications as appear to the Society to be
necessary or expedient.
(2) If any employee of a solicitor fails to comply with rules made under
section 31 or 32, as they have effect in relation to the employee by virtue of
subsection (1), any person may make a complaint in respect of that failure
to the Tribunal.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) If any employee of a solicitor fails to comply with rules made under
section 34, as they have effect in relation to the employee by virtue of
subsection (1), a complaint in respect of that failure may be made to the
Tribunal by or on behalf of the Society.
34B Employees of solicitors: accounts rules etc
(1) Where rules made under section 32(1) have effect in relation to employees
of solicitors by virtue of section 34A(1), section 85 applies in relation to an
employee to whom the rules have effect who keeps an account with a bank
or building society in pursuance of such rules as it applies in relation to a
solicitor who keeps such an account in pursuance of rules under section 32.
(2) Subsection (3) applies where rules made under section 32—
(a) contain any such provision as is referred to in section 33(1), and
(b) have effect in relation to employees of solicitors by virtue of
section 34A(1).
(3) Except as provided by the rules, an employee to whom the rules are applied
is not liable to account to any client, other person or trust for interest received
by the employee on money held at a bank or building society in an account
which is for money received or held for, or on account of—
(a) clients of the solicitor, other persons or trusts, generally, or
(b) _ that client, person or trust, separately.
(4) Subsection (5) applies where rules made under section 33A(1) have effect
in relation to employees of solicitors by virtue of section 34A(1).
(5) The Society may disclose a report on or information about the accounts of
any employee of a solicitor obtained in pursuance of such rules for use—
(a) in investigating the possible commission of an offence by the
solicitor or any employees of the solicitor, and
(b) in connection with any prosecution of the solicitor or any employees
of the solicitor consequent on the investigation.
(6) Where rules made under section 34 have effect in relation to employees of
solicitors by virtue of section 34A(1), section 34(9) and (10) apply in relation
to such an employee as they apply in relation to a solicitor.”
Commencement Information
1364 Sch. 16 para. 36 in force at 31.3.2009 by S.I 2009/503, art. 2(b)(i)
37 For section 36 (compensation fund) substitute—
“36 Compensation grants
(1) The Society may make rules concerning the grant of compensation by the
Society in respect of loss that a person has suffered, or is likely to suffer,
as a result of—
(a) anact or omission of a solicitor or former solicitor;
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) anact or omission of an employee or former employee of a solicitor
or former solicitor;
(c) the exercise by the Society of any of its powers under Part 2 of
Schedule 1.
(2) The rules may (among other things) make provision—
(a) as to the circumstances in which such grants may and may not be
made;
(b) as to the form and manner in which a compensation claim is to be
made;
(c) as to the procedure for determining compensation claims;
(d) for the making of grants in respect of a compensation claim before
it is finally determined;
(ce) for a grant to be made by way of loan in such circumstances and
on such terms as may be prescribed in, or determined in accordance
with, the rules;
(f) fora grant to be made by way of making good a deficiency in monies
held in trust by the Society under paragraph 6 or 6A of Schedule 1;
(g) as to the minimum and maximum grants payable in respect of a
compensation claim (or a claim of a prescribed description);
(h) forthe Society to be subrogated, to such extent as may be prescribed,
to any rights and remedies of a person to whom a grant is made in
relation to the loss in respect of which the grant is made.
(3) The circumstances which may be prescribed by virtue of subsection (2)(a)
include in particular—
(a) the nature of the loss;
(b) in a case within subsection (1)(a) or (b), the nature of the act or
omission.
(4) For the purposes of subsection (2)(f), there is a deficiency if the monies
mentioned in that subsection are insufficient to satisfy the claims of all
persons with a beneficial interest in the monies.
(5) The Society may prepare and publish guidance as to the criteria it will apply
in deciding whether to make a grant in respect of a compensation claim, or
any part of a compensation claim.
(6) Where the Society decides—
(a) not to make a grant in respect of a compensation claim or any part
of a compensation claim, or
(b) to make a grant of less than the amount claimed,
it must give reasons for its decision.
(7) Rules under subsection (1) which are not regulatory arrangements within
the meaning of the Legal Services Act 2007 are to be treated as such
arrangements for the purposes of that Act.
(8) In this section—
“compensation claim” means a claim for the Society to make a
grant of the kind mentioned in subsection (1);
“prescribed” means prescribed in rules under subsection (1).
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
36A Compensation funds
(1) Compensation rules may require or authorise the Society to establish or
maintain a fund or funds (“compensation funds”) for the purpose of making
grants in respect of compensation claims.
(2) Compensation rules may require solicitors, or solicitors of a description
prescribed in the rules, to make contributions to compensation funds of such
amounts, at such times and in such circumstances, as may be prescribed in
or determined in accordance with the rules.
(3) Any amount payable by virtue of such a requirement may be recovered as
a debt due to the Society.
(4) Subsection (2) does not apply to a solicitor who is a Crown Prosecutor.
(5) The Society may invest any money which forms part of a compensation fund
in any investments in which trustees may invest under the general power of
investment in section 3 of the Trustee Act 2000 (as restricted by sections 4
and 5 of that Act).
(6) The Society may insure with authorised insurers, in relation to compensation
funds, for such purposes and on such terms as it considers appropriate.
(7) The Society may, in such circumstances and subject to such conditions
as may be prescribed in or determined in accordance with compensation
rules—
(a) borrow for the purposes of a compensation fund;
(b) charge investments which form part of a compensation fund as
security for borrowing by the Society for the purposes of that fund.
(8) A compensation fund may be applied by the Society for the purposes
mentioned in subsection (9) (in addition to the making of grants in respect
of compensation claims).
(9) The purposes are—
(a) payment of premiums on insurance policies effected under
subsection (6);
(b) repayment of money borrowed by the Society for the purposes of
the fund and payment of interest on any money so borrowed;
(c) payment of any other costs, charges or expenses incurred by the
Society in establishing, maintaining, protecting administering or
applying the fund;
(d) payment of any costs, charges or expenses incurred by the Society
in exercising its powers under Part 2 of Schedule 1;
(ec) payment of any costs or damages incurred by the Society, its
employees or agents as a result of proceedings against it or them for
any act or omission of its or theirs in good faith and in the exercise
or purported exercise of such powers.
(10) In this section—
“compensation claim” has the same meaning as in section 36;
“compensation fund” has the meaning given by subsection (1);
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“compensation rules” means rules under section 36(1).”
Commencement Information
1365. Sch. 16 para. 37 wholly in force at 31.3.2009, see s. 211 and S.I. 2009/503, art. 2(b)(i) (subject to arts.
4,5)
38 In section 37 (professional indemnity} —
(a) in subsection (1) for “Council, with the concurrence of the Master of the
Rolls,” substitute “ Society ”, and
(b) in subsection (3)(h)—
(i) for “Council” substitute “ Society ”,
(ii) for “they consider” substitute “ it considers ”, and
(iii) after “being” insert “ , or have been, ”.
Commencement Information
1366 Sch. 16 para. 38(a) in force for certain purposes and Sch. 16 para. 38(b)(i)(ii) in force at 7.3.2008 by S.L
2008/22, art. 2(j)(i); Sch. 16 para. 38(b)(iii) in force at 30.6.2008 by S.I. 2008/1436, art. 2(d)(i); Sch.
16 para. 38(a) in force at 1.1.2010 by S.L. 2009/3250, art. 2(f)(ii)
39 Omit section 37A (redress for inadequate professional services).
Commencement Information
1367 Sch. 16 para. 39 in force at 6.10.2010 by S.I. 2010/2089, art. 2(b) (with art. 6)
40 Omit section 40 (solicitor not to commence or defend actions while in prison).
Commencement Information
1368 Sch. 16 para. 40 in force at 1.7.2009 by S.I. 2009/1365, art. 2(a)(i)
41 (J) Section 41 (employment by solicitor of person struck off or suspended) is amended
as follows.
(2) After subsection (1A) insert—
“(1B) Where—
(a) a solicitor (“the employed solicitor”) is employed by another
solicitor in accordance with a written permission granted under this
section, and
(b) the employed solicitor is disqualified from practising as a solicitor
by reason of a fact mentioned in subsection (1)(b) or (c),
section 20(1) does not apply in relation to anything done by the employed
solicitor in the course of that employment.”
(3) In subsection (3)—
(a) for “Master of the Rolls who” substitute “ High Court which ”, and
(b) _ in paragraph (b) for “he” substitute “ it”.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) In subsection (4) for “shall” to the end substitute “may—
(a) order that his name be struck off the roll,
(b) order that he be suspended from practice for such period as the
Tribunal or court thinks fit, or
(c) make such other order in the matter as it thinks fit.”
(5) After that subsection insert—
“(4A) In relation to an appeal under subsection (3) the High Court may make such
order as it thinks fit as to payment of costs.
(4B) The decision of the High Court on an appeal under subsection (3) shall be
final.”
(6) Omit subsection (5).
Commencement Information
1369 Sch. 16 para. 41(1)(2) in force at 31.3.2009 by S.1. 2009/503, art. 2(b)(i); Sch. 16 para. 41(3)-(6) in force
at 1.7.2009 by S.1. 2009/1365, art. 2(a)(iii) (subject to art. 4)
42 (1) Section 43 (control of solicitors' employees and consultants) is amended as follows.
(2) For subsections (1), (1A) and (2) substitute—
“(1) Where a person who is or was involved in a legal practice but is not a
solicitor—
(a) has been convicted of a criminal offence which is such that in the
opinion of the Society it would be undesirable for the person to be
involved in a legal practice in one or more of the ways mentioned
in subsection (1A), or
(b) _ has, in the opinion of the Society, occasioned or been a party to, with
or without the connivance of a solicitor, an act or default in relation
to a legal practice which involved conduct on his part of such a
nature that in the opinion of the Society it would be undesirable for
him to be involved in a legal practice in one or more of the ways
mentioned in subsection (1A),
the Society may either make, or make an application to the Tribunal for it to
make, an order under subsection (2) with respect to that person.
(1A) A person is involved in a legal practice for the purposes of this section if
the person—
(a) is employed or remunerated by a solicitor in connection with the
solicitor's practice;
(b) is undertaking work in the name of, or under the direction or
supervision of, a solicitor;
(c) is employed or remunerated by a recognised body;
(d) is employed or remunerated by a manager or employee of a
recognised body in connection with that body's business;
(e) is a manager of a recognised body;
(f) has or intends to acquire an interest in such a body.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) An order made by the Society or the Tribunal under this subsection is an
order which states one or more of the following—
(a) that as from the specified date—
(i) no solicitor shall employ or remunerate, in connection with
his practice as a solicitor, the person with respect to whom
the order is made,
(ii) no employee of a solicitor shall employ or remunerate,
in connection with the solicitor's practice, the person with
respect to whom the order is made,
(iii) no recognised body shall employ or remunerate that person,
and
(iv) no manager or employee of a recognised body shall employ
or remunerate that person in connection with the business
of that body,
except in accordance with a Society permission;
(b) that as from the specified date no recognised body or manager or
employee of such a body shall, except in accordance with a Society
permission, permit the person with respect to whom the order is
made to be a manager of the body;
(c) that as from the specified date no recognised body or manager or
employee of such a body shall, except in accordance with a Society
permission, permit the person with respect to whom the order is
made to have an interest in the body.
(2A) The Society may make regulations prescribing charges to be paid to the
Society by persons who are the subject of an investigation by the Society as
to whether there are grounds for the Society—
(a) to make an order under subsection (2), or
(b) to make an application to the Tribunal for it to make such an order.
(2B) Regulations under subsection (2A) may—
(a) make different provision for different cases or purposes;
(b) provide for the whole or part of a charge payable under the
regulations to be repaid in such circumstances as may be prescribed
by the regulations.
(2C) Any charge which a person is required to pay under regulations under
subsection (2A) is recoverable by the Society as a debt due to the Society
from the person.”
(3) In subsection (5) omit—
(a) “by any solicitor”, and
(b) the words from “but” to the end.
(4) After that subsection insert—
“(SA) In this section—
“manager”, in relation to a recognised body, has the same
meaning as it has in relation to a body in the Legal Services Act
2007 (see section 207 of that Act);
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“recognised body” means a body recognised under section 9 of
the Administration of Justice Act 1985;
“specified date” means such date as may be specified in the order;
“Society permission” means permission in writing granted by the
Society for such period and subject to such conditions as the Society
may think fit to specify in the permission.
(5B) A person has an interest in a recognised body for the purposes of this section
if the person has an interest in that body within the meaning of Part 5 of the
Legal Services Act 2007 (see sections 72 and 109 of that Act).”
Commencement Information
1370 Sch. 16 para. 42 wholly in force at 31.3.2009, see s. 211 and S.1. 2009/503, art. 2(b)(i) (subject to art. 4)
43 In section 44 (offences in connection with orders under section 43(2))—
(a) for subsection (1) substitute—
“(1) It is an offence for a person in respect of whom there is in force
an order under section 43(2) which contains provision within
section 43(2)(a)—
(a) to seek or accept any employment or remuneration from a
solicitor, or an employee of a solicitor, in connection with
the practice carried on by that solicitor without previously
informing the solicitor or employee of the order;
(b) to seek or accept any employment or remuneration from
a recognised body, or a manager or employee of a
recognised body, in connection with that body's business,
without previously informing the body, or manager or
employee, of the order.
(1A) It is an offence for a person in respect of whom there is in force
an order under section 43(2) which contains provision within
section 43(2)(b) to seek or accept a position as a manager of a
recognised body, without previously informing that body of the
order.
(1B) It is an offence for a person in respect of whom there is in force
an order under section 43(2) which contains provision within
section 43(2)(c) to seek or accept an interest in a recognised body
from any person, without previously informing that person and (if.
different) the recognised body of the order.
(IC) A person guilty of an offence under subsection (1), (1A) or (1B)
is liable on summary conviction to a fine not exceeding level 3 on
the standard scale.”,
(b) insubsection (2) for “the employment of that person” substitute “ the taking
of any action ”, and
(c) after subsection (4) insert—
“(5) In this section—
“manager” has the same meaning as in section 43;
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“recognised body” means a body recognised under section 9
of the Administration of Justice Act 1985;
and for the purposes of subsection (1B) a person secks or accepts
an interest in a recognised body if the person seeks or accepts an
interest which if it were obtained by the person would result in the
person having an interest in that body within the meaning of Part
5 of the Legal Services Act 2007 (see sections 72 and 109 of that
Act).”
Commencement Information
1371 Sch. 16 para. 43 in force at 31.3.2009 by S.I 2009/503, art. 2(b)(i)
44 For section 44B (examination of files) substitute—
“44B Provi
(1) The Society may by notice require a person to whom this section applies—
(a) to provide information, or information of a description, specified in
the notice, or
(b) produce documents, or documents of a description, specified in the
notice.
ion of information and documents by solicitors etc
(2) This section applies to—
(a) asolicitor;
(b) anemployee of a solicitor;
(c) arecognised body;
(d) an employee or manager of, or a person with an interest in, a
recognised body.
(3) The Society may give a notice under this section only if it is satisfied that it
is necessary to do so for the purpose of investigating—
(a) whether there has been professional misconduct by a solicitor;
(b) whether a solicitor, or an employee of a solicitor, has failed to
comply with any requirements imposed by or by virtue of this Act
or any rules made by the Society;
(c) whether a recognised body, or any of its managers or employees has
failed to comply with any requirement imposed by or by virtue of
the Administration of Justice Act 1985 or any rules made by the
Society and applicable to the body, manager or employee by virtue
of section 9 of that Act;
(d) whether there are grounds for making, or making an application to
the Tribunal for it to make, an order under section 43(2) with respect
to a person who is or was involved in a legal practice (within the
meaning of section 43(1A)).
(4) A notice under this section—
(a) may specify the time and place at which, and manner and form
in which, the information is to be provided or document is to be
produced;
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) must specify the period within which the information is to be
provided or the document produced;
(c) may require the information to be provided or document to be
produced to the Society or to a person specified in the notice.
(5) The Society may pay to any person such reasonable costs as may be incurred
by that person in connection with the provision of any information, or
production of any document, by that person pursuant to a notice under this
section.
(6) Paragraphs 9(3) and (4) and 13, 15 and 16 of Schedule I apply in relation
to the powers to obtain information conferred by this section, but for this
purpose—
(a) paragraph 9 of that Schedule has effect as if—
(i) in sub-paragraph (3) for “such documents” there were
substituted “ information to which a notice given to him
under section 44B applies ”,
(ii) in that sub-paragraph for “sub-paragraph (1)” there were
substituted “ the notice ”, and
(iii) in sub-paragraph (4) for “produce” (in the first place) to the
end there were substituted “ provide information pursuant
to a notice under section 44B to provide the information to
any person appointed by the Society at such time and place
as may be specified in the order. ”, and
(b) the reference to the solicitor or his personal representative in
paragraph 13 of that Schedule is to be construed as a reference to
the person to whom the notice was given under this section.
(7) Paragraphs 9 (other than sub-paragraphs (1) and (3)), 12, 13, 15 and 16 of
Schedule I apply in relation to the powers to obtain documents conferred by
this section as they apply in relation to the powers conferred by paragraph
9(1) of that Schedule, except that for this purpose—
(a) any reference in paragraph 9 of that Schedule to a person appointed,
or to a requirement, under sub-paragraph (1) of that paragraph is to
be construed as a reference to a person appointed, or to a requirement
to produce documents, under this section,
(b) any reference in that paragraph to any such documents as are
mentioned in paragraph 9(1) of that Schedule is to be construed as
a reference to any documents to which a notice under this section
applies,
(c) the references to the solicitor or his firm in paragraph 9(5) and
(6) of that Schedule, and the reference to the solicitor or personal
representative in paragraph 9(7) of that Schedule, are to be construed
as references to the person to whom the notice was given under this
section, and
(d) _ the reference in paragraph 9(12) of that Schedule to the Society is
to be construed as including a reference to a person specified under
subsection (4)(c).
(8) Where powers conferred by Part 2 of Schedule 1 to the 1974 Act are
exercisable in relation to a person within paragraph (a), (b), (c) or (d) of
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SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
subsection (2), they continue to be so exercisable after the person has ceased
to be a person within the paragraph in question.
(9) In this section—
“manager” has the same meaning as in the Legal Services Act
2007 (see section 207 of that Act);
“recognised body” means a body recognised under section 9 of
the Administration of Justice Act 1985;
and the reference to a person who has an interest in a recognised body is to
be construed in accordance with sections 72 and 109 of the Legal Services
Act 2007.
44BA Power to require explanation of document or information
(1) The Society may, by notice, require a person to whom a notice is given under
section 44B (or a representative of the person) to attend at a time and place
specified in the notice to provide an explanation of any information provided
or document produced pursuant to the notice.
(2) The Society may pay to any person such reasonable costs as may be
incurred by that person in connection with that person's compliance with a
requirement imposed under subsection (1).
(3) Paragraphs 9(3) and (4) and 13, 15 and 16 of Schedule I apply in relation to
a notice under this section, except that for this purpose—
(a) paragraph 9 of that Schedule has effect as if—
(i) in sub-paragraph (3) for “having” to “sub-paragraph (1)”
there were substituted “ refuses, neglects or otherwise fails
to comply with a requirement under section 44BA(1) ”, and
(ii) in sub-paragraph (4) for “produce” (in the first place) to
the end there were substituted “ provide an explanation of
any information provided or document produced pursuant
to a notice under section 44B (or a representative of such a
person) to attend at a time and place specified in the order
to provide an explanation of any information so provided or
document so produced. ”, and
(b) the reference to the solicitor or his personal representative in
paragraph 13 of that Schedule is to be construed as a reference to
the person to whom the notice was given under this section.
44BB Provision of information and documents by other persons
(1) The High Court, on the application of the Society, may order a person to
whom section 44B does not apply—
(a) to provide information, or information of a description, specified in
the notice, or
(b) to produce documents, or documents of a description, specified in
the notice.
(2) The High Court may make an order under this section only if it is satisfied —
(a) _ that it is likely that the information or document is in the possession
or custody of, or under the control of, the person, and
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SCHEDULE 16 ~The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) that there is reasonable cause to believe that the information or
document is likely to be of material significance to an investigation
into any of the matters mentioned in section 44B(3)(a) to (d).
(3) An order under this section may direct the Society to pay to a person
specified in the order such reasonable costs as may be incurred by that person
in connection with the provision of any information, or production of any
document, by that person pursuant to the order.
(4) Section 44B(4) applies in relation to an order under this section as it applies
in relation to a notice under section 44B.
(5) Paragraphs 9(5A) and (7) to (12), 12, 13, 15 and 16 of Schedule I apply in
relation to an order under this section as they apply in relation to an order
under paragraph 9(4) of that Schedule, except that for this purpose—
(a) _ the reference to the solicitor or personal representative in paragraph
9(7) of that Schedule is to be construed as a reference to the person
in respect of whom the order under this section is made,
(b) the reference in paragraph 9(12) of that Schedule to the Society
is to be read as including a reference to a person specified under
section 44B(4)(c) (as applied by subsection (4) of this section), and
(c) the reference to the solicitor or his personal representative in
paragraph 13 of that Schedule is to be construed as a reference to
the person to whom the notice was given under this section.
44BC Information offences
(1) It is an offence for a person who knows or suspects an investigation into any
of the matters mentioned in section 44B(3)(a) to (d) is being or is likely to
be conducted—
(a) to falsify, conceal, destroy or otherwise dispose of a document
which the person knows or suspects is or would be relevant to the
investigation, or
(b) to cause or permit the falsification, concealment, destruction or
disposal of such a document.
(2) In proceedings for an offence under subsection (1) it is a defence for the
accused to show that the accused had no intention of concealing facts
disclosed by the documents from the person conducting the investigation.
(3) It is an offence for a person, in purported compliance with a requirement
imposed on the person under section 44B, 44BA or 44BB—
(a) to provide information which the person knows to be false or
misleading in a material particular, or
(b) recklessly to provide information which is false or misleading in a
material particular.
(4) A person who is guilty of an offence under subsection (1) or (3) is liable—
(a) on summary conviction, to imprisonment for a term not exceeding
12 months or a fine not exceeding the statutory maximum, or both;
(b) on conviction on indictment, to imprisonment for a term not
exceeding 2 years or a fine, or both.
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310 Legal Services Act 2007 (¢. 29)
SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(5) In relation to an offence under subsection (1) or (3) committed before the
commencement of section 154(1) of the Criminal Justice Act 2003 the
reference in subsection (4)(a) to 12 months is to be read as a reference to
6 months.”
Commencement Information
1372. Sch. 16 para. 44 wholly in force at 31.3.2009, see s. 211 and S.I. 2009/503, art. 2(b)(i) (Subject to art. 4)
45 For section 44C (payment of costs of investigations) substitute—
“44C Power to charge for costs of investigations
(1) The Society may make regulations prescribing charges to be paid to the
Society by solicitors who are the subject of a discipline investigation.
(2) A “discipline investigation” is an investigation carried out by the Society
into—
(a) possible professional misconduct by a solicitor, or
(b) a failure or apprehended failure by a solicitor to comply with any
requirement imposed by or by virtue of this Act or any rules made
by the Society.
(3) Regulations under this section may—
(a) make different provision for different cases or purposes;
(b) provide for the whole or part of a charge payable under the
regulations to be repaid in such circumstances as may be prescribed
by the regulations.
(4) Any charge which a solicitor is required to pay under regulations under this
section is recoverable by the Society as a debt due to the Society from the
solicitor.
(5) This section (other than subsection (2)(a)) applies in relation to an employee
of a solicitor as it applies in relation to a solicitor.”
Commencement Information
1373 Sch. 16 para. 45 wholly in force at 31.3.2009, see s. 211 and S.1. 2009/503, art. 2(b)(i) (subject to art. 4)
46 Afier that section insert—
“Disciplinary powers of the Society
44D Disciplinary powers of the Society
(1) This section applies where the Society is satisfied—
(a) that a solicitor or an employee of a solicitor has failed to comply
with a requirement imposed by or by virtue of this Act or any rules
made by the Society, or
(b) _ that there has been professional misconduct by a solicitor.
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SCHEDULE 16 ~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) The Society may do one or both of the following—
(a) _ give the person a written rebuke;
(b) direct the person to pay a penalty not exceeding £2,000.
(3) The Society may publish details of any action it has taken under
subsection (2)(a) or (b), if it considers it to be in the public interest to do so.
(4) Where the Society takes action against a person under subsection (2)(b), or
decides to publish under subsection (3) details of any action taken under
subsection (2)(a) or (b), it must notify the person in writing that it has done
so.
(5) A penalty imposed under subsection (2)(b) does not become payable until—
(a) the end of the period during which an appeal against the decision
to impose the penalty, or the amount of the penalty, may be made
under section 44E, or
(b) _ ifsuch an appeal is made, such time as it is determined or withdrawn.
(6) The Society may not publish under subsection (3) details of any action under
subsection (2)(a) or (b)—
(a) during the period within which an appeal against—
(i) the decision to take the action,
(ii) in the case of action under subsection (2)(b), the amount of
the penalty, or
(iii) the decision to publish the details,
may be made under section 44E, or
(b) if such an appeal has been made, until such time as it is determined
or withdrawn.
(7) The Society must make rules—
(a) prescribing the circumstances in which the Society may decide to
take action under subsection (2)(a) or (b);
(b) about the practice and procedure to be followed by the Society in
relation to such action;
(c) governing the publication under subsection (3) of details of action
taken under subsection (2)(a) or (b);
and the Society may make such other rules in connection with the exercise
of its powers under this section as it considers appropriate.
(8) Before making rules under subsection (7), the Society must consult the
Tribunal.
(9) A penalty payable under this section may be recovered as a debt due to the
Society, and is to be forfeited to Her Majesty.
(10) The Lord Chancellor may, by order, amend paragraph (b) of subsection (2) so
as to substitute for the amount for the time being specified in that paragraph
such other amount as may be specified in the order.
(11) Before making an order under subsection (10), the Lord Chancellor must
consult the Society.
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312 Legal Services Act 2007 (¢. 29)
SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(12) An order under subsection (10) is to be made by statutory instrument subject
to annulment in pursuance of a resolution of either House of Parliament.
(13) This section is without prejudice to any power conferred on the Society or
any other person to make an application or complaint to the Tribunal.
44E Appeals against disciplinary action under section 44D
(1) A person may appeal against—
(a) adecision by the Society to rebuke that person under section 44D(2)
(a) if a decision is also made to publish details of the rebuke;
(b) a decision by the Society to impose a penalty on that person under
section 44D(2)(b) or the amount of that penalty;
(c) a decision by the Society to publish under section 44D(3) details of
any action taken against that person under section 44D(2)(a) or (b).
(2) Subsections (9)(b), (10)(a) and (b), (11) and (12) of section 46 (Tribunal
rules about procedure for hearings etc) apply in relation to appeals under
this section as they apply in relation to applications or complaints, except
that subsection (11) of that section is to be read as if for “the applicant” to
“application)” there were substituted “ any party to the appeal ”.
(3) Rules under section 46(9)(b) may, in particular, make provision about the
period during which an appeal under this section may be made.
(4) On an appeal under this section, the Tribunal has power to make such order
as it thinks fit, and such an order may in particular—
(a) affirm the decision of the Society;
(b) revoke the decision of the Society;
(c) in the case of a penalty imposed under section 44D(2)(b), vary the
amount of the penalty;
(d) _ in the case of a solicitor, contain provision for any of the matters
mentioned in paragraphs (a) to (d) of section 47(2);
(e) in the case of an employee of a solicitor, contain provision for any
of the matters mentioned in section 47(2E);
(f) make such provision as the Tribunal thinks fit as to payment of costs.
(5) Where by virtue of subsection (4)(c) an order contains provision for any of
the matters mentioned in section 47(2E)(c), section 47(2F) and (2G) apply
as if the order had been made under section 47(2E)(c).
(6) An appeal from the Tribunal shall lie to the High Court, at the instance of the
Society or the person in respect of whom the order of the Tribunal was made.
(7) The High Court shall have power to make such order on an appeal under this
section as it may think fit.
(8) Any decision of the High Court on an appeal under this section shall be final.
(9) This section is without prejudice to any power conferred on the Tribunal in
connection with an application or complaint made to it.”
Legal Services Act 2007 (c. 29)
SCHEDULE 16 ~The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
w
Pr)
Commencement Information
1374 Sch. 16 para. 46 wholly in force at 31.3.2009, see s. 211 and S.1. 2009/503, art. 2(b)(i) (subject to art. 4)
47 (1) Section 46 (solicitors disciplinary tribunal) is amended as follows.
(2) For subsection (5) substitute—
“(5) The Tribunal may pay its members such remuneration, fees or allowances
as it may determine with the approval of the Legal Services Board.”
(3) After that subsection insert—
“(SA) The Tribunal may do anything calculated to facilitate, or incidental or
conducive to, the carrying out of any of its functions.”
(4) Omit subsections (6) to (8).
(5) In subsection (9)—
(a) for “Subject to subsections (6) to (8), the” substitute “ The ”,
(b) omit “, with the concurrence of the Master of the Rolls,”, and
(c) in paragraph (b) after “complaints” insert “ (including provision about the
composition of the Tribunal) ”.
Commencement Information
1375. Sch. 16 para. 47 wholly in force at 30.6.2008, see s. 211 and S.1, 2008/1436, art. 2(d) (subject to art. 4)
48 After that section insert—
“46A Funding of the Tribunal
(1) The Tribunal must submit to the Society in respect of each year a budget for
the year approved by the Legal Services Board.
(2) A budget for a year is a statement of the amount of money which the Tribunal
estimates is required to enable it to meet all of its expenditure in that year
(having regard to any amounts received but not spent in previous years).
(3) Before approving a statement for the purposes of subsection (1) the Legal
Services Board must consult the Society.
(4) The budget for a year must be submitted to the Society under subsection (1)
no later than the date in the preceding year specified by the Society for the
purposes of this subsection.
(5) Before specifying a date for this purpose the Society must consult the
Tribunal.
(6) The amount specified in a budget submitted under subsection (1) must be
paid by the Society to the Tribunal—
(a) in such instalments and at such times as may be agreed between the
Society and the Tribunal, or
(b) _ in the absence of such agreement, before the beginning of the year
to which the budget relates.
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314 Legal Services Act 2007 (¢. 29)
SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(7) The Society may pay the Tribunal such other amounts as the Society
considers appropriate.
(8) In this section “year” means a calendar year.”
Commencement Information
1376 Sch. 16 para. 48 wholly in force at 30.6.2008, see s. 211 and S.I. 2008/1436, art. 2(d)(i) (subject to art. 4)
49 In section 47 (jurisdiction and powers of Tribunal)}—
Fe (a) .
(b) in subsection (2) for
subsections (2E) and ”,
MSG) semenisdsmaaar siemens? ssewars ere
(d) _ in subsection (2)(c) omit “not exceeding £5,000”,
“subsection” (where it first occurs) substitute “
(f) after subsection (2D) insert—
“(2E) On the hearing of any complaint made to the Tribunal by virtue of
section 34A(2) or (3), the Tribunal shall have power to make one
or more of the following—
(a) an order directing the payment by the employee to whom
the complaint relates of a penalty to be forfeited to Her
Majesty;
(b) anorder requiring the Society to consider taking such steps
as the Tribunal may specify in relation to that employee;
(c) if that employee is not a solicitor, an order which states
one or more of the matters mentioned in paragraphs (a) to
(c) of section 43(2);
(d) an order requiring the Society to refer to an appropriate
regulator any matter relating to the conduct of that
employee.
(2F) Subsections (1) to (1C), (3) and (4) of section 44 apply in relation
to an order under subsection (2E)(c) as they apply in relation to an
order under section 43(2).
(2G) Section 44(2), paragraph 16(1)(d) and (1A)(d) of Schedule 2 to
the Administration of Justice Act 1985 and paragraph 15(3A) of
Schedule 14 to the Courts and Legal Services Act 1990 apply
in relation to an order under subsection (2E)(c) as they apply in
relation to an order under section 43(2).
(2H) For the purposes of subsection (2E)(d) an “appropriate regulator”
in relation to an employee means—
(a) if the employee is an authorised person in relation to
a reserved legal activity (within the meaning of the
Legal Services Act 2007), any relevant approved regulator
(within the meaning of that Act) in relation to that
employee, and
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SCHEDULE 16 ~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) ifthe employee carries on activities which are not reserved
legal activities (within the meaning of that Act), any body
which regulates the carrying on of such activities by the
employee.”,
(g) after subsection (3A) insert—
“(3B) For the avoidance of doubt, nothing in this section permits the
Tribunal to make an order requiring redress to be made in respect
of any act or omission of any person.”, and
(h) omit subsections (4) and (5).
Textual Amendments
F162 Sch. 16 para. 49(a) repealed (1.11.2015) by The Legal Services Act 2007 (The Law Society)
(Modification of Functions) Order 2015 (S.1. 2015/401), arts. 1(3), 3(3)
F163 Sch. 16 para. 49(c) repealed (1.112015) by The Legal Services Act 2007 (The Law Society)
(Modification of Functions) Order 2015 (S.I. 2015/401), arts. 1(3), 3(3)
F164 Sch. 16 para. 49(e) repealed (1.11.2015) by The Legal Services Act 2007 (The Law Society)
(Modification of Functions) Order 2015 (S.1. 2015/401), arts. 1(3), 3(3)
Commencement Information
1377 Sch. 16 para. 49(b)(d)(f)(h) in force at 31.3.2009 by S.1. 2009/503, art. 2(b)(i) (subject to art. 4); Sch.
16 para. 49(a)(c)(e) in force at 1.7.2009 by S.I. 2009/1365, art. 2(a)(i)
1378. Sch. 16 para. 49(g) in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(f)
50 In section 48 (orders of Tribunal)—.
(a) _ in subsection (2)(b)—
(i) after “(e),” insert “ (ea), ”, and
(ii) omit “in the London Gazette”,
(b) in subsection (3) for “Subject to section 43(5), any” substitute “ Any ”, and
(c) after subsection (4) insert—
“(5) In the case of orders of the Tribunal under section 44E, the
reference in subsection (2)(a) to the application or complaint is to
be read as a reference to the Tribunal's order.”
Commencement Information
1379 Sch. 16 para. 50(a)(ii) in force at 7.3.2008 by S.I. 2008/22, art. 2(j)(i); Sch. 16 para. 50(b)(c) in force
at 31.3.2009 by S.I. 2009/503, art. 2(b)(i); Sch. 16 para. 50(a)(i) in force at 1.7.2009 by S.I. 2009/1365,
art. 2(a)(i)
51 (1) Section 49 (appeals from Tribunal) is amended as follows.
(2) In subsection (1) for “lie—” to the end substitute “ lie to the High Court ”.
(3) In subsection (2), after “(3)” insert “ and to section 43(5) of the Administration of
Justice Act 1985”.
MIG (A) « se Gdazs stems ++ temaasssihdnsss:
(5) In subsection (4)—
316 Legal Services Act 2007 (¢. 29)
SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) omit “and the Master of the Rolls”, and
(b) for “they” substitute “ it”.
(6) For subsection (6) substitute—
“(6) Any decision of the High Court—
(a) onan application under section 43(3) or 47(1)(d), (e), (ea) or (f), or
(b) against an order under section 43(3A),
shall be final.”
(7) Omit subsection (7).
Textual Amendments
F165 Sch. 16 para. 51(4) repealed (1.4.2013) by Legal Aid, Sentencing and Punishment of Offenders Act 2012
(c. 10), s. 151(1), Sch. 5 Pt. 2; S.1. 2013/453, art. 3(h) (with savings and transitional provisions in $.1
2013/534, art. 6)
Commencement Information
1380. Sch. 16 para. 51 wholly in force at 1.7.2009 see s. 211 and S.I. 2009/1365, art. 2(a)(iii) (subject to art. 4)
52 Afier that section insert—
“49A Appeals to the Tribunal instead of the High Court
(1) The Society may, with the approval of the Tribunal, make rules which
provide that in such circumstances as may be prescribed by the rules an
appeal under any of the provisions listed in subsection (2) lies to the Tribunal
and not to the High Court.
(2) Those provisions are—
(a) section 8(4);
(b) section 13A(6);
(c) section 16(5);
(d) section 2&(3D);
(e) section 41(3);
(f) paragraph 14 of Schedule 14 to the Courts and Legal Services Act
1990 (foreign lawyers: appeals against conditions or refusals).
(3) Any decision of the Tribunal on an appeal by virtue of rules made under this
section shall be final.”
Commencement Information
1381 Sch. 16 para. 52 in force at 1.7.2009 by S.I. 2009/1365, art. 2(a)(i)
53 In section 54 (restrictions on powers to strike names off roll)—
(a) _ in subsection (1) for “service under articles” substitute “ persons seeking
admission as solicitors ”, and
(b) in subsection (2) for paragraphs (a) and (b) substitute—
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SCHEDULE 16 ~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“(a) that a solicitor who undertook a training responsibility for
him under training regulations neglected or omitted to take
out a practising certificate; or
(b) that the name of a solicitor who undertook such a
responsibility for a period has been removed from or
struck off the roll after the end of that period.”
Commencement Information
1382 Sch. 16 para. 53 in force at 7.3.2008 by S.I. 2008/22.
, art. 2(j)(i)
54 (1) Section 56 (orders as to remuneration for non-contentious business) is amended as
follows.
(2) In subsection (1)—
(a) in paragraph (a) for “Secretary of State” substitute “ Lord Chancellor ”,
(b) after paragraph (d) insert—
“(da) a member of the Legal Services Board nominated by that
Board;”, and
(c) in paragraph (e) for “Secretary of State” substitute “ Lord Chancellor ”.
(3) In subsection (2) for “(the Secretary of State” to “think fit” substitute “ (the Lord
Chancellor being one), may make general orders prescribing the general principles
to be applied when determining ”.
(4) In subsection (3)—
(a) _ for “Secretary of State” substitute “ Lord Chancellor ”
(b) for “Council” (in both places) substitute “ Society ”.
and
(5) In subsection (4) for “An order” to the end of paragraph (a) substitute— “ The
principles prescribed by an order under this section may provide that solicitors should
be remunerated— ”.
(6) In subsection (5)—
(a) for “An order” to “reference” substitute— “ The general principles
prescribed by an order under this section may provide that the amount of
such remuneration is to be determined by having regard ”, and
(b) in paragraph (d) after “solicitor” insert “ , or any employee of his who is an
authorised person, ”.
(7) After that subsection insert—
“(SA) In subsection (5) “authorised person” means a person who is an authorised
person in relation to an activity which is a reserved legal activity, within the
meaning of the Legal Services Act 2007 (see section 18 of that Act).”
(8) In subsection (6)(a) for “taxation” substitute “ assessment ”.
(9) In subsection (7)—
(a) for “taxation” substitute “ assessment ”, and
(b) for “regulated by” substitute “ subject to ”.
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318 Legal Services Act 2007 (¢. 29)
SCHEDULE 16 ~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1383 Sch. 16 para. 54(1)(4)(b) in force for certain purposes at 7.3.2008 by S.1. 2008/222, art. 2()(i); Sch.
16 para. $4(2)(a)(c)(3)(4)(a)(5)(6)(a)(9)(b) in force at 30.6.2008 by S.I. 2008/1436, art. 2(d)(i); Sch. 16
para, 54(6)(b)(7) in force at 31.3.2009 by S.1. 209/503, art. 2(b)(i) (subject to art. 4); Sch. 16 para.
54(2)(b) in force at 1.7.2009 by S.I. 2009/1365, art. 2(a)(i); Sch. 16 para. $4(8)(9)(a) in force at 1.1.2010
by S.1. 2009/3250, art. 2(f(ii)
55 In section 57 (non-contentious business agreements )}—
(a) in subsection (2) for “stamps” substitute “ taxes ”,
(b) in subsection (5)—
(i) for “taxation” substitute “ assessment ”, and
(ii) for “taxing officer” substitute “ costs officer”, and
(c) in subsection (7)—
(i) for “taxation” substitute “ assessment ”, and
(ii) for “taxing officer” substitute “ costs officer ”.
Commencement Information
1384 Sch. 16 para. 55 in force at 1.1.2010 by S.1. 2009/3
50, art.2(f(ii)
56 In section 60 (effect of contentious business agreements)—
(a) in subsection (1) for “taxation” substitute “ assessment ”,
(b) in subsection (2)—
(i) for “taxed” substitute “ assessed ”, and
(ii) for “taxation” substitute “ assessment ”, and
(c) for subsection (5) substitute—
“(5) A provision in a contentious business agreement that the solicitor
shall not be liable for his negligence, or that of any employee of
his, shall be void if the client is a natural person who, in entering
that agreement, is acting for purposes which are outside his trade,
business or profession.
(6) A provision in a contentious business agreement that the solicitor
shall be relieved from any responsibility to which he would
otherwise be subject as a solicitor shall be void.”
Commencement Information
1385. Sch. 16 para. 56(c) in force at 30.6.2008 by S.1. 2008/1436, art. 2(d)(i); Sch. 16 para, 56(a)(b) in force
at 1.1.2010 by S.I. 2009/3250, art. 2(f)(ii) (with art. 9)
57 In section 61 (enforcement of contentious business agreements)—
(a) in subsection (2)(b) for “taxed” substitute “ assessed ”,
(b) in subsection (3) for “taxing officer” substitute “ costs officer ”,
(c) in subsection (4)—
(i) for “taxing officer” substitute “ costs officer ”, and
(ii) for “taxed” substitute “ assessed ”,
Legal Services Act 2007 (c. 29) 319
SCHEDULE 16 ~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(d) in subsection (4B)—
(i) for “taxation” substitute “ assessment ”, and
(ii) for “taxing officer” substitute “ costs officer”, and
(e) in subsection (5) for “taxed” substitute “ assessed ”.
Commencement Information
1386 Sch. 16 para. 57 in force at 1.1.2010 by S.1. 2009/3250, art.2(1(
58 In section 62 (contentious business agreements by certain representatives }—
(a) in subsection (1) for “taxing officer” substitute “ costs officer”, and
(b) _ in subsection (2)—
(i) for “taxing officer” substitute “ costs officer ”, and
(ii) for “taxed” substitute “ assessed ”.
Commencement Information
1387 Sch. 16 para. 58 in force at 1.1.2010 by S.1. 2009/3250, art.2(f)(ii)
59 In section 63 (effect on contentious business agreement of death etc)—
(a) in subsection (2)—
(i) for “taxation” substitute “ assessment ”, and
(ii) for “taxing officer” substitute “ costs officer”, and
(b) in subsection (3)—
(i) for “taxation” substitute “ assessment ”,
(ii) for “taxing officer” (in both places) substitute “ costs officer”, and
(iii) after “solicitor” (in the third place) insert “ , or any of his
employees, ”.
Commencement Information
1388 Sch. 16 para. 59(b)(iii) in force at 31.3.2009 by S.1. 209/503, art. 2(b)(i)
in force at 1.1.2010 by S.1. 2009/3250, art. 2(f)(ii) (with art. 9)
h. 16 para. 59(a)(b)(i)Gi)
60 In section 64 (form of bill of costs for contentious business)—
(a) in subsection (3) for “taxed” substitute “ assessed ”, and
(b) in subsection (4)—
(i) for “taxed” substitute “ assessed ”,
(ii) for “taxation” substitute “ assessment ”, and
(iii) for “taxing officer” (in both places) substitute “ costs officer ”.
Commencement Information
1389 Sch. 16 para. 60 in force at 1.1.2010 by S.I. 2009/3250, art.2(f)(ii)
61 In section 65 (security for costs and termination of retainer), in subsection (1) for
“taxation” substitute “ assessment ”.
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320 Legal Services Act 2007 (¢. 29)
SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1390 Sch. 16 para. 61 in force at 1.1.2010 by S.1. 2009/3250, art.2((i)
62 In section 66 (taxations with respect to contentious business)\—
(a) in the section heading for “Taxations” substitute “ Assessments ”,
(b) for “taxation” substitute “ assessment ”,
(c) for “taxing officer” substitute “ costs officer ”,
(d) in paragraph (a), after “solicitor” (in the second place) insert “ or an
employee of the solicitor”, and
(e) in paragraph (b), after “him” insert “ or by any employee of his who is an
authorised person (within the meaning of section 56(SA)) ”.
Commencement Information
1391 Sch. 16 para. 62(d)(e) in force at 31.3.2009 by S.1. 2009/503, art. 2(b)(i) (subject to art. 4); Sch. 16 para.
62(a)-(c) in force at 1.1.2010 by S.1. 2009/3250, art. 2(f)(ii) (with art. 9)
63 In section 67 (inclusion of disbursements in bill of costs), in paragraph (b)—
(a) for “taxed” substitute “ assessed ”,
(b) for “taxing officer” substitute “ costs officer”, and
(c) for “taxation” substitute “ assessment ”.
Commencement Information
1392 Sch. 16 para. 63 in force at 1.1.2010 by S.I. 2009/3250, art.2(f(ii)
64 (1) Section 69 (action to recover solicitor's costs) is amended as follows.
(2) In subsection (1) for “taxed” substitute “ assessed ”.
(3) For subsection (2) substitute—
“(2) The requirements referred to in subsection (1) are that the bill must be—
(a) signed in accordance with subsection (2A), and
(b) delivered in accordance with subsection (2C).
(2A) A bill is signed in accordance with this subsection if it is—
(a) signed by the solicitor or on his behalf by an employee of the
solicitor authorised by him to sign, or
(b) enclosed in, or accompanied by, a letter which is signed as
mentioned in paragraph (a) and refers to the bill.
(2B) For the purposes of subsection (2A) the signature may be an electronic
signature.
(2C) A bill is delivered in accordance with this subsection if—
(a) _ itis delivered to the party to be charged with the bill personally,
(b) _ it is delivered to that party by being sent to him by post to, or left
for him at, his place of business, dwelling-house or last known place
of abode, or
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Legal Services Act 2007 (c. 29)
SCHEDULE 16 ~The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
we
is
(c) it is delivered to that party—
(i) by means of an electronic communications network, or
(ii) by other means but in a form that nevertheless requires the
use of apparatus by the recipient to render it intelligible,
and that party has indicated to the person making the delivery his
willingness to accept delivery of a bill sent in the form and manner
used.
(2D) An indication to any person for the purposes of subsection (2C)(c)—
(a) must state the address to be used and must be accompanied by
such other information as that person requires for the making of the
delivery;
(b) may be modified or withdrawn at any time by a notice given to that
person.
(2E) Where a bill is proved to have been delivered in compliance with the
requirements of subsections (2A) and (2C), it is not necessary in the first
instance for the solicitor to prove the contents of the bill and it is to be
presumed, until the contrary is shown, to be a bill bona fide complying with
this Act.
(2F) A bill which is delivered as mentioned in subsection (2C)(c) is to be treated
as having been delivered on the first working day afier the day on which it
was sent (unless the contrary is proved).”
(4) At the end insert—
“(5) In this section references to an electronic signature are to be read in
accordance with section 7(2) of the Electronic Communications Act 2000
(c. 7).
(6) In this section—
“electronic communications network” has the same meaning as
in the Communications Act 2003 (c. 21);
“working day” means a day other than a Saturday, a Sunday,
Christmas Day, Good Friday or a bank holiday in England and Wales
under the Banking and Financial Dealings Act 1971 (c. 80).”
Commencement Information
1393 Sch. 16 para. 64(1)(3)(4) in force at 7.3.2008 by S.1. 2008/22, art. 2(j)(i); Sch. 16 para. 64(2) in force
at 1.1.2010 by S.I. 2009/3250, art. 2(f)(ii) (with art. 9)
65 In section 70 (taxation on application of party chargeable or solicitor)—
(a) in the section heading for “Taxation” substitute “ Assessment ”,
(b) in subsection (1)—
(i) for “taxed” substitute “ assessed ”, and
(ii) for “taxation” substitute “ assessment ”,
(c) in subsection (2)—
(i) for “taxation” (in both places) substitute “ assessment ”, and
(ii) for “taxed” substitute “ assessed ”,
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322 Legal Services Act 2007 (¢. 29)
SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(d) in subsections (3) to (5) for “taxation” (in each place) substitute
assessment ”,
(e) in subsection (6)—
(i) for “taxation” substitute “ assessment ”, and
(ii) for “taxed” substitute “ assessed ”,
(f) in subsection (7)—
(i) for “taxation” (in each place) substitute “ assessment ”,
(ii) for “taxing officer” substitute “ costs officer”, and
(iii) for “tax” substitute “ assess ”,
(g) _ in subsection (8) for “taxation” (in each place) substitute “ assessment ”,
(h) in subsection (9)—
(i) for “for taxation” (in both places) substitute “ for assessment ”,
(ii) for “the taxation” (in both places) substitute “ the assessment ”,
(iii) for “a taxation” substitute “ an assessment ”, and
(iv) for “one fifth of the amount of the bill is taxed off” substitute “ the
amount of the bill is reduced by one fifth ”,
(i) in subsection (10)—
(i) for “taxing officer” substitute “ costs officer ”, and
(ii) for “taxation” (in both places) substitute “ assessment ”,
(j) omit subsection (11), and
(k) _ in subsection (12)—
(i) for “of the bill taxed off” substitute “ of the reduction in the bill ”,
(ii) for “taxation” substitute “ assessment ”, and
(iii) for “taxed” (in the second place) substitute “ assessed ”.
Commencement Information
1394 Sch. 16 para. 65 in force at 1.1.2010 by S.1. 2009/3250, art.2(f(
66 In section 71 (taxation on application of third parties) —
(a) in the section heading for “Taxation” substitute “ Assessment ”,
(b) in subsection (1) for “taxation” substitute “ assessment ”,
(c) in subsection (3) —
(i) for “taxed” substitute “ assessed ”, and
(ii) for “taxation” substitute “ assessment ”,
(d) in subsection (4) for “taxation” substitute “ assessment ”,
(e) in subsection (6)—
(i) for “taxation” substitute “ assessment ”, and
(ii) for “taxed” substitute “ assessed ”, and
(f) in subsection (7) for “taxed” substitute “ assessed ”.
Commencement Information
1395 Sch. 16 para. 66 in force at 1.1.2010 by S.I. 2009/3250, art.2(f)(ii)
67 In section 72 (supplementary provisions as to taxations)—
(a) in the section heading for “taxations” substitute “ assessments ”,
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Legal Services Act 2007 (c. 29)
SCHEDULE 16 ~The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) in subsection (1) for “taxation” substitute “ assessment ”,
(c) in subsection (2)—
(i) for “taxing officer” (in each place) substitute “ costs officer”,
(ii) for second and fourth “taxing” substitute “ assessing ”, and
(iii) for “tax” substitute “ assess ”,
(d) in subsection (3)—
(i) for “taxing officer” (in both places) substitute “ costs officer ”,
(ii) for “tax” substitute “ assess ”, and
(iii) for “taxing” (in second place) substitute “ assessing ”, and
(e) in subsection (4)—
(i) for “taxing officer” substitute “ costs officer”, and
(ii) for “taxed” substitute “ assessed ”.
Commencement Information
1396 Sch. 16 para. 67 in force at 1.1.2010 by S.I. 2009/3250, art.2(f)(ii)
68 In section 73 (charging orders), in subsection (1)—
(a) for “taxed” substitute “ assessed ”, and
(b) for “taxation” substitute “ assessment ”.
Commencement Information
1397 Sch. 16 para. 68 in force at 1.1.2010 by S.1. 2009/3250, art.2((ii)
69 In section 74 (special provisions as to contentious business done in county courts)—
F166
(a) emag:<: ¢see9?
(b) in subsection (3) for “taxation” substitute “ assessment ”.
Textual Amendments
F166 Sch. 16 para. 69(a) repealed (22.4.2014) by Crime and Courts Act 2013 (c. 22), 8. 61(3), Sch. 9 para. 141;
S.L 2014/954, art. 2(c) (with art. 3) (With transitional provisions and savings in S.I. 2014/956, arts. 3-11)
Commencement Information
1398 Sch. 16 para. 69 in force at 1.1.2010 by S.I. 2009/3250, art.2(f(i
70 Omit the following provisions—
section 76 (non-practising solicitors eligible for membership of Society),
section 77 (annual subscription to Society), and
section 78 (cessation and suspension of membership of Society).
Commencement Information
1399 Sch. 16 para. 70 in force at 31.3.2009 by S.I 2009/503, art. 2(b)(i)
71 For section 79 (committees and sub-committees of the Council) substitute—
324 Legal Services Act 2007 (¢. 29)
SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“79 Discharge of the Council's functions
(1) The Council may arrange for any function of the Council (including any
function exercisable by the Council by virtue of section 80) to be exercised
by—
(a) acommittee of the Council,
(b) asub-committee of such a committee,
(c) a body corporate which is established for the purpose of providing
services to the Council (or any committee of the Council) and is a
wholly-owned subsidiary of the Society, or
(d) an individual (whether or not a member of the Society's staff).
(2) Where by virtue of subsection (1) any function may be discharged by a
committee, the committee may arrange for the discharge of the function by—
(a) asub-committee of that committee,
(b) a body corporate which is established for the purpose of providing
services to the Council (or any committee of the Council) and is a
wholly-owned subsidiary of the Society, or
(c) an individual (whether or not a member of the Society's staff).
(3) Where, by virtue of subsection (1) or (2), any function may be discharged by
a sub-committee, that sub-committee may arrange for the discharge of the
function by an individual (whether or not a member of the Society's staff).
(4) Arrangements made under this section in respect of a function may provide
that the function is to be exercised in accordance with the arrangements only
(and not by the delegating body).
(5) In subsection (4) “the delegating body” means—
(a) in the case of arrangements under subsection (1), the Council;
(b) _ in the case of arrangements under subsection (2), the committee;
(c) inthe case of arrangements under subsection (3), the sub-committee.
(6) Subsections (2) and (3) have effect subject to any contrary direction given
by the Council.
(7) Where arrangements under subsection (3) relate to a function delegated by
a committee under subsection (2), subsection (3) also has effect subject to
any contrary direction given by that committee.
(8) Any power given by subsection (1), (2) or (3) may be exercised so as to
impose restrictions or conditions on the body or individual by whom the
function is to be discharged.
(9) A committee or sub-committee may include or consist of individuals other
than—
(a) members of the Council;
(b) members of the Society;
(c) solicitors.
(10) A sub-committee of a committee may also include or consist of individuals
other than members of the committee.
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Legal Services Act 2007 (c. 29)
SCHEDULE 16 ~The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
we
ns}
a
(11) The Council may make arrangements for the appointment and removal of
members of any committee to be made other than by the Council.
(12) A committee or sub-committee may regulate its own procedure, including
quorum.
(13) The validity of any proceedings of a committee or sub-committee is not
affected by any vacancy among its members.
(14) In this section “wholly-owned subsidiary” has the meaning given by
section 1159 of the Companies Act 2006.
(15) This section is subject to any provision to the contrary made by or under any
enactment.”
Commencement Information
1400 Sch. 16 para. 71 in force for specified purposes at 7.3.2008 by S.I. 2008/
72(a), 75(C))
art. 2(j)(i) (with arts. 7(2),
n2 In section 80 (powers to act on behalf of Society)—
(a) in subsection (1) for “of any instrument made under it” substitute “ any
other enactment (or of any instrument made under this Act or any other
enactment) ”, and
(b) omit subsection (2).
Commencement Information
1401 Sch. 16 para. 72(a) in force at 7.3.2008 by S.1. 2008/22.
31.3.2009 by S.I. 2009/503, art. 2(b)(i)
., art. 2(j)(i); Sch. 16 para. 72(b) in force at
73 Omit sections 81 and 81A (administration of oaths and taking of affidavits).
Commencement Information
1402 Sch. 16 para. 73 wholly in force at 1.1.2010 see s. 211 and S.I. 2009/3250, art. 2(f)(ii) (subject to art. 9)
74 Before section 87 (interpretation) insert—
Rules
“86A1) Rules made by the Society under this Act may —
(a) make provision generally or subject to exceptions or only in relation
to specified cases;
(b) make different provision for different cases or circumstances or for
different purposes.
(2) Without prejudice to the generality of subsection (1), any rules prescribing a
fee may provide for that fee to be reduced or waived in such circumstances
as may be specified in the rules.”
326 Legal Services Act 2007 (¢. 29)
SCHEDULE 16 ~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1403 Sch. 16 para. 74 in force at 31.3.2009 by S.1 2009/503, art. 2(b)(i)
75 In section 87(1) (interpretation)—
(a) in the definition of “client account”, for “in” to the end substitute “ subject
to rules under section 32(1)(a) ”,
a)
(c) omit the following definitions—
“articles”
“controlled trust”
“duly certificated notary public”
“employee”
“indemnity conditions”
“replacement date”
“training conditions”.
Textual Amendments.
F167 Sch. 16 para. 75(b) repealed (1.11.2015) by The Legal Services Act 2007 (The Law Society)
(Modification of Functions) Order 2015 (S.1. 2015/401), arts. 1(3), 3(3)
Commencement Information
1404. Sch. 16 para. 75(c) in force for certain purposes at 7.3.2008 by S.I. 2008/22, art. 2(j)(i); Sch. 16 para.
75(a) in force and Sch. 16 para. 75(c) in force for certain purposes at 3 009 by S.I. 2009/503, art.
2(b)(i); Sch. 16 para. 75(b)(c) in force for certain purposes at 1.7.2009 by S.1. 2009/1365, art. 2(a)(i);
Sch. 16 para. 75(c) in force for certain purposes at 1.1.2010 by S.I. 2009/3250, art. 2(f(i
76 In section 89 (consequential amendments etc.), omit subsection (7).
Commencement Information
1405. Sch. 16 para. 76 in force at 1.1.2010 by S.I. 2009/3250, art.2(f)(ii)
77 (1) Schedule I (intervention in solicitor's practice) is amended as follows.
(2) In paragraph I (grounds for intervention)—
(a) in sub-paragraph (1)(a)—
(i) for “Council have” substitute “ Society has ”,
(ii) after “solicitor's practice” insert “ or former practice ”, and
(iii) after “trustee” insert “ or that employee is or was a trustee in his
capacity as such an employee ”,
(b) after that sub-paragraph insert—
“(aa) the Society has reason to suspect dishonesty on the part of
a solicitor (“S) in connection with—
(i) the business of any person of whom S is or was an
employee, or of any body of which S is or was a
manager, or
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Legal Services Act 2007 (c. 29)
SCHEDULE 16 ~The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
we
8
8
(ii) any business which is or was carried on by S as a
sole trader;”,
(c) in sub-paragraph (1)(b)—
(i) for “Council consider” substitute “ Society considers ”, and
(ii) for “controlled trust” substitute “ trust ”,
(d) in sub-paragraph (1)(c) for “Council are” substitute “ Society is ”,
(e) in sub-paragraph (1)(ee)—
(i) for “Council are” substitute “ Society is”, and
(ii) after “illness” insert “ , injury ”,
(f) in sub-paragraph (1)(h)—
(i) for “Council are” substitute “ Society is ”, and
(ii) omit “sole”,
(g) in sub-paragraph (1)(i) and (k) for “Council are” substitute “ Society is ”,
(h) in sub-paragraph (1)(I)—
(i) for “Council are” substitute “ Society is ”,
(ii) in sub-paragraph (iii) for “an officer” substitute “ a manager ”, and
(iii) in that sub-paragraph for “Council of the Law Society” substitute “
Society ”,
(i) after sub-paragraph (1)(1) insert-—
“(m) the Society is satisfied that it is necessary to exercise the
powers conferred by Part 2 of this Schedule (or any of them)
in relation to a solicitor to protect—
(i) the interests of clients (or former or potential
clients) of the solicitor or his firm, or
(ii) the interests of the beneficiaries of any trust of
which the solicitor is or was a trustee.”,
Gj) after sub-paragraph (1) insert—
“(1A) In sub-paragraph (1) “manager” has the same meaning as in the
Legal Services Act 2007 (see section 207 of that Act).”, and
(k) omit sub-paragraph (2).
(3) In paragraph 3 (intervention following an undue delay)—
(a) for “10(3)” substitute “ 10(9) ”,
(b) for paragraph (a) substitute—
“(a) _ the Society is satisfied that there has been undue delay—
(i) on the part of a solicitor in connection with any
matter in which the solicitor or his firm is or was
acting on behalf of a client or with any trust, or
(ii) on the part of an employee of a solicitor in
connection with any trust of which the employee is
or was a trustee in his capacity as such an employee;
and”,
(c) in paragraph (c) for “Council regard” substitute “ Society regards ”.
(4) In paragraph 4(2) (continuation of powers after death etc of solicitor)—
(a) after “6(2) and (3)” insert “, 6A”,
(b) for “and (5)” substitute “ , (5) and (6) ”, and
(c) for “10(1)” substitute “ 10(2) and (7) ”.
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328 Legal Services Act 2007 (¢. 29)
SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(5) In paragraph 6 (vesting of sums in Society)—
(a) in sub-paragraph (1)—
(i) for “Council pass” substitute “ Society passes ”,
(ii) for “Council's” substitute “ Society's ”, and
(iii) after “thereto” insert “ and to rules under paragraph 6B ”,
(b) in sub-paragraph (2)(a) for “his practice” to the end substitute—
“(i) his practice or former practice,
(ii) any trust of which he is or formerly was a trustee, or
(iii) any trust of which a person who is or was an
employee of the solicitor is or was a trustee in the
person's capacity as such an employee;”, and
(c) in sub-paragraph (2)(c) for “to which the complaint relates” substitute “ in
connection with which the Society is satisfied there has been undue delay as
mentioned in sub-paragraph (a) of that paragraph ”.
(6) Afier paragraph 6 insert—
“6A (1) Without prejudice to paragraph 5, if the Society passes a resolution to the
effect that any rights to which this paragraph applies shall vest in the Society,
those rights shall vest accordingly.
(2) This paragraph applies to any right to recover or receive debts due to the
solicitor or his firm in connection with his practice or former practice.
(3) Any sums recovered by the Society by virtue of the exercise of rights vested
under sub-paragraph (1) shall vest in the Society and shall be held by it on
trust to exercise in relation to them the powers conferred by this Part of this
Schedule and, subject to those powers and to rules under paragraph 6B, upon
trust for the persons beneficially entitled to them.
(4) The Society shall serve on the solicitor or his firm, and any person who owes
a debt to which the order applies, a certified copy of the Society's resolution.
6B (1) The Society may make rules governing its treatment of sums vested in it
under paragraph 6 or 6A(3).
(2) The rules may in particular make provision in respect of cases where
the Society, having taken such steps to do so as are reasonable in all
the circumstances of the case, is unable to trace the person or persons
beneficially entitled to any sum vested in the Society under paragraph 6 or
6A(3) (including provision which requires amounts to be paid into or out of
compensation funds (within the meaning of section 36A)).”
(7) In paragraph 7(1) (holding of sums vested in Society) —
(a) after “paragraph 6” insert “ or 6A(3) ”, and
(b) after “thereto” insert “ and to rules under paragraph 6B ”.
(8) In paragraph 8 (information as to money held) for “holds money” to the end
substitute—
“(a) holds money on behalf of the solicitor or his firm, or
(b) has information which is relevant to identifying any money held by
or on behalf of the solicitor or his firm,
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
we
8
S
the court may require that person to give the Society information as to any such
money and the accounts in which it is held. ”
(9) In paragraph 9 (documents)—
(a) in sub-paragraph (1)(a)—
(i) afier “possession” insert “ or under the control ”, and
(ii) for “or with any controlled trust” substitute “ or former practice or
with any trust of which the solicitor is or was a trustee ”,
(b) in sub-paragraph (1)(b)—
(i) after “possession” insert “ or under the control ”, and
(ii) for “to which the complaint relates” substitute “ of which the Society
is satisfied ”,
(c) in sub-paragraph (3) after “possession” insert “ or control ”,
(d) in sub-paragraph (5) after “the possession” insert “ or under the control ”,
(ce) after sub-paragraph (5) insert—
“(5A) In the case of a document which consists of information which is
stored in electronic form, a requirement imposed by a notice under
sub-paragraph (1) or an order under sub-paragraph (4) or (5), is a
requirement to produce or deliver the information in a form in which
it is legible or from which it can readily be produced in a legible
form.”,
(f) in sub-paragraph (6) after “possession of” insert “ (a) ”,
(g) at the end of that sub-paragraph insert-—
“(b) any property—
(i) in the possession of or under the control of the
solicitor or his firm, or
(ii) in the case of an order under sub-paragraph (5),
which was in the possession or under the control of
such a person and has come into the possession or
under the control of the person in respect of whom
the order is made,
which the Society reasonably requires for the purpose of
accessing information contained in such documents,
and to use property obtained under paragraph (b) for that purpose. ”,
(h) _ in sub-paragraph (7) after “documents” insert “ or other property ”,
(i) in sub-paragraph (8) after “documents” insert “ or other property ”, and
Gj) in sub-paragraph (10) after “documents” insert “ or other property ”.
(10) For paragraph 10 (mail) substitute—
“Mail and other forms of communication
10 (1) The High Court, on the application of the Society, may from time to time
make a communications redirection order.
(2) A communications redirection order is an order that specified
communications to the solicitor or his firm are to be directed, in accordance
with the order, to the Society or any person appointed by the Society.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) For the purposes of this paragraph—
(a) “specified communications” means communications of such
description as are specified in the order;
(b) the descriptions of communications which may be so specified
include—
(i) communications in the form of a postal packet;
(ii) electronic communications;
(iii) communications by telephone.
(4) A communications redirection order has effect for such time not exceeding
18 months as is specified in the order.
(5) Where a communications redirection order has effect, the Society or the
person appointed by the Society may take possession or receipt of the
communications redirected in accordance with the order.
(6) Where a communications redirection order is made, the Society must pay
to—
(a) _ in the case of an order relating to postal packets, the postal operator
concerned, and
(b) in any other case, the person specified in the order,
the like charges (if any) as would have been payable for the redirection
of the communications to which the order relates if the addressee had
permanently ceased to occupy or use the premises or other destination of
the communications and had applied to the postal operator or the specified
person (as the case may be) to redirect the communications to him as
mentioned in the order.
(7) The High Court may, on the application of the Society, authorise the Society,
or a person appointed by it, to take such steps as may be specified in the
order in relation to any website purporting to be or have been maintained by
or on behalf of the solicitor or his firm if the High Court is satisfied that the
taking of those steps is necessary to protect the public interest or the interests
of clients (or potential or former clients) of the solicitor or his firm.
(8) In this paragraph “postal operator” and “postal packet” have the meaning
given by section 125(1) of the Postal Services Act 2000.
(9) This paragraph does not apply where the powers conferred by this Part of
this Schedule are exercisable by virtue of paragraph 3.”
(11) In paragraph 11(1) (trusts) for “controlled trust” substitute “ trust ”.
(12) In paragraph 12 (liens) for “and documents” substitute “ , documents and other
property ”.
(13) After paragraph 13 (costs) insert—
“13A1) The High Court, on the application of the Society, may order a former
partner of the solicitor to pay a specified proportion of the costs mentioned
in paragraph 13.
(2) The High Court may make an order under this paragraph only if it is
satisfied that the conduct (or any part of the conduct) by reason of which the
powers conferred by this Part were exercisable in relation to the solicitor was
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
conduct carried on with the consent or connivance of, or was attributable to
any neglect on the part of, the former partner.
(3) In this paragraph “specified” means specified in the order made by the High
Court.”
Commencement Information
1406 Sch. 16 para. 77 wholly in force at 31.3.2009 see s. 211 and S.1. 2009/503, art. 2(b)(i) (subject to art. 4)
BB Omit Schedule 1A (inadequate professional services).
Commencement Information
1407 Sch. 16 para. 78 in force at 6.10.2010 by S.1. 2010/2089, art. 2(b) (with art. 6)
79 Omit Schedule 2 (the compensation fund).
Commencement Information
1408 Sch. 16 para. 79 wholly in force at 31.3.2009 see s. 211 and S.1. 2009/503, art. 2(b)(i) (subject to art. 5)
PART 2
THE ADMINISTRATION OF JUSTICE ACT 1985 (C. 61)
80 The Administration of Justice Act 1985 is amended in accordance with this Part
of this Schedule.
Commencement Information
1409 Sch. 16 para. 80 in force at 7.3.2008 by S.1. 2008/: art. 2(j)(ii)
81 (1) Section 9 (incorporated practices) is amended as follows.
(2) In subsection (1)—
(a) for “Council” (in both places) substitute “ Society ”,
(b) in paragraph (a) for “by solicitors” to the end substitute “ of legal services
bodies; ”,
F164(c)
(d) in paragraph (c)—
(i) for “conditions” substitute “ requirements ”, and
(ii) omit “corporate”.
(3) After that subsection insert-—
“(LA) Where the Society makes rules under subsection (1), it must by rules under
subsection (1)(c) prescribe the requirement that (subject to any exceptions
provided by the rules) recognised bodies must not provide services other
than—
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Document Generated: 2024-12-05
‘Status: 7
This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) solicitor services, or
(b) _ solicitor services and other relevant legal services.
(1B) “Relevant legal services” means—
(a) _ solicitor services, and
(b) where authorised persons other than solicitors or registered
European lawyers are managers or employees of, or have an interest
in, a recognised body, services of the kind provided by individuals
practising as such authorised persons (whether or not those services
involve the carrying on of reserved legal activities within the
meaning of the Legal Services Act 2007).
(1C) The Society may by rules under this section provide that services specified,
or of a description specified, in the rules are not to be treated as solicitor
services or other relevant legal services.”
(4) In subsection (2)—
(a)
(b)
(c)
(d)
(©)
for “Council” (in both places) substitute “ Society ”,
in paragraph (a) for “are to be” to the end substitute “ , or for the renewal
of such recognition, are to be made, and requiring such applications to be
accompanied by a fee of such amount as the Society may from time to time
determine; ”,
afier that paragraph insert—
“(aa) for the manner and form in which other applications under
the rules are to be made, and requiring such applications to
be accompanied by a fee of such amount as the Society may
from time to time determine;”,
for paragraphs (c) to (e) substitute—
“(c) about the time when any recognition, or renewal of
recognition, takes effect and the period for which it is
(subject to the provisions made by or under this Part) to
remain in force;
(d) for the suspension or revocation of any such recognition,
on such grounds and in such circumstances as may be
prescribed by the rules;
(e) about the effect on the recognition of a partnership or other
unincorporated body (“the existing body”) of any change in
the membership of the existing body, including provision
for the existing body's recognition to be transferred where
the existing body ceases to exist and another body succeeds
to the whole or substantially the whole of its business;
(ea) for the keeping by the Society of a register containing the
names and places of business of all bodies which are for
the time being recognised under this section, and such other
information relating to those bodies as may be specified in
the rules;
(eb) for information (or information of a specified description)
on such a register to be made available to the public,
including provision about the manner in which, and times
at which, information is to be made so available;”, and
after paragraph (f) insert—
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
we
Psy
3
“(fa) about the education and training requirements to be met by
managers and employees of recognised bodies;
(fb) for rules made under any provision of the 1974 Act to
have effect in relation to managers and employees of
recognised bodies with such additions, omissions or other
modifications as appear to the Society to be necessary or
expedient;
(fc) requiring recognised bodies to appoint a person or persons
to monitor compliance, by the recognised body, its
managers and its employees, with requirements imposed on
them by or by virtue of this Act or any rules applicable to
them by virtue of this section;”.
(5) After subsection (2) insert—
“(2A) Ifrules under this section provide for the recognition of legal services bodies
which have one or more managers who are not legally qualified, the rules
must make provision—
(a) for the recognition of such bodies to be suspended or revoked, on
such grounds and in such circumstances as may be prescribed by
the rules;
(b) as to the criteria and procedure for the Society's approving, as
suitable to be a manager of a recognised body, an individual who
is not legally qualified (and for the Society's withdrawing such
approval).
(2B) Rules under this section may make provision for appeals to the High Court
against decisions made by the Society under the rules—
(a) to suspend or revoke the recognition of any body;
(b) not to approve, as suitable to be the manager of a recognised body,
an individual who is not legally qualified (or to withdraw such
approval).
(2C) The rules may provide for appeals against decisions within subsection (2B)
(b) to be brought by the individual to whom the decision relates (as well as
the body).
(2D) In relation to an appeal under rules made by virtue of subsection (2B), the
High Court may make such order as it thinks fit as to payment of costs.
(2E) The decision of the High Court on such an appeal shall be final.
(2F) Where the Society decides to recognise a body under this section it must
grant that recognition subject to one or more conditions if—
(a) the case is of a kind prescribed for the purposes of this section by
rules made by the Society, and
(b) _ the Society considers that it is in the public interest to do so.
(2G) While a body is recognised under this section, the Society—
(a) must direct that the body's recognition is to have effect subject to
one or more conditions if—
(i) the case is of a prescribed kind, and
(ii) the Society considers that it is in the public interest to do so;
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) may, in such circumstances as may be prescribed, direct that the
body's recognition is to have effect subject to such conditions as the
Society may think fit.
“Prescribed” means prescribed by rules made by the Society.
(2H) The conditions which may be imposed under subsection (2F) or (2G)
include—
(a) conditions requiring the body to take specified steps that will, in the
opinion of the Society, be conducive to the carrying on by the body
of an efficient business;
(b) conditions which prohibit the body from taking any specified steps
except with the approval of the Society;
(c) if rules under this section provide for the recognition of legal
services bodies which have one or more managers who are not
legally qualified, a condition that all the managers of the body must
be legally qualified.
“Specified” means specified in the condition.
(21) Rules made by the Society may make provision about when conditions
imposed under this section take effect (including provision conferring power
on the Society to direct that a condition is not to have effect until the
conclusion of any appeal in relation to it).
(2J) Section 86A of the 1974 Act applies to rules under this section as it applies
to rules under that Act.
(2K) Rules under this section may contain such incidental, supplemental,
transitional or transitory provisions or savings as the Society considers
necessary or expedient.”
(6) For subsection (3) substitute—
“(3) Despite section 24(2) of the 1974 Act, section 20 of that Act (prohibition on
unqualified person acting as solicitor) does not apply to a recognised body;
and nothing in section 24(1) of that Act applies in relation to such a body.”
(7) Omit subsection (4).
(8) In subsection (5) omit “corporate”.
(9) In subsection (7)—
(a) for “Secretary of State” (in both places) substitute “ Lord Chancellor ”, and
(b) for “the commencement of this section” substitute “ or in the same session
as the Legal Services Act 2007 was passed ”.
(10) In subsection (8)—
(a) after the definition of “the 1974 Act” insert—
authorised person” means an authorised person in relation to an
activity which is a reserved legal activity (within the meaning of the
Legal Services Act 2007);”,
(b) for “ “the Council” and “the Society” have” substitute
(c) after the definition of “the Society” insert—
the Society” has”,
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
legally qualified” and “legal services body” have the meaning
given by section 9A;
“manager”, in relation to a body, has the same meaning as in the
Legal Services Act 2007 (see section 207 of that Act);”,
(d) omit the definition of “officer”,
(e) in the definition of “recognised body” omit “corporate”, and
(f) after the definition of “registered European lawyer” insert—
‘solicitor services” means professional services such as are
provided by individuals practising as solicitors or lawyers of other
jurisdictions;
and a person has an interest in a body if the person has an interest in the
body within the meaning of Part 5 of the Legal Services Act 2007 (see
sections 72 and 109 of that Act). ”
(11) Omit subsection (9).
Textual Amendments
F168 Sch. 16 para. 81(2)(c) repealed (1.11.2015) by ‘The Legal Services Act 2007 (The Law Society)
(Modification of Functions) Order 2015 (S.1. 2015/401), arts. 1(3), 3(3)
Commencement Information
1410 Sch. 16 para. $1(1)(9) in force at 30.6.2008 by S.1. 2008/1436, art. 2(d)(ii); Sch. 16 para. 81 in force at
31.3.2009 by S.I. 2009/503, art. 2(b)(ii) (subject to art. 4)
82 Afier that section insert—
“9A Legal services bodies
(1) For the purposes of section 9, a “legal services body” means a body
(corporate or unincorporate) in respect of which —
(a) the management and control condition, and
(b) the relevant lawyer condition,
are satisfied.
(2) The management and control condition is satisfied if—
(a) at least 75% of the body's managers are legally qualified,
(b) _ the proportion of shares in the body held by persons who are legally
qualified is at least 75%,
(c) the proportion of voting rights in the body which persons who are
legally qualified are entitled to exercise, or control the exercise of,
is at least 75%,
(d) all the persons with an interest in the body who are not legally
qualified are managers of the body, and
(e) all the managers of the body who are not legally qualified are
individuals approved by the Society as suitable to be managers of
a recognised body.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) The Society may by rules under section 9 provide that, in relation to specified
kinds of bodies, subsection (2) applies as if the references to 75% were to
such greater percentage as may be specified (and different percentages may
be specified for different kinds of bodies).
(4) The relevant lawyer condition is satisfied in relation to a body if at least one
manager of the body is—
(a) asolicitor,
(b) aregistered European lawyer, or
(c) a qualifying body.
(5) For that purpose a qualifying body is a body in respect of which—
(a) the management and control condition [""is] satisfied". . .
(b) _ the relevant lawyer condition is satisfied by virtue of subsection (4)
(a) or (b), and
(c) _ the services condition is satisfied.
(6) For the purposes of this section the following are legally qualified—
(a) an authorised person who is an individual;
(b) a registered foreign lawyer (within the meaning of section 89 of the
Courts and Legal Services Act 1990 (c. 41);
(c) a person entitled to pursue professional activities under a
professional title to which the Directive applies in a state to which
the Directive applies (other than the title of barrister or solicitor in
England and Wales);
(d) an authorised person which is a body in respect of which—
(i) the services condition is satisfied, and
(ii) the management and control condition would be satisfied if
the references in subsection (2) to persons who are legally
qualified were to persons who are legally qualified by virtue
of paragraphs (a) to (c);
(e) a body which provides professional services such as are provided
by individuals who are authorised persons or lawyers of other
jurisdictions, and in respect of which the management and control
condition would be satisfied if the references in subsection (2) to
persons who are legally qualified were to persons who are legally
qualified by virtue of paragraphs (a) to (c).
[7a legal partnership which—
(i) was in existence immediately before the commencement of
this paragraph,
(ii) since that time has continued to be a partnership of the kind
mentioned in rule 12.01(1)(b), 12.02(1)(b) or 12.04(1)(c)
(i) of the pre-commencement conduct rules (framework of
practice), and
(iii) has not, since that time, had a body corporate (other than a
body within paragraph (g)) as a member;
(g) a body corporate which—
(i) was recognised under section 9 immediately before the
commencement of this paragraph, and
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(ii) has since that time continued to satisfy the requirements
of rule 14.03(1) and 14.04(1) to (3) or the requirements
of rule 14.05(1) to (3) of the pre-commencement conduct
tules (restrictions on directors, owners etc. of incorporated
practices);
(h) a body which—
(i) is an authorised person and satisfies the services condition,
or
(ii) provides professional services such as are provided by
individuals who are authorised persons or lawyers of other
jurisdictions,
and which satisfies the requirements of rules under subsection (6C).
(6A) For the purposes of subsection (6)(f), a partnership is to be treated as the
same partnership despite a change in membership, if any person who was a
member before the change remains a member.
(6B) For the purposes of subsection (6)(f) and (g), the references in the pre-
commencement conduct rules to a recognised body are to be construed as
references to a body which was recognised under section 9 immediately
before the commencement of subsection (6)(f) and (g).
(6C) The Society must make rules for the purposes of paragraph (h) of
subsection (6) prescribing the requirements relating to management and
control which must be satisfied by or in relation to a body for it to fall within
that paragraph.]
(7) For the purposes of this section, the services condition is satisfied in relation
to a body if the body provides only services which may be provided by a
recognised body (having regard to rules under section 9(1A) and (1C)).
(8) For the purposes of this section—
“authorised person” has the same meaning as in section 9;
["'” “ the Directive ” means Directive 98/5/EC of the European
Parliament and the Council, to facilitate practice of the profession
of lawyer on a permanent basis in a Member State other than that in
which the qualification was obtained; I
“legal partnership” means a partnership in which a solicitor, a
registered European lawyer or a recognised body is permitted to
practise by virtue of rules made under section 31 of the Solicitors
Act 1974 (c. 47), as those rules had effect immediately before the
commencement of subsection (6)(f);
“manager”, in relation to a body, has the meaning given by
section 9;
[ « pre-commencement conduct rules ” means rules under
Part 2 of the Solicitors Act 1974 or section 9 of this Act, known
as the Solicitors' Code of Conduct 2007, as those rules had effect
immediately before the commencement of subsection (6)(f) and (g);
]
“recognised body” has the same meaning as in section 9
["4(subject to subsection (6B) above)];
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“registered European lawyer” has the same meaning as in
section 9;
“shares” has the same meaning as for the purposes of Part 5 of
the Legal Services Act 2007 (see sections 72 and 109 of that Act);
["5 “ the Society ” has the meaning given by section 87(1) of the
Solicitors Act 1974; ]
“specified” means specified in rules made by the Society;
and a person has an interest in a body if the person has an interest in the body
for the purposes of section 9.”
Textual Amendments
F169 Word in Sch. 16 para. 82 substituted (27.11.2008) by The Legal Services Act 2007 (Functions of a
Designated Regulator) Order 2008 (S.I. 2008/3074), art. 2(2)(a)
F170 Words in Sch. 16 para. 82 omitted (27.11.2008) by virtue of The Legal Services Act 2007 (Functions of
a Designated Regulator) Order 2008 (S.I. 2008/3074), art. 2(2)(b)
FI71 Words in Sch. 16 para. 82 inserted (27.11.2008) by The Legal Services Act 2007 (Functions of a
Designated Regulator) Order 2008 (S.I. 2008/3074), art. 2(3)
F172 Words in Sch. 16 para. 82 inserted (27.11.2008) by The Legal Services Act 2007 (Functions of a
Designated Regulator) Order 2008 (S.I. 2008/3074), art. 2(4)(a)
F173 Words in Sch. 16 para. 82 inserted (27.11.2008) by The Legal Services Act 2007 (Functions of a
Designated Regulator) Order 2008 (S.I. 2008/3074), art. 2(4)(b)
F174 Words in Sch. 16 para. 82 inserted (27.11.2008) by The Legal Services Act 2007 (Functions of a
Designated Regulator) Order 2008 (S.I. 2008/3074), art. 2(4)(c)
F175 Words in Sch. 16 para. 82 substituted (27.11.2008) by The Legal Services Act 2007 (Functions of a
Designated Regulator) Order 2008 (S.I. 2008/3074), art. 2(4)(d)
Commencement Information
H411_ Sch. 16 para. 82 in force at 31.3.2009 by S.I. 2009/503, art. 2(b)(ii)
83 (1) Section 10 (penalty for pretending to be a body recognised under section 9) is
amended as follows.
(2) In subsection (1) omit “corporate” (in both places).
(3) In subsection (2) omit “corporate”.
(4) For subsection (3) substitute—
“(3) Where an offence under this section committed by a body corporate is
proved to have been committed with the consent or connivance of or to be
attributable to any neglect on the part of an officer of the body corporate, that
officer (as well as the body corporate) is guilty of the offence and is liable
to be proceeded against and punished accordingly.
(4) Where the affairs of a body corporate are managed by its members,
subsection (3) applies in relation to the acts and defaults of a member in
connection with the member's functions of management as it applies to an
officer of the body corporate.
(5) Proceedings for an offence under this section alleged to have been committed
by an unincorporated body are to be brought in the name of that body (and not
in that of any of its members) and, for the purposes of any such proceedings,
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SCHEDULE 16 ~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
any rules of court relating to the service of documents have effect as if that
body were a corporation.
(6) A fine imposed on an unincorporated body on its conviction of an offence
under this section is to be paid out of the funds of that body.
(7) If an unincorporated body is charged with an offence under this section,
section 33 of the Criminal Justice Act 1925 (c. 86) and Schedule 3 to the
Magistrates' Courts Act 1980 (c. 43) (procedure on charge of an offence
against a corporation) have effect in like manner as in the case of a
corporation so charged.
(8) Where an offence under this section committed by an unincorporated body
(other than a partnership) is proved to have been committed with the consent
or connivance of, or to be attributable to any neglect on the part of, any officer
of the body or any member of its governing body, that officer or member
as well as the unincorporated body is guilty of the offence and liable to be
proceeded against and punished accordingly.
(9) Where an offence under this section committed by a partnership is proved to
have been committed with the consent or connivance of, or to be attributable
to any neglect on the part of, a partner, that partner as well as the partnership
is guilty of the offence and liable to be proceeded against and punished
accordingly.
(10) In this section “officer”, in relation to a body corporate, means—
(a) any director, secretary or other similar officer of the body corporate,
or
(b) any person who was purporting to act in any such capacity.”
Commencement Information
1412. Sch. 16 para. 83 in force at 31.3.2009 by S.1. 2009/503, art. 2(b)(ii)
1413. Sch. 16 para. 83(3) in force at 1.10.2011 by S.L. 2011/2196, art. 2(1)(f)
84 — (1) Section 43 (jurisdiction and powers of Solicitors Disciplinary Tribunal in relation to
complaints against solicitors) is amended as follows.
(2) In subsection (2)(a) for “(7) to” substitute “ (9) to”.
(3) After subsection (3) insert—
“(3A) Nothing in section 157 of the Legal Services Act 2007 (approved regulators
not to make provision for redress) prevents an order being made under
subsection (3).”
(4) For subsection (5) substitute—
“(5) An appeal under section 49 of the Solicitors Act 1974 against an order of the
Tribunal under subsection (3) lies only at the instance of the solicitor with
respect to whom the legal aid complaint was made.”
Commencement Information
1414. Sch. 16 para. 84(1)(2)(4) in force at 31.3.2009 by S.L. 2009/503, art. 2(b)(ii)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
85 In the title of Schedule 2, for “Incorporated practices” substitute “ Legal services
practices ”.
Commencement Information
1415. Sch. 16 para. 85 in force at 31.3.2009 by S.
1009/5
3, art. 2(b)(ii)
86 In paragraph 1 of that Schedule (interpretation)—
(a) in sub-paragraph (1) omit “corporate”,
(b) in sub-paragraph (2) omit—
(i) paragraph (b) and the “or” immediately preceding it,
(ii) “corporate”, and
(iii) “or application”,
(c) _ after that sub-paragraph insert—
“(2A) References in this Schedule to a manager or employee of a
recognised body, in relation to a complaint (other than such
a complaint as is mentioned in paragraph 16(1A)(a)), include
references to a person who was such a manager or employee at the
time when the conduct to which the complaint relates took place.”,
(d) omit sub-paragraph (3),
(e) in sub-paragraph (4) omit from “; and for those purposes” to the end,
(f) in sub-paragraph (5) for “sub-paragraphs (3) and (4)” substitute “ sub-
paragraphs (4) and (6) ”, and
(g) for sub-paragraph (6) substitute—
“(6) In this Schedule—
“manager”, in relation to a body, has the same meaning as in
the Legal Services Act 2007 (see section 207 of that Act);
“registered European lawyer” has the same meaning as in
section 9A;
“the 1974 Act” means the Solicitors Act 1974.”
Commencement Information
1416 Sch. 16 para. 86(g) in force for certain purposes at 30.6.2008 by S.I. 2008/1436, art. 2(d)(ii); Sch. 16
para. 86 in force at 31.3.2009 by S.I. 209/503, art. 2(b)(ii) (subject to art. 4)
87 For paragraph 2 of that Schedule (appeal against refusal of Council to grant
recognition) substitute—
“Appeal against refusal of Society to grant recognition etc
2 (1) A body may appeal to the High Court against—
(a) a decision to refuse an application by the body for recognition
under section 9;
(b) a decision to impose a condition under subsection (2F) of that
section on the body's recognition under that section;
(c) adecision to impose a condition under subsection (2G) of that
section on the body's recognition under that section.
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SCHEDULE 16 ~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) A recognised body whose recognition is subject to a condition within
section 9(2H)(b) may appeal to the High Court against any decision by
the Society to refuse to approve the taking of any step for the purposes
of that condition.
(3) Rules made by the Society may make provision, as respects any
application for recognition that is neither granted nor refused by the
Society within such period as may be specified in the rules, for enabling
an appeal to be brought under this paragraph in relation to the application
as if it had been refused by the Society.
(4) On an appeal under sub-paragraph (1)(a) or (b), the High Court may—
(a) affirm the decision of the Society,
(b) direct the Society to grant the body recognition under section 9
free from conditions or subject to such conditions as the High
Court may think fit,
(c) direct the Society not to recognise the body,
(d) if the Society has recognised the body, by order suspend the
recognition, or
(e) make such other order as the High Court thinks fit.
(5) On an appeal under sub-paragraph (1)(c), the High Court may—
(a) _ affirm the decision of the Society,
(b) direct that the body's recognition under section 9 is to have effect
subject to such conditions as the High Court may think fit,
(c) by order revoke the direction given by the Society under
section 9(2G), or
(d) make such other order as the High Court thinks fit.
(6) On an appeal under sub-paragraph (2), the High Court may—
(a) affirm the decision of the Society,
(b) direct the Society to approve the taking of one or more steps for
the purposes of a condition within section 9(2H)(b), or
(c) make such other order as the High Court thinks fit.
(7) In relation to an appeal under this paragraph, the High Court may make
such order as it thinks fit as to payment of costs.
(8) The decision of the High Court on an appeal under this paragraph is
final.”
Commencement Information
1417 Sch. 16 para. 87 in force at 31.3.2009 by S.I. 2009/03, art. 2(b)(ii)
88 For paragraph 3 of that Schedule (accounts rules) substitute—
“3 (1) This paragraph applies where rules made under section 32(1) of the 1974
Act are applied—
(a) to recognised bodies in accordance with section 9(2)(f) of this
Act, or
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342 Legal Services Act 2007 (¢. 29)
SCHEDULE 16 ~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) to managers or employees of such bodies in accordance with
section 9(2)(fb) of this Act.
(2) The Society may disclose a report on or information about the accounts
of a recognised body, or a manager or employee of a recognised body,
obtained in pursuance of such rules for use—
(a) in investigating the possible commission of an offence by the
body or any of its managers or employees, and
(b) in connection with any prosecution of the body or any of its
managers or employees consequent on the investigation.”
Commencement Information
1418 Sch. 16 para. 88 in force at 3
2009 by S.I. 209/503, art. 2(b)(ii)
89 In paragraph 4 of that Schedule (interest on clients' money)—
(a) in sub-paragraph (1)—
(i) for “section 33(1)(a)” substitute “ section 33(1)”, and
(ii) for the words from “and subject to” to the end substitute “, a
recognised body is not liable to account to any client, other person
or trust for interest received by the recognised body on money held
at a bank or building society in an account which is for money
received or held for, or on account of—
(a) clients of the recognised body, other
persons or trusts, generally, or
(b) that client, person or trust separately.”,
and
(b) omit sub-paragraph (2).
Commencement Information
1419 Sch. 16 para. 89 in force at 31.3.2009 by S.. 2009/503, art. 2(b)(ii)
90 After that paragraph insert—
“4ZA Where rules made under section 32 of the 1974 Act and containing any such
provision as is referred to in section 33(1) of that Act are applied to managers
or employees of recognised bodies in accordance with section 9(2)(fb), then,
except as provided by the rules, a manager or employee to whom the rules
are applied is not liable to account to any client, other person or trust for
interest received by the manager or employee on money held at a bank or
building society in an account which is for money received or held for, or
on account of—
(a) clients of the recognised body, other persons or trusts, generally, or
(b) that client, person or trust, separately.”
Commencement Information
1420 Sch. 16 para. 90 in force at 31.3.2009 by S.I. 2009/503, art. 2(b)(ii)
91 For paragraph 4A of that Schedule (inspection of bank accounts) substitute—
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
yw
&
De}
“4A (1) This paragraph applies where rules made under section 33A(1) of the
1974 Act are applied—
(a) to recognised bodies in accordance with section 9(2)(f) of this
Act, or
(b) to managers or employees of such bodies in accordance with
section 9(2)(fb) of this Act.
(2) The Society may disclose information about the accounts of a recognised
body, or a manager or employee of a recognised body, obtained in
pursuance of such rules for use—
(a) _ in investigating the possible commission of an offence by the
body or any of its managers or employees, and
(b) in connection with any prosecution of the body or any of its
managers or employees consequent on the investigation.”
Commencement Information
1421. Sch. 16 para. 91 in force at 31.3.2009 by S.1. 2009/503, art. 2(b)(ii)
92 For paragraph 5 of that Schedule (accountants' reports) substitute—
“S Where rules made under section 34 of the 1974 Act are applied to
recognised bodies in accordance with section 9(2)(f), section 34(9) and
(10) of that Act apply in relation to a recognised body as they apply in
relation to a solicitor.”
Commencement Information
1422. Sch. 16 para. 92 in force at 31.3.2009 by S.1. 2009/503, art. 2(b)(ii)
93 After that paragraph insert—
“SA Where rules made under section 34 of the 1974 Act are applied to managers
or employees of recognised bodies in accordance with section 9(2)(fb),
section 34(9) and (10) of that Act apply in relation to a manager or employee
to which the rules are applied as they apply in relation to a solicitor.”
Commencement Information
1423 Sch. 16 para. 93 in force at 31.3.2009 by S.1. 2009/503, art. 2(b)(ii)
94 For paragraph 6 of that Schedule (compensation fund) substitute—
6 (1) Section 36 of the 1974 Act applies in relation to recognised bodies as if
for paragraphs (a) and (b) of subsection (1) there were substituted—
“(a) an act or omission of a recognised body or former
recognised body;
(b) anact or omission of a manager or employee, or former
manager or employee, of a recognised body or former
recognised body;”.
344 Legal Services Act 2007 (¢. 29)
SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) Section 36A(2) and (3) of the 1974 Act applies in relation to recognised
bodies as it applies in relation to solicitors.”
Commencement Information
1424. Sch. 16 para. 94 wholly in force at 31.3.2009, see s. 211 and S.1, 2009/503, art. 2(b)(ii) (subject to art. 5)
95 In paragraph 7 of that Schedule (solicitor who is justice of the peace not to act in
certain proceedings) for “an officer” (in both places) substitute “ a manager ”.
Commencement Information
1425. Sch. 16 para. 95 in force at 31.3.2009 by S.1. 2009/503, art. 2(b)(ii)
96 In paragraph 9 of that Schedule (restriction on employment of person struck off roll
or suspended)—
(a) _ the existing provision becomes sub-paragraph (1) and in that sub-paragraph
after “recognised body” insert “ (and any manager or employee of it)”, and
(b) after that sub-paragraph insert—
“(2) No recognised body (or manager or employee of such a body)
may, except in accordance with a written permission granted by
the Society under this paragraph, permit a person to whom sub-
paragraph (3) applies to—
(a) bea manager of the body, or
(b) have an interest in the body;
and for this purpose a person has an interest in the body if he has
an interest in the body within the meaning of Part 5 of the Legal
Services Act 2007 (see sections 72 and 109 of that Act).
(3) This sub-paragraph applies to a person who to the knowledge of the
recognised body (or, as the case may be, the manager or employee)
is a person—
(a) who is disqualified from practising as a solicitor by reason
of one of the facts mentioned in section 41(1)(a), (b) or
(c) of the 1974 Act (name struck off the roll, suspension
etc), or
(b) in respect of whom there is a direction in force under
section 47(2)(g) of that Act (prohibition on restoration to
roll).
(4) Permission granted for the purposes of sub-paragraph (2) may
be granted for such period and subject to such conditions as the
Society thinks fit.
(5) A person aggrieved by the refusal of the Society to grant
permission under sub-paragraph (4), or by any conditions attached
by the Society to the grant of any such permission may appeal to
the High Court which may—
(a) confirm the refusal or the conditions, as the case may be, or
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SCHEDULE 16 ~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) grant a permission under this paragraph for such period
and subject to such conditions as it thinks fit.
(6) In relation to an appeal under sub-paragraph (5) the High Court
may make such order as it thinks fit as to payment of costs.
(7) The decision of the High Court on an appeal under sub-
paragraph (5) is final.”
Commencement Information
1426 Sch. 16 para. 96 in force at 31.3.2009 by S.I. 2009/503, art. 2(b)(ii)
97 In paragraph 10 of that Schedule (failure to disclose striking off or suspension)—
(a) the existing paragraph becomes sub-paragraph (1) of that paragraph,
(b) _ in that sub-paragraph after “recognised body” insert “ (or any manager or
employee of such a body) ”, and
(c) _ after that sub-paragraph insert—
“(2) It is an offence for a person (“P”) to whom sub-paragraph (3)
applies—
(a) to seek or accept from any person an interest in a
recognised body, without previously informing that person
(and, if different, the recognised body) that P is a person
to whom that sub-paragraph applies, or
(b) to seek or accept a position as a manager of a recognised
body, without previously informing that body that P is such
a person.
(3) This sub-paragraph applies to a person—
(a) who is disqualified from practising as a solicitor by reason
of one of the facts mentioned in section 41(1)(a), (b) or
(c) of the 1974 Act (name struck off the roll, suspension
etc), or
(b) in respect of whom there is a direction in force under
section 47(2)(g) of that Act (prohibition on restoration to
roll).
(4) A person guilty of an offence under sub-paragraph (2) is liable on
summary conviction to a fine not exceeding level 3 on the standard
scale.
(5) Subsection (2) of section 42 of the 1974 Act applies in relation to
an offence under sub-paragraph (2) as it applies in relation to an
offence under that section.
(6) For the purposes of sub-paragraph (2)(a) a person seeks or accepts
an interest in a recognised body if the person seeks or accepts an
interest which if it were obtained by the person would result in the
person having an interest in that body within the meaning of Part
5 of the Legal Services Act 2007 (see sections 72 and 109 of that
Act).”
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SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1427 Sch. 16 para. 97 in force at 31.3.2009 by S.1. 2009/503, art. 2(b)(ii)
98 Omit paragraph 11 of that Schedule (control of employment of persons convicted
of offences of dishonesty and certain other persons).
Commencement Information
1428. Sch. 16 para. 98 in force at 31.3.2009 by S.I. 2009/503, art. 2(b)(ii)
99 Omit paragraph 12 of that Schedule (offences in connection with orders under
section 43(2) of the 1974 Act).
Commencement Information
1429 Sch. 16 para. 99 in force at 31.3.2009 by S.I. 2009/503, art. 2(b)(ii)
100 Omit paragraph 13 of that Schedule (redress for inadequate professional services).
Commencement Information
1430 Sch. 16 para. 100 in force at 6.10.2010 by S.I. 2010/2089, art. 2(b) (with art. 6)
101 For paragraph 14 of that Schedule (examination of files) substitute—
“Information about suitability for recognition
14 (1) The Society may give a notice under this paragraph if it is satisfied that
it is necessary to do so for the purpose of investigating whether—
(a) a recognised body continues to be suitable to be recognised
under section 9, or
(b) a manager of a recognised body who is not legally qualified
(within the meaning of section 9A) continues to be suitable to
be a manager of a recognised body.
(2) A notice under this paragraph is a notice which requires a person within
sub-paragraph (3)—
(a) to provide information, or information of a description,
specified in the notice, or
(b) to produce documents, or documents of a description, specified
in the notice.
(3) The persons are—
(a) the recognised body;
(b) an employee or manager of the recognised body;
(c) aperson who has an interest in the recognised body (within the
meaning of the Legal Services Act 2007 (see sections 72 and
109 of that Act)).
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2007 (c. 29) 347
SCHEDULE 16 ~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) For the purposes of this paragraph, section 44B(4) to (7) of the 1974 Act
applies—
(a) inrelation to a notice under this paragraph as if it were a notice
under section 44B of that Act, and
(b) in relation to a person given a notice under this paragraph as if.
that person were a person given a notice under that section,
and references in subsections (6) and (7) of that section to powers
conferred by that section are to be read as references to powers conferred
by this paragraph.
(5) Where powers conferred by Part 2 of Schedule 1 to the 1974 Act are
exercisable in relation to a person within paragraph (a), (b) or (c) of sub-
paragraph (3), they continue to be so exercisable after the person has
ceased to be a person within the paragraph in question.
(6) Section 44BA of the 1974 Act (power to require explanation of
document or information) applies in relation to a notice under this
paragraph and the person to whom such a notice is given as it applies
in relation to a notice under section 44B of the 1974 Act and the person
to whom such a notice is given.
(7) Subsection (1) of section 44BC of that Act (falsification of documents
etc) applies in relation to an investigation of the kind mentioned in sub-
paragraph (1) as it applies in relation to the investigations mentioned
in that subsection, and subsections (2), (4) and (5) of that section apply
accordingly.
(8) Subsection (3) of that section (provision of false information etc) applies
in relation to a requirement imposed under this paragraph as it applies
in relation to a requirement imposed by section 44B of that Act, and
subsections (4) and (5) of that section apply accordingly.”
Commencement Information
1431 Sch. 16 para. 101 wholly in force at 31.3.2009 see s. 211 and S.1. 2009/503, art. 2(b)(ii) (subject to art. 4)
102
For paragraph 14A of that Schedule (payment of costs of investigations)
substitute—
“Power to charge for costs of investigation
14A (1) The Society may make regulations prescribing charges to be paid to
the Society by recognised bodies who are the subject of a discipline
investigation.
(2) A discipline investigation is an investigation carried out by the Society
into a failure or apprehended failure by a recognised body to comply
with any requirement imposed by or by virtue of this Act or any rules
applicable to it by virtue of section 9.
(3) Regulations under this paragraph may—
(a) make different provision for different cases or purposes;
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SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) provide for the whole or part of a charge payable under the
regulations to be repaid in such circumstances as may be
prescribed by the regulations.
(4) Any charge which a recognised body is required to pay under regulations
under this paragraph is recoverable by the Society as a debt due to the
Society from the recognised body.
(5) This paragraph applies in relation to a manager or employee of a
recognised body as it applies in relation to a recognised body.”
Commencement Information
1432 Sch. 16 para. 102 wholly in force at 31.3.2009 see s. 211 and S.I. 2009/503, art. 2(b)(ii) (subject to art. 4)
103 After that paragraph insert—
“Disciplinary powers of the Society
14B (1) This paragraph applies where the Society is satisfied that a recognised body,
or a manager or employee of a recognised body, has failed to comply with
a requirement imposed by or by virtue of this Act or any rules applicable to
that person by virtue of section 9 of this Act.
(2) The Society may do one or both of the following—
(a) _ give the person a written rebuke;
(b) direct the person to pay a penalty not exceeding £2,000.
(3) The Society may publish details of any action it has taken under sub-
paragraph (2)(a) or (b), if it considers it to be in the public interest to do so.
(4) Where the Society takes action against a person under sub-paragraph (2)(b),
or decides to publish under sub-paragraph (3) details of such action under
sub-paragraph (2)(a) or (b), it must notify the person in writing that it has
done so.
(5) A penalty imposed under sub-paragraph (2)(b) does not become payable
until—
(a) the end of the period during which an appeal against the decision
to impose the penalty, or the amount of the penalty, may be made
under paragraph 14C, or
(b) _ifsuch an appeal is made, such time as it is determined or withdrawn.
(6) The Society may not publish under sub-paragraph (3) details of any action
under sub-paragraph (2)(a) or (b)—
(a) during the period within which an appeal against—
(i) the decision to take the action,
(ii) in the case of action under sub-paragraph (2)(b), the amount
of the penalty, or
(iii) the decision to publish the details,
may be made under paragraph 14C, or
(b) if such an appeal has been made, until such time as it is determined
or withdrawn.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(7) The Society must make rules—
(a) prescribing the circumstances in which the Society may decide to
take action under sub-paragraph (2)(a) or (b);
(b) about the practice and procedure to be followed by the Society in
relation to such action;
(c) governing the publication under sub-paragraph (3) of details of
action taken under sub-paragraph (2)(a) or (b);
and the Society may make such other rules in connection with the exercise
of its powers under this paragraph as it considers appropriate.
(8) Before making rules under sub-paragraph (7), the Society must consult the
Tribunal.
(9) A penalty under this paragraph may be recovered as a debt due to the Society,
and is to be forfeited to Her Majesty.
(10) The Lord Chancellor may, by order, amend paragraph (b) of sub-
paragraph (2) so as to substitute for the amount for the time being specified
in that paragraph such other amount as may be specified in the order.
(11) Before making an order under sub-paragraph (10), the Lord Chancellor must
consult the Society.
(12) An order under sub-paragraph (10) is to be made by statutory instrument
subject to annulment in pursuance of a resolution of either House of
Parliament.
(13) This paragraph is without prejudice to any power conferred on the Society,
or any other person, to make an application or complaint to the Tribunal.
14C (1) A person may appeal against—
(a) a decision by the Society to rebuke that person under paragraph
14B(2)(a) if a decision is also made to publish details of the rebuke;
(b) a decision by the Society to impose a penalty on that person under
paragraph 14B(2)(b) or the amount of that penalty;
(c) a decision by the Society to publish under paragraph 14B(3) details
of any action taken against that person under paragraph 14B(2)(a)
or (b).
(2) Subsections (9)(b), (10)(a) and (b), (11) and (12) of section 46 of the 1974
Act (Tribunal rules about procedure for hearings etc) apply in relation to
appeals under this paragraph as they apply in relation to applications or
complaints, except that subsection (11) of that section is to be read as if for
“the applicant” to “application)” there were substituted “ any party to the
appeal ”.
(3) Rules under section 46(9)(b) of the 1974 Act may, in particular, make
provision about the period during which an appeal under this paragraph may
be made.
(4) On an appeal under this paragraph, the Tribunal has power to make an order
which—
(a) affirms the decision of the Society;
(b) revokes the decision of the Society;
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SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(c) in the case of a penalty imposed under paragraph 14B(2)(b), varies
the amount of the penalty;
(d) _ in the case of a recognised body, contains provision for any of the
matters mentioned in paragraph 18(2);
(e) in the case of a manager or employee of a recognised body, contains
provision for any of the matters mentioned in paragraph 18A(2);
(f) makes such provision as the Tribunal thinks fit as to payment of
costs.
(5) Where, by virtue of sub-paragraph (4)(e), an order contains provision for
any of the matters mentioned in sub-paragraph (2)(c) of paragraph 18A, sub-
paragraphs (5) and (6) of that paragraph apply as if the order had been made
under sub-paragraph (2)(c) of that paragraph.
(6) An appeal from the Tribunal shall lie to the High Court, at the instance of the
Society or the person in respect of whom the order of the Tribunal was made.
(7) The High Court shall have power to make such order on an appeal under this
paragraph as it may think fit.
(8) Any decision of the High Court on an appeal under this section shall be final.
(9) This paragraph is without prejudice to any power conferred on the Tribunal
in connection with an application or complaint made to it.”
Commencement Information
1433 Sch. 16 para. 103 wholly in force at 31.3.2009 see s. 211 and S.1. 2009/503, art. 2(b)(ii) (subject to art. 4)
104 In paragraph 16 of that Schedule (complaints to Tribunal with respect to recognised
bodies)—
(a) _ in sub-paragraph (1), in paragraph (a) omit “in the United Kingdom”,
(b) in paragraph (b) of that sub-paragraph for “section 34 of the 1974 Act”
substitute “ any requirement imposed by or by virtue of this Act ”,
(c) for paragraph (c) of that sub-paragraph substitute—
“(c) a complaint that the body has acted in contravention
of section 41 of the 1974 Act or paragraph 9(2) of
this Schedule or of any conditions subject to which a
permission has been granted under section 41 of that Act
or that paragraph of this Schedule; or”, and
(d) after that sub-paragraph insert—
“(1A) The Tribunal shall have jurisdiction to hear and determine any
of the following complaints made to it under this paragraph with
respect to a manager or employee of a recognised body (“the
relevant person”)—
(a) acomplaint that the relevant person has been convicted by
any court of a criminal offence which renders that person
unsuitable to be a manager or employee (or both) of a
recognised body;
(b) acomplaint that the relevant person has failed to comply
with any requirement imposed by or by virtue of this Act
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
or any rules applicable to the relevant person by virtue of
section 9 of this Act;
(c) a complaint that the relevant person has acted in
contravention of section 41 of the 1974 Act or paragraph
9(2) of this Schedule or of any conditions subject to which
a permission has been granted under that section or for the
purposes of paragraph 9(2) of this Schedule;
(d) acomplaint that the relevant person has knowingly acted
in contravention of an order under section 43(2) of
the 1974 Act or of any conditions subject to which a
permission has been granted under such an order.”
Commencement Information
1434 Sch. 16 para. 104 in force at 31.3.2009 by S.I. 2009/03, art. 2(b)(ii)
105 In paragraph 17 of that Schedule (procedure on applications and complaints)—
(a) for “(7)” substitute “ (9) ”,
(b) in paragraph (a)—
(i) omit “11(1), 15(2) or”,
(ii) omit “13(3) or”, and
(iii) after “16(1)” insert “ or (1A) ”, and
(c) in paragraph (c) after “body” insert “ or, in the case of such a complaint
as is mentioned in paragraph 16(1A), to a manager or employee of such
a body ”.
Commencement Information
1435. Sch. 16 para. 105(a)(b)(i)(iii)(c) in force at 31.
1436 Sch. 16 para. 105(b)(ii) in force at 6.10.2010 by S.
3.2009 by S.1. 2009/503, art. 2(b)(ii)
. 2010/2089, art. 2¢(b) (with art. 6)
106 In paragraph 18 of that Schedule (powers of Tribunal with respect to recognised
bodies) —
(a) in sub-paragraph (1) after “this Schedule” insert “ (other than paragraph
16(1A) ”,
(b) in paragraph (b) of that sub-paragraph for “section 34 of the 1974 Act”
substitute “ any requirement imposed by or by virtue of this Act ”,
(c) omit paragraph (d) of that sub-paragraph and the “or” immediately
preceding it,
(d) in sub-paragraph (2) omit “not exceeding £3,000”, and
(e) omit sub-paragraphs (3) and (4).
Commencement Information
1437 Sch. 16 para. 106(a)(b)(d) in force and Sch. 16 para. 106(e) in force for certain purposes at 31.3.2009
by S.1. 2009/03, art. 2(b)(ii)
1438 Sch. 16 para. 106(c) in force at 6.10.2010 by S.1. 2010/2089, art. 2(b) (with art. 6)
1439 Sch. 16 para. 106(e) in force at 1.10.2011 in so far as not already in force by S.. 2011/2196, art. 2(1)(f)
107 Afier that paragraph insert—
352 Legal Services Act 2007 (¢. 29)
SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“18A1) Where, on the hearing of any complaint made to it under paragraph 16(1A)
of this Schedule, the Tribunal is satisfied that a manager or employee of a
recognised body—
(a) has been convicted as mentioned in paragraph (a) of paragraph
16(1A),
(b) _ has failed to comply with any requirement imposed by or by virtue
of this Act or any rules applicable to the relevant person by virtue
of section 9 of this Act, or
(c) has acted as mentioned in paragraph (c) or (d) of paragraph 16(1A),
the Tribunal may, if it thinks fit, make one or more of the orders referred to
in sub-paragraph (2).
(2) Those orders are—
(a) an order directing the payment by the relevant person of a penalty
to be forfeited to Her Majesty;
(b) an order requiring the Society to consider taking such steps as the
Tribunal may specify in relation to the relevant person;
(c) if the person is not a solicitor, an order which states one or more of
the matters mentioned in sub-paragraph (3);
(d) an order requiring the Society to refer to an appropriate regulator
any matter relating to the conduct of the relevant person.
(3) The matters referred to in sub-paragraph (2)(c) are—
(a) that as from the specified date—
(i) no solicitor or employee of a solicitor shall employ or
remunerate, in connection with the practice carried on by
that solicitor, the person with respect to whom the order is
made, and
(ii) no recognised body, or manager or employee of such a body,
shall employ or remunerate that person, in connection with
the business of the recognised body,
except in accordance with a Society permission;
(b) that as from the specified date no recognised body or manager or
employee of such a body shall, except in accordance with a Society
permission, permit the person with respect to whom the order is
made to be a manager of the body;
(c) that as from the specified date no recognised body or manager or
employee of such a body shall, except in accordance with a Society
permission, permit the person with respect to whom the order is
made to have an interest in the body.
(4) For this purpose a person has an interest in a body if the person has an interest
in the body within the meaning of Part 5 the Legal Services Act 2007 (see
sections 72 and 109 of that Act).
(5) Subsections (1) to (1C), (3) and (4) of section 44 of the 1974 Act (offences
in connection with orders under section 43(2) of that Act) apply in relation
to an order under sub-paragraph (2)(c) as they apply in relation to an order
under section 43(2) of that Act, except that references in those subsections
to provision within section 43(2)(a), (b) or (c) of that Act are to be read as
references to provision within sub-paragraph (3)(a), (b) or (c).
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SCHEDULE 16 ~The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
w
a
3
(6) Section 44(2) of the 1974 Act, paragraph 16(1)(d) and (1A)(d) of this
Schedule and paragraph 15(3A) of Schedule 14 to the Courts and Legal
Services Act 1990 apply in relation to an order under sub-paragraph (2)(c)
as they apply in relation to an order under section 43(2) of the 1974 Act.
(7) For the purposes of sub-paragraph (2)(d) an “appropriate regulator” in
relation to the relevant person means—
(a) if the person is an authorised person in relation to a reserved legal
activity for the purposes of the Legal Services Act 2007, any relevant
approved regulator (within the meaning of that Act) in relation to
that person, and
(b) if the person carries on activities which are not reserved legal
activities, any body which regulates the carrying on of such activities
by the person.”
Commencement Information
1440. Sch. 16 para. 107 wholly in force at 31.3.2009 see s. 211 and S.1. 2009/503, art. 2(b)(ii) (subject to art. 4)
108 In paragraph 20 of that Schedule (powers of Tribunal in respect of legal aid
complaints), in sub-paragraph (1)—
(a) for “an officer” substitute “ a manager ”,
(b) for “director” substitute “ manager ”, and
HUAG)) seqauss = sepes:s sveass +s segss see
and omit sub-paragraph (2).
Textual Amendments
F176 Sch. 16 para. 108(c) repealed (1.4.
2012 (¢. 10), s. 151(1), Sch. 5 Pt. 2;
in S.I. 2013/534, art. 6)
13) by Legal Aid, Sentencing and Punishment of Offenders Act
1. 2013/453, art. 3(h) (with savings and transitional provisions
Commencement Information
1441 Sch. 16 para. 108 in force at 31.3.2009 by S.1. 2009/503, art. 2(b){
109 In paragraph 21 of that Schedule (revocation of recognition by reason of default
by director)—
(a) in sub-paragraph (1), in paragraph (a) for “director” substitute “ manager ”,
(b) in paragraph (b) of that sub-paragraph for “director” (in both places)
substitute “ manager ”,
(c) in paragraph (c) of that sub-paragraph for “director” (in both places)
substitute “ manager ”,
(d) in sub-paragraph (3) for “director” (in both places) substitute “ manager
” and
(e) after that sub-paragraph insert—
“(4) The reference in paragraph (c) of sub-paragraph (1) to a person
employed by a recognised body includes a reference to a person
who was so employed at the time of the conduct leading to the
making of the order referred to in that paragraph.”
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354 Legal Services Act 2007 (¢. 29)
SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1442 Sch. 16 para. 109 in force at 31.3.2009 by S.I. 2009/503, art. 2(b)(ii)
110 In paragraph 23 (orders as to remuneration for non-contentious business)—
(a) _ the existing provision becomes sub-paragraph (1) of that paragraph,
(b) in that sub-paragraph for “regulating (in accordance with paragraph 22)”
substitute “ prescribing (by virtue of paragraph 22) general principles to be
applied when determining ”,
(c) in that sub-paragraph for paragraph (b) substitute—
“(b) in paragraph (d), the reference to the solicitor or any
employee of the solicitor who is an authorised person were
a reference to any manager or employee of the recognised
body who is an authorised person.”, and
(d) after that sub-paragraph insert-—
“(2) In this paragraph “authorised person” means a person who is an
authorised person in relation to an activity which is a reserved legal
activity, within the meaning of the Legal Services Act 2007 (see
section 18 of that Act).”
Commencement Information
1443. Sch. 16 para. 110 in force at 31.3.2009 by S.1. 2009/503, art. 2(b)(ii)
MW For paragraph 24 of that Schedule (effect of contentious business agreements)
substitute—
“24 (1) This paragraph applies in relation to a contentious business agreement
made between a recognised body and a client.
(2) A provision in the agreement that the body shall not be liable for the
negligence of any of its managers or employees shall be void if the client
is a natural person who, in entering that agreement, is acting for purposes
which are outside his trade, business or profession.
(3) A provision in the agreement that the body shall be relieved from any
responsibility to which it would otherwise be subject in the course of
carrying on its business as a recognised body shall be void.
(4) A provision in the agreement that any manager of the body shall be
relieved from any responsibility to which the manager would otherwise
be subject in the course of the carrying on by the body of its business as
a recognised body shall be void.”
Commencement Information
1444 Sch. 16 para. 111 in force at 30.6.2008 by S.I. 2008/1436, art. 2(4)(ii)
112 In paragraph 25 of that Schedule (effect of supervening incapacity on contentious
business agreements)—
(a) for sub-paragraph (1)(b) substitute—
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“(b) a relevant insolvency event occurs in relation to the
body;”,
(b) in sub-paragraphs (2) and (3)—
(i) for “taxation” (in each place) substitute “ assessment ”, and
(ii) for “taxing officer” (in each place) substitute “ costs officer ”,
(c) in sub-paragraph (3) for “any officer” substitute “ any manager ”, and
(d) after that sub-paragraph insert—
“(4) For the purposes of this paragraph a relevant insolvency event
occurs in relation to a recognised body if—
(a) a resolution for a voluntary winding-up of the body is
passed without a declaration of solvency under section 89
of the Insolvency Act 1986;
(b) the body enters administration within the meaning of
paragraph 1(2)(b) of Schedule B1 to that Act;
(c) an administrative receiver within the meaning of
section 251 of that Act is appointed;
(d) ameeting of creditors is held in relation to the body under
section 95 of that Act (creditors' meeting which has the
effect of converting a members’ voluntary winding up into
a creditors' voluntary winding up);
(e) an order for the winding up of the body is made.”
Commencement Information
1445. Sch. 16 para. 112(a)(c)(d) in force at 30.6.2008 by S.1. 2008/1436, art. 2(d)(ii); Sch. 16 para. 112(b) in
force at 1.1.2010 by S.I. 2009/3250, art. 2(f)(ii) (with art. 9)
113 In paragraph 26 of that Schedule (taxations with respect to contentious business )—
(a) in the paragraph heading for “Taxations” substitute “ Assessments ”,
(b) the existing paragraph becomes sub-paragraph (1) and in that sub-
paragraph —
(i) for “taxation” substitute “ assessment ”,
(ii) for “taxing officer” substitute “ costs officer ”
(iii) after “the body” (in the second place) insert “ or any manager or
employee of the body ”, and
(iv) for “any solicitor, being an officer” substitute “ any authorised
person, being a manager ”, and
(c) after that sub-paragraph insert—
“(2) In this paragraph “authorised person” means an authorised person,
in relation to an activity which is a reserved legal activity, within
the meaning of the Legal Services Act 2007.”
Commencement Information
1446 Sch. 16 para. 113(b)(iii) in force at 30.6.2008 by S.I. 2008/1436, art. 2(4)(ii) (as amended by S.L
2008/1591, art. 2(2)); Sch. 16 para. 113(b)(iv)(c) in force at 31.3.2009 by S.1. 2009/503, art. 2(b)(ii);
Sch. 16 para. 113(a)(b)(4)(ii) in force at 1.1.2010 by S.I. 2009/3250, art. 2(f)(ii) (with art. 9)
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
114 In paragraph 28 (power of court to order recognised body to pay over clients’
money) afier “client” (in the third place) insert “ or any manager or employee of
such a body ”.
Commencement Information
1447 Sch. 16 para. 114 in force at 31.3.2009 by S.I. 2009/503, art. 2(b)(ii)
115 For paragraph 29 of that Schedule (actions to recover costs) substitute—
“29 (1) Subsection (2A) of section 69 of the 1974 Act shall have effect in relation
to a bill of costs delivered by a recognised body as if for paragraphs (a)
and (b) there were substituted—
“(a) _ signed on behalf of the recognised body by any manager
or employee of the body authorised by it to do so, or
(b) enclosed in, or accompanied by, a letter which is so
signed and refers to the bill.”
(2) Subsection (2E) of that section shall have effect in relation to such a bill
as if for “the solicitor” there were substituted “ the recognised body ”.
Commencement Information
1448 Sch. 16 para. 115 in force at 7.3.2008 by S.I. 2008/222, art. 2(j)(ii)
116 In paragraph 30 (power of Society to inspect files relating to certain proceedings),
for paragraph (b) substitute—
“(b) for the appointment of an administrative receiver within the meaning
of section 251 of the Insolvency Act 1986; or”.
Commencement Information
1449 Sch. 16 para. 116 in force at 31.3.2009 by S.I. 2009/503, art. 2(b)(ii)
117 In paragraph 31 of that Schedule (bank accounts)—
(a) omit “or (2)”, and
(b) after “bank” insert “ or building society ”.
Commencement Information
1450 Sch. 16 para.117 in force at 31.3.2009 by S.I. 2009/503, art. 2(b)(ii)
118 After that paragraph insert—
“31A Where rules made under section 32(1) of the 1974 Act are applied to
managers or employees in accordance with section 9(2)(fb) of this Act,
section 85 of the 1974 Act shall apply in relation to a manager or employee
to whom the rules are applied who keeps an account with a bank or building
society in pursuance of any such rules as it applies in relation to a solicitor
who keeps such an account in pursuance of rules under section 32.”
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SCHEDULE 16 ~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1451 Sch. 16 para. 118 in force at 31.3.2009 by S.1. 2009/503, art. 2(b)(ii)
119 (1) Paragraph 32 of that Schedule (intervention by Society) is amended as follows.
(2) In sub-paragraph (1)(a)—
(a) for “Council are” substitute “ Society is ”,
(b) after “recognised body” insert “ or a manager of such a body ”, and
(c) for “it” substitute “ the body or manager ”.
(3) For sub-paragraph (1)(c) substitute—
“(c) arelevant insolvency event occurs in relation to a recognised body;
or”.
(4) In sub-paragraph (1)(d)—
(a) for “Council have” substitute “ Society has ”,
(b) for “officer” substitute “ manager ”, and
(c) for “that body's” to the end substitute—
“(i) that body's business,
(ii) any trust of which that body is or was a trustee,
(iii) any trust of which the manager or employee is or
was a trustee in his capacity as such a manager or
employee, or
(iv) the business of another body in which the manager
or employee is or was a manager or employee or
the practice (or former practice) of the manager or
employee; or”.
(5) After sub-paragraph (1)(d) insert—
“(e) the Society is satisfied that it is necessary to exercise the powers
conferred by Part 2 of Schedule I to the 1974 Act (or any of them)
in relation to a recognised body to protect—
(i) the interests of clients (or former or potential clients) of the
recognised body,
(ii) the interests of the beneficiaries of any trust of which the
recognised body is or was a trustee, or
(iii) the interests of the beneficiaries of any trust of which
a person who is or was a manager or employee of the
recognised body is or was a trustee in that person's capacity
as such a manager or employee;”.
(6) After sub-paragraph (1) insert-—
“(1A) For the purposes of this paragraph a relevant insolvency event occurs in
relation to a recognised body if—
(a) aresolution fora voluntary winding-up of the body is passed without
a declaration of solvency under section 89 of the Insolvency Act
1986;
(b) _ the body enters administration within the meaning of paragraph 1(2)
(b) of Schedule B1 to that Act;
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(c) an administrative receiver within the meaning of section 251 of that
Act is appointed;
(d) _ameeting of creditors is held in relation to the body under section 95
of that Act (creditors' meeting which has the effect of converting a
members’ voluntary winding up into a creditors' voluntary winding
up);
(e) an order for the winding up of the body is made.”
(7) Omit sub-paragraph (2).
Commencement Information
1452 Sch. 16 para. 119 in force at 31.3.2009 by S.1. 2009/503, art. 2(b)(ii)
120 For paragraph 33 of that Schedule (further grounds for intervention)—
(a) for paragraph (a) substitute—
“(a) the Society is satisfied that there has been undue delay—
(i) on the part of a recognised body in connection
with any matter in which it is or was acting on
behalf of a client or with any trust of which it is
or was a trustee, or
(ii) on the part of a person who is or was a manager or
employee of a recognised body in connection with
any trust of which the manager or employee is or
was a trustee in his capacity as such a manager or
employee;”, and
(b) in paragraph (c) for “Council regard” substitute “ Society regards ”.
Commencement Information
1453 Sch. 16 para. 120 in force at 31.3.2009 by S.I. 2009/03, art. 2(b)(ii)
121 In paragraph 34 of that Schedule (powers of intervention on revocation of
recognition etc), in sub-paragraph (1)—
(a) omit “corporate” (in both places), and
(b) in paragraph (a), after “revoked” insert “ in accordance with rules under
that section or”.
Commencement Information
1454. Sch. 16 para. 121 in force at 31.3.2009 by S.L. 2009/503, art. 2(b)(ii)
122 In paragraph 35 of that Schedule (provision relating to the application of Part 2 of
Schedule I to the Solicitors Act 1974)—
(a) in paragraph (a) omit “corporate”, and
(b) omit “and” at the end of paragraph (b) and after paragraph (c) insert—
“(d) paragraph 6(2)(a) of that Schedule is to be construed as
including a reference to sums of money held by or on
behalf of the recognised body in connection with any
trust of which a person who is or was a manager of the
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
recognised body is or was a trustee in his capacity as such
a manager;
(ce) paragraph 9 of that Schedule is to be construed—
(i) as if sub-paragraph (1) included a reference to
documents in the possession or under the control
of the recognised body in connection with any
trust of which a person who is or was a manager
or employee of the recognised body is or was
a trustee in his capacity as such a manager or
employee, and
(ii) as applying to such a manager or employee and
documents and property in his possession or under
his control in connection with such a trust as it
applies to a solicitor and documents and property
in the possession or under the control of the
solicitor;
(f) paragraph 11(1) of that Schedule is to be construed as
including a power for the Society to apply to the High
Court for an order for the appointment of a new trustee
to a trust in substitution for a person who is a trustee, in
his capacity as a manager or employee of the recognised
body; and
(g) paragraph 13A of that Schedule is to be read as if the
references to a former partner were references—
(i) in the case of a recognised body which is a
partnership, to a former partner in the partnership,
and
(ii) in any other case to a manager or former manager
of the recognised body.”
Commencement Information
1455. Sch. 16 para. 122 in force at 31.3.2009 by S.I. 2009/03, art. 2(b)(ii)
123 In paragraph 36 of that Schedule (privilege from disclosure etc)—
(a) for sub-paragraph (1) substitute—
“(1) Where a recognised body acts as such for a client, any
communication, document, material or information is privileged
from disclosure in like manner as if the recognised body had at all
material times been a solicitor acting for the client.”,
(b) _ in sub-paragraph (3) for “an officer” substitute “ a manager ”, and
(c) after that sub-paragraph insert—
“(4) This paragraph does not apply to a recognised body which holds
a licence under Part 5 of the Legal Services Act 2007 (alternative
business structures).”
Commencement Information
1456. Sch. 16 para. 123 in force at 31.3.2009 by S.L. 2009/503, art. 2(b)(ii)
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360 Legal Services Act 2007 (¢. 29)
SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
PART 3
THE COURTS AND LEGAL SERVICES ACT 1990 (C. 41)
124 The Courts and Legal Services Act 1990 is amended in accordance with this Part
of this Schedule.
Commencement Information
1457 Sch. 16 para. 124 in force at 7.3.2008 by S.I. 200!
art. 2) (iii)
125 In section 89 (foreign lawyers: recognised bodies and partnerships with solicitors)
(a) for subsection (3)(a)(iv) substitute—
“(iv) sections 36 and 36A (compensation grants); and”,
(b) in subsection (4), for paragraphs (a) to (d) substitute “ to make different
provision with respect to registered foreign lawyers to the provision made
with respect to solicitors. ”,
(c) in subsection (5) for “Secretary of State” substitute “ Lord Chancellor ”,
(d) in paragraph (a) of that subsection for “the commencement of this section”
substitute “ or in the same Session as the Legal Services Act 2007 was
passed ”,
(e) in subsection (6) for “Secretary of State” substitute “ Lord Chancellor ”,
(f) in subsection (7) for “Secretary of State” (in both places) substitute “ Lord
Chancellor ”,
(g) in paragraph (a) of that subsection for “the commencement of this section”
substitute “ or in the same Session as the Legal Services Act 2007 was
passed ”,
(h) _ in that subsection for “officers” substitute “ managers ”,
(i) after subsection (8) insert—
“(8A) Rules and regulations made by the Law Society under, or by
virtue of, this section or Schedule 14 which are not regulatory
arrangements within the meaning of the Legal Services Act 2007
are to be treated as such arrangements for the purposes of that
Act.”, and
(j) in subsection (9), afier the definition of “foreign lawyer” insert—
manager”, in relation to a body, has the same meaning as in the
Legal Services Act 2007 (see section 207 of that Act);”.
Commencement Information
1458. Sch. 16 para. 125(c)(d)(e)(H(g) in force at 30.6.2008 by S.I. 2008/1436, art. 2(d)(iii) (as amended by
S.L 2008/1591, art. 2(2)); Sch. 16 para. 125 in force at 31.3.2009 by S.I. 2009/503, art. 2(b)(iii) (subject
to art. 4)
126 Schedule 14 to that Act (foreign lawyers: partnerships and recognised bodies) is
amended as follows.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1459 Sch. 16 para. 126 in force at 7.3.2008 by S.1. 2008/22, art. 2(j)(iii)
127 In paragraph I (interpretation) omit the definitions of “the Council” and “controlled
trust”.
Commencement Information
1460 Sch. 16 para. 127 in force at 31.3.2009 by S.1. 2009/503, art. 2(b)¢
128 In paragraph 2 (application for registration)—
(a) for “Council” in each place substitute “ Society ”,
(b) in sub-paragraph (1)(b) for “the Master of the Rolls” substitute “ the Legal
Services Board”,
(c) in sub-paragraph (2)—
(i) for “Law Society” substitute “ Society ”, and
(ii) for paragraphs (a) and (b) substitute “ for members of that
profession to be managers of recognised bodies. ”,
(d) omit sub-paragraph (3),
(e) in sub-paragraph (4)—
(i) for “Master of the Rolls” substitute “ Legal Services Board”, and
(ii) in paragraph (a) afier “including” insert “ the form of the register
and”,
(f) in that sub-paragraph, after paragraph (b) insert “and
(c) the making available to the public of the information
contained in the register (including the manner in which,
and hours during which, the information is to be made
so available and whether the information is to be made
available free of charge).”, and
(g) omit sub-paragraph (5).
Commencement Information
1461 Sch. 16 para. 128(a)(c)(i) in force at 7.3.2008 by S.1. 2008/222, art. 2(j) ‘h. 16 para. 128(c)(ii) in
force at 30.6.2008 by S.I. 2008/1436, art. 2(d)(iii) (as amended by S.I. 2008/1591, art. 2(2)); Sch. 16
para. 128(d)(e)(ii)(D(g) in force at 1.7.2009 by S.I. 2009/1365, art. 2(b)(i); Sch. 16 para. 128(b)(e)(i) in
force at 1.1.2010 by S.1. 2009/3250, art. 2(f)(ii) (with art. 9)
129 Afier paragraph 2 insert—
“2A (1) The Society may direct that a foreign lawyer's registration is to have effect
subject to such conditions as the Society thinks fit to impose.
(2) A direction under sub-paragraph (1) may be given in respect of a foreign
lawyer
(a) at the time he is first registered, or
(b) at any time when the registration has effect.”
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SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1462 Sch. 16 para. 129 in force at 1.7.2009 by S.1. 2009/1365, art. 2(b)(i)
130 In paragraph 3 (duration of registration) in sub-paragraphs (2) and (3)(c) for
“Council” substitute “ Society ”.
Commencement Information
1463 Sch. 16 para. 130 in force at 7.3.2008 by S.1. 2008/222, art. 2(j)
131 In paragraph 5 (intervention in practices)—
(a) in sub-paragraph (3)(a) and (b)—
(i) for “Council have” substitute “ Society has ”, and
(ii) omit “by virtue of his being a member of that partnership”,
(b) after sub-paragraph (3)(b) insert—
“(ba) _ the Society has reason to suspect dishonesty on the part of
the registered foreign lawyer (“L”) in connection with—
(i) the business of any person of whom L is or was
an employee, or of any body of which L is or was
a manager, or
(ii) any business which is or was carried on by L as
a sole trader;”,
(c) in sub-paragraph (3)(c) for “Council are” substitute “ Society is ”,
(d) _ after sub-paragraph (3)(e) insert—
“(ea) the Society is satisfied that he has abandoned his
practice;”,
(e) in sub-paragraph (3)(i)—
(i) for “Council are” substitute “ Society is ”, and
(ii) for “an officer” (in both places) substitute “a manager”,
(f) after that sub-paragraph insert—
“(j)__ the Society is satisfied that it is necessary to exercise the
intervention powers (or any of them) in relation to the
registered foreign lawyer to protect—
(i) the interests of clients (or former or potential
clients) of the registered foreign lawyer or the
multi-national partnership, or
(ii) the interests of the beneficiaries of any trust of
which the registered foreign lawyer is or was a
trustee.”,
(g) omit sub-paragraph (4),
(h) in sub-paragraph (5)(a) for “a complaint is made to the Society” substitute
“the Society is satisfied ”,
(i) in sub-paragraph (5)(a)(ii) for “controlled trust” substitute “ trust ”,
(j) in sub-paragraph (5)(c) for “Council regard” substitute “ Society regards
” and
(k) _ after sub-paragraph (9) insert—
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Legal Services Act 2007 (c. 29)
SCHEDULE 16 ~The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
w
ES
3
“(10) In this paragraph “manager”, in relation to a recognised body,
has the same meaning as in the Legal Services Act 2007 (see
section 207 of that Act).”
Commencement Information
1464 Sch. 16 para. 131 in force at 31.3.2009 by S.1. 2009/503, art. 2(b)(iii)
132 For paragraph 6 (compensation fund) substitute—
“6 Section 36 of the 1974 Act applies in relation to registered foreign lawyers
as if for paragraphs (a) and (b) of subsection (1) there were substituted—
“(a) an act or omission of a registered foreign lawyer or former
registered foreign lawyer;
(b) an act or omission of an employee or former employee
of a registered foreign lawyer or former registered foreign
lawyer;”.
Commencement Information
1465. Sch. 16 para. 132 wholly in force at 31
2009 see s. 211 and S.1. 2009/503, art. 2(b)(iii) (subject to art. 5)
133 For paragraph 7 (contributions to fund) substitute—
“7 Section 36A(2) and (3) of the 1974 Act applies in relation to registered
foreign lawyers as it applies in relation to solicitors.”
Commencement Information
1466 Sch. 16 para. 133 in force at 31.3.2009 by S.I. 2009/503, art. 2(b)(iii)
134 For paragraph 8 (accountants' reports) substitute —
“8 Section 34 of the Act of 1974 applies in relation to registered foreign lawyers
as it applies in relation to solicitors.”
Commencement Information
1467 Sch. 16 para. 134 in force at 31.3.2009 by S.1. 2009/503, art. 2(b) iii)
135 In paragraph 14 (appeal against conditions or refusals)—
(a) in sub-paragraph (1)—
(i) for “Master of the Rolls” substitute “ High Court ”, and
(ii) for “2(3)” substitute “2A ”,
(b) omit sub-paragraph (2),
(c) in sub-paragraph (3)—
(i) omit “to him”,
(ii) for “Master of the Rolls” substitute “ High Court ”, and
(iii) for “he” substitute “ it”, and
(d) _ after that sub-paragraph insert—
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364 Legal Services Act 2007 (¢. 29)
SCHEDULE 16~ The Law Society, solicitors, recognised bodies and foreign lawyers
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“(4) In relation to an appeal under this paragraph the High Court may
make such order as it thinks fit as to payment of costs.
(5) The decision of the High Court on an appeal under this paragraph
shall be final.”
Commencement Information
1468. Sch. 16 para. 135 wholly in force at 1.7.2009 see s. 211 and S.[. 2009/1365, art. 2(b)(ii) (subject to art. 4)
136 In paragraph 15 (jurisdiction and powers of disciplinary tribunal) —
(a) after sub-paragraph (3) insert-—
“(3A) Any person who alleges that a registered foreign lawyer has
knowingly acted in contravention of any order under section 43(2)
of the Act of 1974 or of any conditions subject to which a
permission has been granted under such an order may make a
complaint to the Tribunal.”,
(b) _ in sub-paragraph (4)(c), omit “not exceeding £5,000”, and
(c) omit sub-paragraph (5).
Commencement Information
1469 Sch. 16 para. 136 in force at 31.3.2009 by S.I. 2009/503, art. 2(b)(iii)
137 In paragraph 16(2) (foreign lawyers assisting Tribunal) for “Master of the Rolls”
substitute “ Legal Services Board ”.
Commencement Information
1470 Sch. 16 para. 137 in force at 1.1.2010 by S.1. 2009/3250, art. 2(f)(ii)
138 In paragraph 17 (appeals from Tribunal)—
(a) in sub-paragraph (1) for “lie—” to the end substitute “ lie to the High Court
(b) _ in sub-paragraph (2)—
(i) omit “and the Master of the Rolls”, and
(ii) for “they” substitute “ it”,
(c) in sub-paragraph (3) for “of the Master of the Rolls on an appeal under this
paragraph” substitute “ of the High Court on an appeal in the case of an
order on an application under paragraph 15(2)(d) or (e), or the refusal of
any such application, ”, and
(d) omit sub-paragraph (4).
Commencement Information
1471 Sch. 16 para. 138 wholly in force at 1.7.2009 see s. 211 and S.I. 2009/1365, art. 2(b)(ii) (subject to art. 4)
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SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
SCHEDULE 17 Section 182
LICENSED CONVEYANCING.
Part 1
ADMINISTRATION OF JUSTICE ACT 1985 (C. 61)
1 Part 2 of the Administration of Justice Act 1985 (licensed conveyancing) is
amended in accordance with this Part.
Commencement Information
1472. Sch. 17 para. 1 in force at 7.3.2008 by S.I. 2008/222 art. 2(k)
2 In section 11 (provision of conveyancing services by licensed conveyancers)—
(a) in subsection (1) for “by persons” to the end substitute “ and other services
by persons who hold licences in force under this Part or who are recognised
bodies. ”,
(b) for subsection (3) substitute—
“(3) References in this Part to conveyancing services are references
to—
(a) the preparation of transfers, conveyances, contracts and
other documents in connection with, and other services
ancillary to, the disposition or acquisition of estates or
interests in land, and
(b) any other activities which are reserved instrument
activities for the purposes of the Legal Services Act 2007
(see section 12 of and Schedule 2 to that Act).
(3A) For the purposes of subsection (3)—
(a) “disposition”
(i) does not include a testamentary disposition or any
disposition in the case of such a lease as is referred
to in section 54(2) of the Law of Property Act
1925 (short leases), but
(ii) subject to that, includes in the case of leases both
their grant and their assignment, and
(b) “acquisition” has a corresponding meaning.”, and
(c) omit subsection (4).
Commencement Information
1473. Sch. 17 para. 2 wholly in force at 1.1.2010; Sch. 17 para. 2 not in force at Royal Assent see s. 211; Sch.
17 para. 2(a) in force at 31.3.2009 by S.1. 2009/503, art. 2(c)(i); Sch. 17 para. 2 in force otherwise at
1.1.2010 by S.1. 2009/3250, art. 2(f)(iii) (with art. 9)
3 In section 12 (establishment of the Council), omit subsection (2).
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366 Legal Services Act 2007 (c. 29)
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1474 Sch. 17 para. 3 in force at 1.1.2010 by S.I. 2009/3250, art. 2(f)(iii)
4 (1) Section 15 (issue of licences by Council) is amended as follows.
(2) In subsection (3)(b), for “21” substitute “ 42 ”.
(3) In subsection (4), for “the period of” to the end substitute “ such period, beginning
with the date of issue of the licence, as may be specified in the licence. ”
(4) Omit subsections (7) and (8).
Commencement Information
1475. Sch. 17 para. 4 in force at 31.3.2009 by S.I. 2009/503, art. 2(c)(i)
5 (1) Section 16 (conditional licences) is amended as follows.
(2) In subsection (1)—
(a) after paragraph (c) insert—
“(ca) after the Investigating Committee established under
section 24 has made any order in his case under
section 24A;”, and
(b) after paragraph (e) insert—
“(ea) when, having been required by rules made under section 22
to deliver to the Council a report by an accountant, he has
not delivered such a report within the period required by the
tules;
(eb) afer having been disqualified under section 99 of the Legal
Services Act 2007 (disqualification from being manager or
employee of a licensed body etc);
(ec) after his holding of a restricted interest in a licensed body
has been approved subject to conditions under paragraph 17,
28 or 33 of Schedule 13 to that Act (ownership of licensed
bodies) or objected to under paragraph 19, 31 or 36 of that
Schedule;”.
(3) In subsection (4)—
(a) after “paragraph” insert “ (ca), ”, and
(b) after “(e),” insert “ (ea), (eb), (ec), ”.
(4) In subsection (5) for “or” at the end of paragraph (a) substitute—
“(aa) pending the hearing and determination of any appeal brought by the
applicant under paragraph 18, 20, 29, 32, 34 or 37 of Schedule 13
to the Legal Services Act 2007;
(ab) pending the review by a licensing authority, in accordance with
its licensing rules, of a determination that the applicant should be
disqualified under section 99 of the Legal Services Act 2007; or”.
(5) After that subsection insert-—
“(6) In this section—
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Legal Services Act 2007 (c. 29) 367
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“licensed body”, “licensing authority” and “licensing rules” have
the same meaning as in the Legal Services Act 2007 (see sections
71, 73 and 83 of that Act);
“restricted interest”, in relation to a body, has the same meaning
as in Schedule 13 to that Act (ownership of licensed bodies).”
Commencement Information
1476 Sch. 17 para. 5(1)(2)(a)(3)(a) in force and Sch. 17 para. 5(2)(b)(3)(b) in force for certain purposes at
31.3.2009 by S.1. 2009/503, art. 2(¢)(i)
1477 Sch. 17 para. 5(2)(b)(3)(b) in force at 1.10.2011 in so far as not already in force by S.1. 2011/2196, art.
2ay(@)
1478 Sch. 17 para. 5(4)(5) in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(g)
6 Afier section 16 insert—
“16A Ad
(1) This section applies where a person applies for a licence at a time when
section 16 has effect in relation to him by reason of the circumstances
mentioned in section 16(1)(ea).
ional fee payable by certain persons when applying for licences
(2) The application must be accompanied by an additional fee of an amount
prescribed by rules made by the Council for the purposes of this section.”
Commencement Information
1479 Sch. 17 para. 6 in force at 31.3.2009 by S.1. 209/503, art. 2(¢)(i)
7 (1) Section 17 (imposition of conditions during currency of licence) is amended as
follows.
(2) In subsection (2)(a)—
(a) after “paragraph” insert “ (ca), ”, and
(b) after “(e),” insert “ (ea), (eb), (ec), ”.
(3) In subsection (4), for “or” at the end of paragraph (a) substitute—
“(aa) pending the hearing and determination of any appeal brought by the
licensed conveyancer under paragraph 18, 20, 29, 32, 34 or 37 of
Schedule 13 to the Legal Services Act 2007;
(ab) pending the review by a licensing authority, in accordance with its
licensing rules, of a determination that the licensed conveyancer
should be disqualified under section 99 of the Legal Services Act
2007; or”,
(4) Afier subsection (5) insert—
“(6) In this section “licensing authority” and “licensing rules” have the same
meaning as in the Legal Services Act 2007 (see sections 73 and 83 of that
Act).”
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368 Legal Services Act 2007 (c. 29)
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1480 Sch. 17 para. 7(1)(2)(a) in force and Sch. 17 para. 7(2)(b) in force for certain purposes at 31.3.2009 by
S.L 2009/503, art. 2(€)(i)
1481 Sch. 17 para. 7(2)(b) in force at 1.10.2011 in so far as not already in force by S.1. 2011/2196, art. 2(1)(g)
1482 Sch. 17 para. 7(3)(4) in force at 1.10.2011 by S.1. 2011/2196, art. 2(1)(g)
8 Afier section 17 insert—
“17A Variation of conditions
(1) This section applies where a licensed conveyancer's licence has effect subject
to conditions.
(2) On an application made by the licensed conveyancer, the Council may in
prescribed circumstances direct—
(a) the removal of a condition;
(b) the variation of a condition in the manner described in the
application.
(3) “Prescribed” means prescribed by rules made by the Council.
(4) Section 14 (applications for licences) applies in relation to an application
under this section as it applies in relation to applications for a licence under
this Part.”
Commencement Information
1483 Sch. 17 para. 8 in force at 31.3.2009 by S.I. 2009/503, art. 2(¢)(i)
In section 18 (suspension or termination of licences), after subsection (2) insert—
“(2A) Where the power conferred by paragraph 6(1) or 9(1) of Schedule 5 has been
exercised in relation to a licensed conveyancer by virtue of paragraph 1(1)(a)
(i), (aa), (c) or (e) of that Schedule, the exercise of that power shall operate
immediately to suspend any licence held by that person under this Part.
(2B) Subsection (2A) does not apply if, at the time when the power referred to
there is exercised, the Council directs that subsection (2A) is not to apply in
relation to the licensed conveyancer concerned.
(2C) If, at the time when the power referred to in subsection (2A) is exercised, the
Council gives a direction to that effect, the licensed conveyancer concerned
may continue to act in relation to any matter specified in the direction as if
the licence had not been suspended by virtue of subsection (2A), but subject
to such conditions (if any) as the Council sees fit to impose.
(2D) Subject to subsection (2E), where a licence is suspended by virtue of
subsection (2A) the suspension of the licence shall continue until the licence
expires.
(2E) The licensed conveyancer may, at any time before the licence expires, apply
to the Council to terminate the suspension.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2F) On an application under subsection (2E), the Council may in its discretion—
(a) _ by order terminate the suspension either unconditionally or subject
to such conditions as the Council may think fit, or
(b) refuse the application.
(2G) If on an application by a licensed conveyancer under subsection (2E) the
Council refuses the application or terminates the suspension subject to
conditions, the licensed conveyancer may appeal against the decision of the
Council to the High Court which may—
(a) affirm the decision, or
(b) terminate the suspension either unconditionally or subject to such
conditions as it may think fit.
(2H) In relation to an appeal under subsection (2G) the High Court may make
such order as it thinks fit as to payment of costs.”
Commencement Information
1484 Sch. 17 para. 9 in force at 31.3.2009 by S.I. 2009/503, art. 2(c)(i)
10 In section 20 (rules as to professional practice, conduct and discipline), in
subsection (1) omit “, in pursuance of its general duty referred to in section 12(2),”.
Commencement Information
1485 Sch. 17 para. 10 in force at 1.1.2010 by S.1. 2009/3250, art. 2(f)(iii)
11 In section 22 (keeping of accounts and establishment of client accounts)—
(a) in subsection (3)(a) omit “qualified”, and
(b) for subsections (4) and (5) substitute—
“(4) Provision made in rules by virtue of subsection (3)(a) may provide
that the reports delivered to the Council must be reports given by
accountants in respect of whom requirements prescribed by the
rules are met.”
Commencement Information
1486 Sch. 17 para. 11 in force at 7.3.2008 by S.I. 2008)
2 art. 2(k)
12 (1) Section 24 (preliminary investigation of disciplinary cases) is amended as follows.
(2) In subsection (1)—
(a) for “preliminary investigation” substitute “ consideration ”,
(b) omit paragraph (b), and
(c) omit from “with a view” to the end.
(3) After subsection (1) insert—
“(1A) The Investigating Committee shall make a preliminary investigation of such
an allegation and—
370 Legal Services Act 2007 (c. 29)
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) hear and determine the allegation, or
(b) refer the allegation to the Discipline and Appeals Committee
established under section 25 for hearing and determination by that
Committee under section 26.”
(4) Omit subsection (2).
(5) In subsection (3) omit—
(a) “or (2)”,
(b) “or complaint” (in both places), and
(c) “or paragraph (b)”.
(6) After subsection (4) insert—
“(4A) The Council shall make rules as to the cases in which the Investigating
Committee may hear and determine an allegation, and the cases in which
they must refer an allegation to the Discipline and Appeals Committee.”
(7) In subsection (5) omit “or complaint” (in both places).
(8) After that subsection insert—
“(6) Before making a direction under subsection (5), the Investigating Committee
must give the licensed conveyancer an opportunity to make representations
against the making of the proposed direction.
(7) In relation to proceedings under subsection (6), the Investigating Committee
may make such order as they think fit as to the payment of costs by—
(a) the Council, or
(b) _ the licensed conveyancer.
(8) Where a direction under subsection (5) has been made, the licensed
conveyancer may appeal to the Discipline and Appeals Committee, and on
any such appeal the Committee may make such order as they think fit.
(9) Where an order has been made under subsection (7) the Council or the
licensed conveyancer may appeal to the Discipline and Appeals Committee,
and on any such appeal the Committee may make such order as they think fit.
(10) Where an order is made by the Discipline and Appeals Committee under
subsections (8) or (9)—
(a) the person against whom the order is made, and
(b) if not within paragraph (a), the Council,
may appeal against the order to the High Court.
(11) On an appeal under subsection (10) the High Court may make such order
as it thinks fit.
(12) The decision of the High Court on an appeal under subsection (10) shall be
final.”
Commencement Information
1487 Sch. 17 para. 12 in force at 31.3.2009 by S.I. 2009/503, art. 2(¢)(i)
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Legal Services Act 2007 (c. 29) 371
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
13 Afier section 24 insert—
“24A Determination of allegations by Investigating Committee
(1) Where, on hearing an allegation by virtue of section 24(1A)(a), the
Investigating Committee are satisfied that a licensed conveyancer—
(a) has, while holding a licence in force under this Part, failed to comply
with any condition to which that licence was subject, or
(b) _ has failed to comply with any rules made by the Council under this
Part,
the Committee may, if they think fit, make an order directing the payment
by the licensed conveyancer of a penalty to be forfeited to Her Majesty.
(2) In relation to proceedings before the Investigating Committee by virtue of
section 24(1A)(a), the Committee may make such order as they consider fit
as to the payment of costs by—
(a) the Council,
(b) the licensed conveyancer against whom the proceedings were
brought, or
(c) _ if the person on whose allegation the proceedings were brought was
heard (in person, or through a representative) by the Committee in
the course of the proceedings, that person.
(3) In subsection (2), for the purposes of paragraph (a) or (b) of that
subsection, the reference to costs includes costs incurred in connection with
a preliminary investigation of the allegation under section 24(1A).
(4) The amount of any penalty required to be paid under subsection (1) may not
exceed such amount as may be prescribed by rules made by the Council for
the purposes of this subsection.
(5) Paragraphs 1, 2(1) and (3) and 4 of Schedule 4 have effect in relation to—
(a) proceedings for the hearing and determination of an allegation
by the Investigating Committee, as they have effect in relation to
proceedings before the Discipline and Appeals Committee under
section 26, and
(b) _ orders of the Investigating Committee, as they have effect in relation
to orders of the Discipline and Appeals Committee.
(6) A person against whom an order is made by the Investigating Committee
by virtue of subsection (1) may appeal to the Discipline and Appeals
Committee, and on any such appeal the Discipline and Appeals Committee
may make such order as they think fit.
(7) Where an order is made by the Investigating Committee by virtue of
subsection (2), a person listed in paragraphs (a) to (c) of that subsection may
appeal to the Discipline and Appeals Committee, and on any such appeal the
Discipline and Appeals Committee may make such order as they think fit.
(8) Where an order is made by the Discipline and Appeals Committee under
subsection (6) or (7)—
(a) aparty to the appeal, or
(b) if not within paragraph (a), the Council,
372 Legal Services Act 2007 (c. 29)
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
may appeal against the order to the High Court.
(9) On an appeal under subsection (8) the High Court may make such order as
it thinks fit.
(10) The decision of the High Court on an appeal under subsection (8) shall be
final.”
Commencement Information
1488 Sch. 17 para. 13 in force at 31.3.2009 by S.I. 2009/503, art. 2(¢)(i)
14 In section 25 (the Discipline and Appeals Committee), in subsection (1)(b) for
“sections 27 to” substitute “ section 24A, 27, 28 or”.
Commencement Information
1489 Sch. 17 para. 14 in force at 31.3.2009 by S.
2009/503, art. 2(¢)(i)
15 (1) Section 26 (proceedings in disciplinary cases) is amended as follows.
(2) In subsection (1) after “allegation” insert “ referred to them under section 24(1A)
(b)”.
(3) In subsection (2)—
(a) in paragraph (e), for “£3,000” substitute “ such amount as may be prescribed
by rules made by the Council for the purposes of this paragraph ”,
(b) for paragraph (f) substitute—
“(f) an order reprimanding the licensed conveyancer.”, and
(c) omit paragraph (g).
(4) After subsection (2) insert—
“(2A) In relation to proceedings before the Discipline and Appeals Committee
under this section, the Committee may make such order as they consider fit
as to the payment of costs by—
(a) the Council;
(b) the licensed conveyancer against whom the proceedings were
brought;
(c) if the person on whose allegation the proceedings were brought was
heard (in person, or through a representative) by the Committee in
the course of the proceedings, that person.
(2B) In subsection (2A), for the purposes of paragraph (a) or (b) of that
subsection, the reference to costs includes costs incurred in connection with
a preliminary investigation of the allegation under section 24(1A).”
(5) Omit subsections (5) and (6).
(6) After subsection (7) insert—
“(7A) Where the Discipline and Appeals Committee make an order under
subsection (2A), a person listed in paragraphs (a) to (c) of that subsection
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w
a}
a
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
may appeal to the High Court, and on any such appeal the High Court may
make such order as it thinks fit.”
(7) In subsection (8), after “(7)” insert “ or (7A) ”.
Commencement Information
1490 Sch. 17 para. 15 in force at 31.3.2009 by S.1. 2009/503, art. 2(¢)(i)
16 In section 27 (removal of disqualification from holding a licence), after
subsection (2) insert—
“(3) In relation to proceedings on an application under subsection (1), the
Discipline and Appeals Committee may make such order as they consider
fit as to the payment of costs by—
(a) the Council;
(b) _ the applicant.”
Commencement Information
1491 Sch. 17 para. 16 in force at 31.3.2009 by S.1. 2009/503, art. 2(¢)(i)
17 In section 28 (revocation of licence on grounds of fraud or error), after
subsection (4) insert—
“(5) Inrelation to proceedings for the revocation of a licence under subsection (1),
the Discipline and Appeals Committee may make such order as they consider
fit as to the payment of costs by—
(a) the Council;
(b) _ the licensed conveyancer to whose licence the proceedings relate.
(6) In relation to proceedings on an application under subsection (2), the
Discipline and Appeals Committee may make such order as they consider
fit as to the payment of costs by—
(a) the Council;
(b) _ the applicant.”
Commencement Information
1492. Sch. 17 para. 17 in force at 31.3.2009 by S.1. 2009/503, art. 2(6)(i)
18 In section 29 (appeals from decisions of Council in relation to licences)—
(a) in subsection (1), omit “or” at the end of paragraph (b),
(b) _ in that subsection, at the end of paragraph (c) insert “or
(d) refuses an application made by that person under
section 17A,”, and.
(c) in subsection (2), after paragraph (b) insert—
“(ba) _ in the case of an appeal under subsection (1)(d), by order
direct the Council to grant the application;”.
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SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1493 Sch. 17 para. 18 in force at 31.3.2009 by S.1. 2009/503, art. 2(c)(i)
19 (1) Section 31 (application of Schedule 5) is amended as follows.
(2) In subsection (2) omit—
(a) “or complaint” (in each place), and
(b) “or paragraph (b)”.
(3) In subsection (3), for “and 12” substitute “to 12A ”.
(4) In subsection (4) omit “or complaint”.
Commencement Information
1494. Sch. 17 para. 19 in force at 31.3.2009 by S.1. 2009/503, art. 2(6)(i)
20 (1) Section 32 (provision of conveyancing services by recognised bodies) is amended
as follows.
(2) In subsection (1)(a) for “by licensed” (in the first place) to the end substitute “ of
conveyancing services bodies; ”.
(3) In subsection (1)(b) for “such services” substitute “ conveyancing services or other
relevant legal services ”.
(4) After subsection (1)(b) insert—
“(ba) prescribing the Council's arrangements for authorising recognised
bodies, for the purposes of the Legal Services Act 2007, to carry on
reserved instrument activities, or the administration of oaths, within
the meaning of that Act;”.
(5) In subsection (1)(c) for “conditions” substitute “ requirements ”.
(6) In subsection (2) omit “corporate”.
(7) In subsection (3)—
(a) in paragraph (a) after “section” insert “ , or for the renewal of such
recognition, ”,
(b) after that paragraph insert—
“(aa) for the payment of fees in connection with other
applications under the rules;”,
(c) for paragraph (c) substitute—
“(c) about the time when any recognition granted under this
section, or renewal of such recognition, takes effect and the
period for which it is (subject to the provisions of this Part)
to remain in force;
(ca) for the suspension or revocation of any such recognition,
on such grounds and in such circumstances as may be
prescribed in the rules;
(cb) about the effect on the recognition of a partnership or other
unincorporated body (“the existing body”) of any change
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
in its membership, including provision for the existing
body's recognition to be transferred where the existing body
ceases to exist and another body succeeds to the whole or
substantially the whole of its business;”,
(d) omit paragraph (d),
(e) in paragraph (e)—
(i) for “a list” substitute “ a register ”,
(ii) omit “corporate”, and
(iii) for “, and for the” to the end substitute “ and such other information
relating to those bodies as may be specified in the rules; ”,
(f) after that paragraph insert—
“(ea) for information (or information of a specified description)
on such a register to be made available to the public, and
about the manner in which and times at which, information
is to be made so available;”,
(g) after paragraph (f) insert—
“(fa) about the education and training requirements to be met by
managers and employees of recognised bodies;
(fb) for rules made under any other provision of this Part
to have effect in relation to managers and employees of
recognised bodies with such additions, omissions or other
modifications as appear to the Council to be necessary or
expedient;”, and
(h) in paragraph (g) after “recognised bodies” insert “ or managers or employees
of such bodies ”.
(8) After subsection (3) insert—
“(3A) Rules made by the Council may provide for the Council to grant a body
recognition under this section subject to one or more conditions.
(3B) Atany time while a body is recognised under this section, the Council may, in
such circumstances as may be prescribed, direct that the body's recognition
is to have effect subject to such conditions as the Council may think fit.
“Prescribed” means prescribed by rules made by the Council.
(3C) The conditions which may be imposed under subsection (3A) or (3B)
include—
(a) conditions restricting the kinds of conveyancing services that may
be provided by the body;
(b) conditions imposed by reference to criteria of general application;
(c) conditions requiring the body to take any specified steps that will,
in the opinion of the Council, be conducive to the body carrying on
an efficient business;
and conditions may be imposed despite the fact that they may result in
expenditure being incurred by the body.
(3D) On an application made by a recognised body, the Council may, in such
circumstances as may be prescribed, direct—
(a) _ the removal of a condition subject to which the body's recognition
has effect;
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) the variation of such a condition in the manner described in the
application.
(3E) For the purposes of subsection (3D)—
(a) section 14 applies in relation to an application under that subsection
as it applies in relation to an application for a licence under this Part
of this Act, and
(b) “prescribed” means prescribed by rules made by the Council.
(3F) Rules under subsection (3A) or (3B) may make provision about when
conditions imposed take effect (including provision conferring power on the
Council to direct that a condition is not to have effect until the conclusion
of any appeal in relation to it).
(3G) Rules under this section may contain such incidental, supplemental,
transitional or transitory provisions or savings as the Council considers
necessary or expedient.”
(9) Omit subsections (4) and (5).
(10) In subsection (6)—
(a) in paragraph (a) omit “corporate”, and
(b) for paragraph (b) substitute—
“(b) that a body's recognition under this section does not have
effect subject to any conditions or has effect subject to any
particular conditions,”.
(11) After subsection (7) insert—
“(8) In this section “conveyancing services body” and “relevant legal services”
have the meaning given by section 32A.
(9) The Council is capable of being designated as a licensing authority for the
purposes of, and subject to, Part 5 of the Legal Services Act 2007 (alternative
business structures).”
Commencement Information
1495 Sch. 17 para. 20 wholly in force at 31.3.2009 see s, 211 and S.I. 2009/503, art. 2(c)(i) (subject to art. 4)
21 Afier section 32 (provision of conveyancing by recognised bodies) insert—
“32A Conveyancing services bodies
(1) For the purposes of section 32 a “conveyancing services body” means a body
(corporate or unincorporate) in respect of which—
(a) the management and control condition, and
(b) _ the services condition,
are satisfied.
(2) The management and control condition is satisfied in the case of a
partnership if at least one of the partners is a licensed conveyancer.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) The management and control condition is satisfied in the case of an
unincorporated body (other than a partnership), or a body corporate which
is managed by its members, if at least one of those members is a licensed
conveyancer.
(4) The management and control condition is satisfied in the case of any other
body corporate if at least one director of the body is a licensed conveyancer.
(5) The services condition is satisfied in respect of a body if the body is carrying
on a business consisting of the provision of—
(a) conveyancing services, or
(b) conveyancing services and other relevant legal services.
(6) For the purposes of this section—.
“authorised person” means an authorised person in relation to an
activity which is a reserved legal activity (within the meaning of the
Legal Services Act 2007);
“relevant legal services”, in relation to a body, means—
(a) conveyancing services, and
(b) where authorised persons are managers or employees of, or
have an interest in, the body, services such as are provided by
individuals practising as such authorised persons (whether or
not those services involve the carrying on of reserved legal
activities within the meaning of the Legal Services Act 2007);
and a person has an interest in a body if the person has an interest in the body
within the meaning of Part 5 of the Legal Services Act 2007 (see sections
72 and 109 of that Act).”
Commencement Information
1496 Sch. 17 para. 21 in force at 31.3.2009 by S.1. 209/503, art. 2(c)(i)
22 For section 33 (legal professional privilege), substitute—
“33 Legal professional privilege
(1) Subsection (2) applies where a licensed conveyancer or recognised body acts
as such for a client.
(2) Any communication, document, material or information is privileged from
disclosure in like manner as if the licensed conveyancer or body had at all
material times been acting as the client's solicitor.
(3) This section does not apply to a recognised body which holds a licence under
Part 5 of the Legal Services Act 2007 (alternative business structures).”
Commencement Information
1497 Sch. 17 para. 22 in force at 31.3.2009 by S.I. 209/503, art. 2(c)(i)
23 Afier that section insert—
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378 Legal Services Act 2007 (c. 29)
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“33A Administration of oaths by licensed conveyancers
The Council may make rules prescribing its arrangements for authorising
licensed conveyancers, for the purposes of the Legal Services Act 2007, to
carry on activities which consist of the administration of oaths.”
Commencement Information
1498. Sch. 17 para. 23 in force at 1.1.2010 by S.I. 2009/3250, art. 2(
)
24 In section 34 (modification of existing enactments relating to conveyancing etc),
omit subsection (2)(c) to (e).
Commencement Information
1499. Sch. 17 para. 24 in force at 31.3.2009 by S.1. 2009/503, art. 2(6)(i)
25 In section 35 (penalty for pretending to be a licensed conveyancer or recognised
body), in subsection (2) omit “corporate”.
Commencement Information
1500 Sch. 17 para. 25 in force at 3
2009 by S.I. 209/503, art. 2(c)(i)
26 In section 36 (offences by bodies corporate)—
(a) the existing section becomes subsection (1) of that section and in that
subsection for “director” to “capacity” substitute “ officer of the body
corporate ”, and
(b) after that subsection insert—
“(2) Where the affairs of a body corporate are managed by its members,
subsection (1) applies in relation to the acts and defaults of a
member in connection with the member's functions of management
as it applies to an officer of the body corporate.
(3) Proceedings for an offence under this section alleged to have been
committed by an unincorporated body are to be brought in the
name of that body (and not in that of any of its members) and, for
the purposes of any such proceedings, any rules of court relating
to the service of documents have effect as if that body were a
corporation.
(4) A fine imposed on an unincorporated body on its conviction of an
offence under this section is to be paid out of the funds of that body.
(5) If an unincorporated body is charged with an offence under this
section, section 33 of the Criminal Justice Act 1925 and Schedule 3
to the Magistrates' Courts Act 1980 (procedure on charge of an
offence against a corporation) have effect in like manner as in the
case of a corporation so charged.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(6) Where an offence under this section committed by an
unincorporated body (other than a partnership) is proved to have
been committed with the consent or connivance of, or to be
attributable to any neglect on the part of, any officer of the body or
any member of its governing body, that officer or member as well
as the unincorporated body is guilty of the offence and liable to be
proceeded against and punished accordingly.
(7) Where an offence under this section committed by a partnership is
proved to have been committed with the consent or connivance of,
or to be attributable to any neglect on the part of, a partner, that
partner as well as the partnership is guilty of the offence and liable
to be proceeded against and punished accordingly.
(8) In this section “officer”, in relation to a body corporate, means—
(a) any director, secretary or other similar officer of the body
corporate, or
(b) any person who was purporting to act in any such
capacity.”
Commencement Information
1501 Sch. 17 para. 26 in force at 31.3.2009 by S.I. 2009/503, art. 2(¢)(i)
27 In section 38 (rules)—
(a) omit subsection (1), and
(b) in subsection (2) for “such rules” substitute “ rules made by the Council
under this Part”.
Commencement Information
1502 Sch. 17 para. 27 in force at 1.1.2010 by S.1. 2009/3250, art. 2(f)(iii)
28 In section 39(1) (interpretation of Part 2)—
(a) _ in the definition of “client”, in paragraph (a) omit “or his firm”,
(b) omit the definitions of “director” and “officer”,
(c) at the appropriate place insert—
manager”, in relation to a body, has the same meaning as in the
Legal Services Act 2007 (see section 207 of that Act);”, and
(d) in the definition of “recognised body” omit “corporate”.
Commencement Information
1503 Sch. 17 para. 28 in force at 31.3.2009 by S.1. 2009/503, art. 2(€)(i)
29 (1) Schedule 3 (Council for Licensed Conveyancers: supplementary pro
amended as follows.
(2) In paragraph 2(1), for “elected or nominated” substitute “ appointed ”.
380 Legal Services Act 2007 (c. 29)
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) In paragraph 2(2), for “elect” substitute “ appoint ”.
(4) Omit paragraph 2(3).
(5) Omit paragraph 3.
(6) In paragraph 4(1)—
(a) for “election or nomination” (in both places) substitute “ appointment ”,
(b) for “election of” substitute “ appointment of”, and
(c) for “elected or nominated” substitute “ appointed ”.
(7) Inparagraph 4(2), for “elected or nominated” (in each place) substitute “ appointed ”.
(8) In paragraph 4(3), for the words from “Secretary of State” (in the first place) to the
end substitute “ Legal Services Board. ”
(9) In paragraph 4(4)—
(a) for “Secretary of State” (in both places) substitute “ Legal Services Board ”,
(b) for “him” substitute “ it”, and
(c) for “he” (in both places) substitute “ it”.
(10) In paragraph 9, for “election or nomination” substitute “ appointment ”.
(11) In paragraph 10 for “Secretary of State” (in both places) substitute “ Lord Chancellor
(12) In paragraph 11(3) for “Secretary of State” substitute “ Lord Chancellor ”.
Commencement Information
1504 Sch. 17 para. 29 in force at 31.3.2009 by S.I. 2009/503, art. 2(¢)(i)
30. (1) Schedule 4 (the Discipline and Appeals Committee: supplementary provisions) is
amended as follows.
(2) In paragraph I (rules of procedure)—
(a) omit sub-paragraphs (3) and (4), and
(b) in sub-paragraph (5), for “paragraphs 2 and 3” substitute “ paragraph 2”.
(3) Omit paragraph 3.
Commencement Information
1505 Sch. 17 para. 30 wholly in force at 1.1.2010; Sch. 17 para. 30 not in force at Royal Assent see s. 211;
Sch. 17 para. 30(1)(2)(b)(3) in force at 31.3.2009 by S.1. 2009/503, art. 2(c)(i); Sch. 17 para. 30 in force
otherwise at 1.1.2010 by S.1. 2009/3250, art. 2(f) ii) (with art. 9)
31 (1) Schedule 5 (intervention in licensed conveyancer's practice) is amended as follows.
(2) In paragraph 1 (grounds for intervention) —
(a) in sub-paragraph (1)(a) after “practice” insert “ or former practice or in
connection with any trust of which that licensed conveyancer is or was a
trustee ”,
(b) after that sub-paragraph insert—
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Legal Services Act 2007 (c. 29) 381
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“(aa) the Council has reason to suspect dishonesty on the part of
a licensed conveyancer (“L”) in connection with—
(i) the business of any person of whom L is or was an
employee, or of any body of which L is or was a
manager, or
(ii) any business which is or was carried on by L as a
sole trader;”,
(c) in sub-paragraph (1)(b) after “practice” insert “ or in connection with any
trust”,
(d) in sub-paragraph (1)(c), after “section” insert “ 20, 21(3)(c), ”,
(e) after sub-paragraph (1)(e) insert—
“(ea) the Council is satisfied that a licensed conveyancer has
abandoned his practice;
(eb) the Council is satisfied that a licensed conveyancer has been
practising in breach of any conditions subject to which his
licence has effect;”,
(f) in sub-paragraph (1)(f), after “illness” insert “, injury ”,
(g) for sub-paragraph (1)(g) substitute—
“(g) a licensed conveyancer lacks capacity (within the meaning
of the Mental Capacity Act 2005) to act as a licensed
conveyancer and powers under section 15 to 20 or
section 48 of that Act are exercisable in relation to the
licensed conveyancer;”,
(h) after sub-paragraph (1)(h) insert—
“(i) the Council is satisfied that it is necessary to exercise the
powers conferred by Part 2 of this Schedule (or any of them)
in relation to a licensed conveyancer to protect—
(i) the interests of clients (or former or potential
clients) of the licensed conveyancer or his firm, or
(ii) the interests of the beneficiaries of any trust
of which the licensed conveyancer is or was a
trustee.”, and
(i) omit sub-paragraph (2).
(3) In paragraph 3 (intervention following an undue delay)—
(a) for “10(3)” substitute “ 10(9) ”,
(b) in paragraph (a) for “a complaint is made to the Council” substitute “ the
Council is satisfied ”,
(c) in that paragraph for “was instructed” substitute “ is or was acting ”, and
(d) _ in that paragraph afier “client” insert “ or in connection with any trust ”.
(4) In paragraph 4(2) (continuation of powers after death etc of licensed conveyancer)—
(a) after “and (3)” insert “, 6A”,
(b) for “and (5)” substitute “ , (5) and (6) ”, and
(c) for “10(1)” substitute “ 10(2) and (7) ”.
(5) In paragraph 6 (vesting of sums in Council)—.
(a) in sub-paragraph (1) after “thereto” insert “ and to rules under paragraph 6B
” and
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382 Legal Services Act 2007 (c. 29)
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) in sub-paragraph (2)(a) afier “practice” insert “ or former practice or with
any trust of which he is or was a trustee ”.
(6) After paragraph 6 insert—
“6A (1) Without prejudice to paragraph 5, if the Council passes a resolution to the
effect that any rights to which this paragraph applies shall vest in the Council,
those rights shall vest accordingly.
(2) This paragraph applies to any right to recover or receive debts due to the
licensed conveyancer or his firm in connection with his practice or former
practice.
(3) Any sums recovered by the Council by virtue of the exercise of rights vested
under sub-paragraph (1) shall vest in the Council and shall be held by it on
trust to exercise in relation to them the powers conferred by this Part of this
Schedule and, subject to those powers and to rules under paragraph 6B, upon
trust for the persons beneficially entitled to them.
(4) The Council shall serve on the licensed conveyancer or his firm, and any
person who owes a debt to which the order applies a certified copy of the
Council's resolution.
6B (1) The Council may make rules governing its treatment of sums vested in it
under paragraph 6 or 6A(3).
(2) The rules may, in particular, make provision in respect of cases where
the Council, having taken such steps to do so as are reasonable in all
the circumstances of the case, is unable to trace the person or persons
beneficially entitled to any sum vested in the Council under paragraph 6 or
6A(3) (including provision which requires amounts to be paid into or out of
a fund maintained under section 21).”
(7) In paragraph 7(1) (holding of sums vested in Council) afier “thereto” insert “ and to
rules under paragraph 6B ”.
(8) In paragraph 8 for “holds money” to the end substitute—
“(a) holds money on behalf of the licensed conveyancer or his firm, or
(b) has information which is relevant to identifying any money held by
or on behalf of the licensed conveyancer or his firm,
the court may require that person to give the Council information as to any such
money and the accounts in which it is held. ”
(9) In paragraph 9 (documents)—
(a) in sub-paragraph (1)(a)—
(i) after “possession” insert “ or under the control ”, and
(ii) after “practice” insert “ or former practice or with any trust of which
the licensed conveyancer is or was a trustee ”,
(b) in sub-paragraph (1)(b)—
(i) afier “possession” insert “ or under the control ”, and
(ii) for “to which the complaint relates” substitute “ of which the
Council is satisfied ”,
(c) in sub-paragraph (3) after “possession” insert “ or control ”,
(d) in sub-paragraph (5) after “possession” insert “ or are under the control ”,
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Legal Services Act 2007 (c. 29)
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
w
a
&
(ce) after that sub-paragraph insert—
“(SA) In the case of a document which consists of information which is
stored in electronic form, the requirement imposed by a notice under
sub-paragraph (1) or an order under sub-paragraph (4) or (5), is a
requirement to produce or deliver the information in a form in which
it is legible or from which it can readily be produced in a legible
form.”,
(f) in sub-paragraph (6) after “possession of” insert “ (a) ”,
(g) at the end of that sub-paragraph insert—
“(b) any property—
(i) in the possession or under the control of the licensed
conveyancer or his firm, or
(ii) in the case of an order under sub-paragraph (5),
which was in the possession or under the control of
such a person and has come into the possession or
under the control of the person in respect of whom
the order is made,
which the Council reasonably requires for the purpose of
accessing information contained in such documents,
and to use property obtained under paragraph (b) for that purpose. ”,
(h) _ in sub-paragraph (7) after “documents” insert “ or other property ”,
(i) in sub-paragraph (8) after “documents” insert “ or other property ”, and
(j)__ in sub-paragraph (10) after “documents” insert “ or other property ”.
(10) For paragraph 10 (mail) substitute—
“Redirection of communications
10 (1) The High Court, on the application of the Council, may from time to time
make a communications redirection order.
(2) A communications redirection order is an order that specified
communications to the licensed conveyancer or his firm are to be directed,
in accordance with the order, to the Council, or any person appointed by the
Council.
(3) For the purposes of this paragraph—
(a) “specified communications” means communications of such
description as are specified in the order;
(b) the descriptions of communications which may be so specified
include—
(i) communications in the form of a postal packet;
(ii) electronic communications;
(iii) communications by telephone.
(4) A communications redirection order has effect for such time not exceeding
18 months as is specified in the order.
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384 Legal Services Act 2007 (c. 29)
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(5) Where a communications redirection order has effect, the Council or the
person appointed by the Council may take possession or receipt of the
communications redirected in accordance with the order.
(6) Where a communications redirection order is made the Council must pay
to—
(a) _ in the case of an order relating to postal packets, the postal operator
concerned, and
(b) in any other case, the person specified in the order,
the like charges (if any) as would have been payable for the redirection
of the communications to which the order relates if the addressee had
permanently ceased to occupy or use the premises or other destination of
the communications and had applied to the postal operator or the specified
person (as the case may be) to redirect the communications to him as
mentioned in the order.
(7) The High Court may, on the application of the Council, authorise the
Council, or a person appointed by it, to take such steps as may be specified in
the order in relation to any website purporting to be or have been maintained
by or on behalf of the licensed conveyancer or his firm if the High Court
is satisfied that the taking of those steps is necessary to protect the public
interest or the interests of clients (or potential or former clients) of the
licensed conveyancer or his firm.
(8) In this paragraph “postal operator” and “postal packet” have the meaning
given by section 125(1) of the Postal Services Act 2000.
(9) This paragraph does not apply where the powers conferred by this Part of
this Schedule are exercisable by virtue of paragraph 3.”
(11) After paragraph 10 insert—
“Trusts
10A (1) If the licensed conveyancer or his personal representative is a trustee of
a trust, the Council may apply to the High Court for an order for the
appointment of a new trustee in substitution for him.
(2) The Trustee Act 1925 has effect in relation to an appointment of a new trustee
under this paragraph as it has effect in relation to an appointment under
section 41 of that Act.”
(12) In paragraph 11 (liens) for “and documents” substitute “ , documents and other
property ”.
(13) After paragraph 12 (costs) insert—
“12A1) The High Court, on the application of the Council, may order a former
partner of the licensed conveyancer to pay a specified proportion of the costs
mentioned in paragraph 12.
(2) The High Court may make an order under this paragraph only if it is
satisfied that the conduct (or any part of the conduct) by reason of which
the powers conferred by this Part were exercisable in relation to the licensed
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Legal Services Act 2007 (c. 29) 385
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
conveyancer was conduct carried on with the consent or connivance of, or
was attributable to any neglect on the part of, the former partner.
(3) In this paragraph “specified” means specified in the order made by the High
Court.”
Commencement Information
1506 Sch. 17 para. 31 wholly in force at 31.3.2009 see s. 211 and S.1. 2009/503, art. 2(¢)(i) (subject to art. 4)
32 (1) Schedule 6 (bodies recognised under section 32: supplementary provisions) is
amended as follows.
(2) In paragraph 1—
(a) omit “corporate” (in both places), and
(b) in sub-paragraph (2) omit—
(i) “or complaint” (in both places), and
(ii) “or (b)”.
(3) In paragraph 2 (disciplinary control of recognised bodies) after “24” insert “ , 24A ”.
(4) In paragraph 3—
(a) in sub-paragraph (1), in paragraph (a)(i) omit “by any court in the United
Kingdom”,
(b) after paragraph (a) of that sub-paragraph insert—
“(aa) it is alleged that a manager or employee of a recognised
body who is nota licensed conveyancer has failed to comply
with any rules applicable to him by virtue of section 32;
(ab) it is alleged that a recognised body (while a recognised
body) has failed to comply with a condition subject to which
its recognition has effect.”
(c) in that sub-paragraph omit—
(i) paragraph (b), and
(ii) from “with a view” to the end, and
(d) after sub-paragraph (1) insert—
“(1A) After making such an investigation, the Investigating Committee
may—
(a) hear and determine the allegation, or
(b) refer the allegation to the Discipline and Appeals
Committee for hearing and determination by that
Committee under paragraph 4.
(1B) The Council shall make rules as to the cases in which the
Investigating Committee may hear and determine an allegation, and
the cases in which they must refer an allegation to the Discipline and
Appeals Committee.”
(5) After paragraph 3 insert—
“3A (1) Where, on hearing an allegation by virtue of paragraph 3(1A)(a), the
Investigating Committee are satisfied—
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386 Legal Services Act 2007 (c. 29)
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) ina case within paragraph 3(1)(a), that a recognised body has failed
to comply with any such rules as are mentioned in sub-paragraph (ii)
of that paragraph, or
(b) ina case within paragraph 3(1)(aa), that a manager or employee
has failed to comply with any such rules as are mentioned in that
paragraph, or
(c) inacase within paragraph 3(1)(ab), that a recognised body has failed
to comply with any condition mentioned in that paragraph,
the Committee may make an order directing the payment by the recognised
body, manager or employee of a penalty to be forfeited to Her Majesty.
(2) In relation to proceedings before the Investigating Committee by virtue of
paragraph 3(1A)(a), the Committee may make such order as they consider
fit as to the payment of costs by—
(a) the Council;
(b) the recognised body, manager or employee against whom the
proceedings were brought;
(c) if the person on whose allegation the proceedings were brought was
heard (in person, or through a representative) by the Committee in
the course of the proceedings, that person.
(3) In sub-paragraph (2), for the purposes of paragraph (a) or (b) of that sub-
paragraph, the reference to costs includes costs incurred in connection with
a preliminary investigation of the allegation under paragraph 3.
(4) The amount of any penalty required to be paid under sub-paragraph (1) may
not exceed such amount as is prescribed by rules made by the Council for
the purposes of this sub-paragraph.
(5) Paragraphs 1, 2(1) and (3) and 4 of Schedule 4 have effect in relation to—
(a) proceedings for the hearing and determination of an allegation
by the Investigating Committee, as they have effect in relation to
proceedings before the Discipline and Appeals Committee under
section 26, and
(b) _ orders of the Investigating Committee, as they have effect in relation
to orders of the Discipline and Appeals Committee.
(6) A person against whom an order is made by the Investigating Committee
by virtue of sub-paragraph (1) may appeal to the Discipline and Appeals
Committee, and on any such appeal the Discipline and Appeals Committee
may make such order as they think fit.
(7) If an order is made by the Investigating Committee by virtue of sub-
paragraph (2), a person listed in paragraphs (a) to (c) of that sub-paragraph
may appeal to the Discipline and Appeals Committee, and on any such
appeal the Discipline and Appeals Committee may make such order as they
think fit.
(8) Where an order is made by the Discipline and Appeals Committee under
sub-paragraph (6) or (7)—
(a) aparty to the appeal, or
(b) if not within paragraph (a), the Council,
may appeal against the order to the High Court.
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Legal Services Act 2007 (c. 29) 387
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(9) On an appeal under sub-paragraph (8) the High Court may make such order
as it thinks fit.
(10) The decision of the High Court on an appeal under sub-paragraph (8) shall
be final.”
(6) In paragraph 4—
(a) in sub-paragraph (1) afier “allegation” insert “ within paragraph 3(1)(a) or
(ab) ”,
(b) _ in that sub-paragraph, after paragraph (b) insert “, or
(c) has failed to comply with any such condition as is
mentioned in paragraph 3(1)(ab),”,
(c) in sub-paragraph (2), in paragraph (b), for “£3,000” substitute “ such amount
as may be prescribed by rules made by the Council for the purposes of this
sub-paragraph ”,
(d) after paragraph (b) of that sub-paragraph insert—
“(ba) an order reprimanding that body;
(bb) an order that the recognition of that body under section 32 is
to have effect subject to such conditions as may be specified
in the order;”,
(e) omit paragraph (c) of that sub-paragraph,
(f) after that sub-paragraph insert—
“(2A) Where on the hearing of any allegation within paragraph 3(1)(aa) the
Discipline and Appeals Committee are satisfied that a manager or
employee has failed to comply with any such rules as are mentioned
in sub-paragraph (ii) of that paragraph, the Committee may, if
they think fit, make one or more of the orders referred to in sub-
paragraph (2B).
(2B) Those orders are—
(a) anorder directing the payment by the manager or employee
of a penalty not exceeding such amount as may be
prescribed by rules made by the Council for the purposes of
this sub-paragraph;
(b) anorder requiring the Council to consider taking such steps
as the Committee may specify in relation to the manager or
employee;
(c) an order requiring the Council to refer to an appropriate
regulator any matter relating to the conduct of the manager
or employee.
(2C) For the purposes of sub-paragraph (2B)(c) an “appropriate
regulator” in relation to a manager or employee means—
(a) _ if the person is an authorised person in relation to a reserved
legal activity for the purposes of the Legal Services Act
2007, any relevant approved regulator (within the meaning
of that Act) in relation to that person, and
(b) if the person carries on activities which are not reserved
legal activities, any person who exercises regulatory
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388 Legal Services Act 2007 (c. 29)
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
functions in relation to the carrying on of such activities by
the person.
(2D) In relation to proceedings under this paragraph, the Committee may
make such order as they consider fit as to the payment of costs by—
(a) _ the Council;
(b) _ the recognised body or manager or employee against whom
the proceedings were brought;
(c) if the person on whose allegation the proceedings were
brought was heard (in person, or through a representative)
by the Committee in the course of the proceedings, that
person.
(2E) In sub-paragraph (2D), for the purposes of paragraph (a) or (b) of
that sub-paragraph, the reference to costs includes costs incurred in
connection with a preliminary investigation of the allegation under
paragraph 3.”, and
(g) omit sub-paragraphs (3), (3A) and (4).
(7) In paragraph 5—
(a) in sub-paragraph (1)—
(i) after “26” insert “ or paragraph 4”, and
(ii) for “director” (in each place) substitute “ manager ”,
(b) in sub-paragraph (3) for “director” (in both places) substitute “ manager ”,
and
(c) after sub-paragraph (3) insert—
“(4) In relation to proceedings for the revocation of a recognition under
sub-paragraph (1), the Discipline and Appeals Committee may make
such order as they consider fit as to the payment of costs by—
(a) the Council;
(b) the body to whose recognition the proceedings relate.”.
(8) In paragraph 6 (appeals against orders of the Committee)—
(a) in sub-paragraph (1)—
(i) for “body corporate” substitute “ person ”,
(ii) after “4(1)” insert “ or (2A) ”, and
(iii) for “5” substitute “ 5(1) ”, and.
(b) after that sub-paragraph insert—
“(1A) Where an order is made by the Committee under paragraph 4(2D) or
5(4) a person listed in that paragraph may appeal to the High Court,
and on any such appeal the High Court may make such order as it
thinks fit.”
(9) After paragraph 7 (revocation of recognition on grounds of fraud or error)—
(a) in sub-paragraph (1) and (2) omit “corporate”, and
(b) after sub-paragraph (2) insert—
“(3) In relation to proceedings for the revocation of a recognition under
sub-paragraph (1), the Discipline and Appeals Committee may make
such order as they consider fit as to the payment of costs by—
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Legal Services Act 2007 (c. 29) 389
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) the Council;
(b) _ the body to whose recognition the proceedings relate.
(4) In relation to proceedings on an application under sub-paragraph (2),
the Discipline and Appeals Committee may make such order as they
consider fit as to the payment of costs by—
(a) the Council;
(b) _ the applicant.”
(10) In paragraph 8 (appeal against decision of Council in relation to grant of recognition)
(a) in sub-paragraph (1) omit “corporate”,
(b) in paragraph (b) of that sub-paragraph for “restrictions” substitute
conditions ”,
(c) after that paragraph insert “, or
(c) decides to give a direction in relation to that body under
section 32(3B), or
(d) _ refuses an application by that body under section 32(3D),”,
(d) in sub-paragraph (2) for “this paragraph” substitute “ sub-paragraph (1)(a)
or (b)”,
(ce) in paragraph (a) of that sub-paragraph—
(i) for “restrictions” (in the first place) substitute “ conditions ”, and
(ii) for “restrictions falling within subsection (3)(d) of that section”
substitute “ conditions ”, and
(f) after that sub-paragraph insert—
“(2A) Onan appeal under sub-paragraph (1)(c), the Discipline and Appeals
Committee may—
(a) revoke the direction of the Council under section 32(3B),
(b) direct that the body's recognition is to have effect subject to
such conditions as may be specified by the Council in the
direction, or
(c) affirm the decision of the Council,
and the Committee may make such order as to the payment of costs
by the Council or by that body as they think fit.
(2B) On an appeal under sub-paragraph (1)(d), the Discipline and
Appeals Committee may—
(a) direct the Council to grant the application, or
(b) affirm the decision of the Council,
and the Committee may make such order as to the payment of costs
by the Council or by that body as they think fit.”
(11) In paragraph 9 (rules of procedure etc) in sub-paragraph (1)—
(a) for “, 2 and 3” substitute “ and 2”, and
(b) for “paragraph 4 or 5” substitute “ paragraph 3A, 4 or 5”.
(12) In paragraph 10 (intervention by Council)—
(a) in sub-paragraph (1), in paragraph (a) after “recognised body” insert “ or a
manager of such a body ”,
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390 Legal Services Act 2007 (c. 29)
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) after that paragraph insert—
“(aa) the Council is satisfied that a recognised body has been
carrying on business in breach of any condition subject to
which the body's recognition under section 32 of this Act
has effect; or”,
(c) for paragraph (c) of that sub-paragraph substitute—
“(c) a relevant insolvency event occurs in relation to a
recognised body; or”,
(d) in paragraph (d) of that sub-paragraph for “officer” substitute “ manager ”,
(ec) _ in that paragraph for “that body's” to the end of the paragraph substitute—
“(i) that body's business,
(ii) any trust of which that body is or was a trustee,
(iii) any trust of which the manager or employee is or
was a trustee in his capacity as such a manager or
employee, or
(iv) the business of another body in which the manager
or employee is or was a manager or employee or
the practice (or former practice) of the manager or
employee;”,
(f) after that paragraph insert “or
(e) the Council is satisfied that it is necessary to exercise the
powers conferred by Part 2 of Schedule 5 (or any of them)
in relation to a recognised body to protect—
(i) the interests of clients (or former or potential
clients) of the recognised body,
(ii) the interests of the beneficiaries of any trust of
which the recognised body is or was a trustee, or
(iii) the interests of the beneficiaries of any trust of
which a person who is or was a manager or
employee of the recognised body is or was a trustee
in that person's capacity as such a manager or
employee,”,
(g) afier sub-paragraph (1) insert—
“(1A) For the purposes of this paragraph a relevant insolvency event
occurs in relation to a recognised body if—
(a) aresolution fora voluntary winding-up of the body is passed
without a declaration of solvency under section 89 of the
Insolvency Act 1986;
(b) the body enters administration within the meaning of
paragraph 1(2)(b) of Schedule B1 to that Act;
(c) an administrative receiver within the meaning of
section 251 of that Act is appointed;
(d) a meeting of creditors is held in relation to the body under
section 95 of that Act (creditors' meeting which has the
effect of converting a members' voluntary winding up into
acreditors' voluntary winding up);
(e) an order for the winding up of the body is made.”, and
(h) omit sub-paragraph (2).
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SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(13) For paragraph 11(a) substitute—
“(a) the Council is satisfied that there has been undue delay on the part
of—
(i) a recognised body in connection with any matter in which
it is or was acting on behalf of a client or with any trust of
which it is or was a trustee, or
(ii) a person who is or was a manager or employee of a
recognised body in connection with any trust of which he
is or was a trustee in his capacity as such a manager or
employee; and”.
(14) In paragraph 12(1) omit “corporate” (in both places).
(15) In paragraph 13—
(a) in paragraph (a) omit “corporate”, and
(b) omit “and” at the end of paragraph (b) and after paragraph (c) insert—
“(d) paragraph 6(2)(a) of that Schedule is to be construed as
including a reference to sums of money held by or on behalf
of the recognised body in connection with any trust of which
a person who is or was manager or employee of that body
is or was a trustee in his capacity as such a manager or
employee;
(ce) paragraph 9 of that Schedule is to be construed—
(i) as if sub-paragraph (1) included a reference to
documents in the possession or under the control
of the recognised body in connection with any trust
of which a person who is or was a manager or
employee of that body is or was a trustee in his
capacity as such a manager or employee, and
as applying to a person who is or was a manager
or employee of the recognised body and documents
and property in his possession or under his control
in connection with such a trust as it applies to a
recognised body and documents and property in the
possession or under the control of that body;
(f) paragraph 10A(1) of that Schedule is to be construed as
including power for the Council to apply to the High Court
for an order for the appointment of a new trustee to a trust
in substitution for a person who is a trustee in his capacity
as a manager or employee of the recognised body; and
(g) paragraph 12A of that Schedule is to be read as if the
references to a former partner were references—
(i) in the case of a recognised body which is a
partnership, to a former partner in the partnership,
and
(ii) in any other case to a manager or former manager
of the recognised body.”
(16) In paragraph 14 (examination of files)—
(a) for sub-paragraph (1) substitute—
392 Legal Services Act 2007 (c. 29)
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“(1) Where the Investigating Committee are satisfied that it is necessary
to do so for the purpose of investigating any such allegation as is
mentioned in paragraph 3(1)(a)(ii), (aa) or (ab), the Committee may
give an information notice to a relevant person.
(1A) An information notice is a notice requiring the production or
delivery to any person appointed by the Committee, at a time and
a place to be fixed by the Committee, of all documents in the
possession or under the control of the relevant person in connection
with the matters to which the allegation relates (whether or not they
relate also to other matters).
(1B) In this section “relevant person” means—
(a) in the case of an allegation against a recognised body, the
recognised body or any of its managers or employees, and
(b) inthe case of an allegation against a manager or employee of
arecognised body, the manager or employee, the recognised
body or any other manager or employee of the recognised
body.”, and
(b) in sub-paragraph (2)—
(i) for “and 12” substitute “ to 12A ”,
(ii) for “sub-paragraph (1) of this paragraph” (except where it appears
in paragraph (d)) substitute “ sub-paragraphs (1) and (1A) of this
paragraph ”,
(iii) in paragraph (b) after “body” insert “ , manager or employee ”, and
(iv) in paragraph (d) for “sub-paragraph (1)” substitute sub-
paragraph (1A) ”.
(17) Omit paragraph 15 (application of rules relating to accounts etc).
(18) In paragraph 16 (interest on client's money)—
(a) in sub-paragraph (1)—
(i) after “recognised bodies” insert “ or managers or employees of such
bodies, ”,
(ii) after “recognised body” insert “ , manager or employee ”,
(iii) for “it keeps” substitute “ it or he keeps ”,
(iv) for “its clients” substitute “ clients of the recognised body ”, and
(v) after “received by it” insert “ or him ”, and
(b) in sub-paragraph (2), for “and any of its clients” substitute “ , or any manager
or employee of such a body, and any of the clients of the recognised body ”.
Commencement Information
1507 Sch. 17 para. 32 partly in force: Sch. 17 para, 32 not in force at Royal Assent see s. 211; Sch. 17 para.
32(1)-(6)(f) in force and Sch. 17 para. 32(6)({) in force for certain purposes at 31.3.2009 by S.I. 209/503,
art, 2(c)(i) (subject to art. 4)
1508 Sch. 17 para. 32(6)(a)-(e) in force at 6.10.2010 by S.1. 2010/2089, art. 2(c)
1509 Sch. 17 para. 32(6)(g) in force at 6.10.2010 in so far as not already in force by S.1. 2010/2089, art. 2(¢)
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Legal Services Act 2007 (c. 29) 393
SCHEDULE 17 Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
PART 2
COURTS AND LEGAL SERVICES ACT 1990 (Cc. 41)
33 The Courts and Legal Services Act 1990 is amended in accordance with this Part.
34 (1) Section 53 (the Council for Licensed Conveyancers) is amended as follows.
(2) For subsections (1) to (3) substitute—
“(1) The Council for Licensed Conveyancers has the powers necessary to enable
it to become designated as an approved regulator in relation to one or more
of the reserved legal activities within subsection (1A).
(1A) The reserved legal activities to which this subsection applies are—
(a) the exercise of a right of audience;
(b) the conduct of litigation;
(c) probate activities.
(2) If the Council becomes an approved regulator in relation to one or more
of those activities, it may, in that capacity, authorise a person to carry ona
relevant activity only if the person is a licensed conveyancer.
(3) Where the Council authorises a licensed conveyancer to carry on a relevant
activity, it is to do so by issuing a licence to the licensed conveyancer.”
(3) Omit subsection (5).
(4) For subsection (6) substitute—
“(6) Where the Council exercises any of its powers in connection with—
(a) an application for designation as an approved regulator in relation
to a reserved legal activity within subsection (1A), or
(b) _ the authorising of a person to carry on a relevant activity,
it is to do so subject to any requirements to which it is subject in accordance
with the provisions of the Legal Services Act 2007.”
(5) In subsection (8), for “Secretary of State” substitute “ Lord Chancellor ”.
(6) In subsection (9)—
(a) for “Secretary of State” substitute “ Lord Chancellor”, and
(b) omit paragraph (e).
(7) After that subsection insert-—
“(10) For the purposes of this section—
(a) “right of audience”, “conduct of litigation”, “probate activities” and
“reserved legal activity” have the same meaning as in the Legal
Services Act 2007;
(b) _ references to designation as an approved regulator are to designation
as an approved regulator—
(i) by Part 1 of Schedule 4 to the Legal Services Act 2007, by
virtue of an order under paragraph 5 of Schedule 22 to that
Act, or
(ii) under Part 2 of Schedule 4 to that Act;
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394 Legal Services Act 2007 (c. 29)
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(c) “relevant activity’
activity—
(i) which is within subsection (1A), and
(ii) in relation to which the Council is designated as an approved
regulator by Part 1 of Schedule 4 to that Act (by virtue of
an order under paragraph 5 of Schedule 22 to that Act) or
under Part 2 of that Schedule.”
means an activity which is a reserved legal
Commencement Information
1510 Sch. 17 para. 34 wholly in force at 1.1.2010; Sch. 17 para. 34 not in force at Royal Assent see s. 211;
Sch. 17 para. 34(1)(5)(6) in force at 31.3.2009 by S.1. 209/503, art. 2(c)(ii); Sch. 17 para. 34 in force
otherwise at 1.1.2010 by S.1. 2009/3250, art. 2(f)(ii) (with art. 9)
35 (1) Schedule 8 (licensed conveyancers) is amended as follows.
(2) In paragraph 1 (definitions)—
(a) in the definition of “advocacy licence” for “and constituting” to the end
substitute “ by which the Council authorises the licensed conveyancer
concerned to exercise a right of audience; ”,
(b) in the definition of “litigation licence” for “and constituting” to the end
substitute “ by which the Council authorises the licensed conveyancer
concerned to carry on activities which constitute the conduct of litigation; ”,
(c) in the definition of “probate licence” for “and constituting” to the end
substitute “ by which the Council authorises the licensed conveyancer
concerned to carry on activities which constitute probate activities; ”, and
(d)_ at the end insert—
reserved legal activity” has the same meaning as in the Legal
Services Act 2007 (see section 12 of and Schedule 2 to that Act).”
(3) In paragraph 2 (qualification regulations and rules of conduct), in sub-paragraph (1)
(a) for “rules of conduct” substitute “ conduct rules ”, and
(b) for “granting of the rights or exemption” substitute “ carrying on of the
reserved legal activities ”.
(4) In paragraph 4 (issue of licences), in sub-paragraph (1)—
(a) in paragraph (a) for “rules of conduct” substitute “ conduct rules ”, and
(b) in paragraph (c) for “provide the advocacy, litigation or probate services”
substitute “ carry on the reserved legal activities ”.
(5) In paragraph 5 (conditional licences)—
(a) for sub-paragraph (1)(d) substitute—
“(d) after the Investigating Committee have made any order in
his case under section 24A(1) of the Act of 1985 or the
Discipline and Appeals Committee have made any order in
his case under section 26(1) of that Act.”,
(b) in sub-paragraph (6)—
(i) in paragraph (a) for “service that may be provided” substitute “
activities that may be carried on”, and
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SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(ii) in paragraph (b) for “provides the additional services” substitute “
carries on the additional activities ”, and
(c) after sub-paragraph (7) insert—
“(8) Where a person applies for an advocacy, litigation or probate licence
at a time when this paragraph has effect in relation to that person by
reason of the circumstances mentioned in section 16(1)(ea) of the
Act of 1985, section 16A(2) of that Act has effect as it has effect in
relation to an application for a licence under Part 2 of that Act.”
(6) Omit paragraph 7 (code of conduct).
(7) In paragraph 9 (removal of disqualification from holding a licence) after sub-
paragraph (2) insert—
“(3) In relation to proceedings on an application under sub-paragraph (1), the
Discipline and Appeals Committee may make such order as they consider
fit as to the payment of costs by—
(a) _ the Council;
(b) _ the applicant.”
(8) In paragraph 10 (revocation on grounds of error or fraud), after sub-paragraph (4)
insert—
“(5) In relation to proceedings for the revocation of a licence under sub-
paragraph (1), the Discipline and Appeals Committee may make such order
as they consider fit as to the payment of costs by—
(a) the Council;
(b) the licensed conveyancer to whose licence the proceedings relate.
(6) In relation to proceedings on an application under sub-paragraph (2), the
Discipline and Appeals Committee may make such order as they consider
fit as to the payment of costs by—
(a) the Council;
(b) the applicant.”
(9) Omit paragraph 11.
(10) In paragraph 12 (delegation of powers etc)—
(a) in sub-paragraph (1) for “Subject” to “enactment, the” substitute “ The ”,
(b) in that sub-paragraph, for paragraph (b) substitute—
“(b) by a sub-committee of such a committee; or
(c) by an individual (whether or not a member of the Council's
staff).”,
(c) after that sub-paragraph insert—
“(1A) Where by virtue of sub-paragraph (1) any function may be
discharged by a committee, the committee may arrange for the
discharge of that function by—
(a) asub-committee of that committee; or
(b) an individual, whether or not a member of the Council's
staff.
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396 Legal Services Act 2007 (c. 29)
SCHEDULE 17 — Licensed conveyancing
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(1B) Sub-paragraph (1A) is subject to any contrary direction given by the
Council.
(1C) Arrangements made under sub-paragraph (1) or (1A) in respect
of a function may provide that the function is to be exercised in
accordance with the arrangements only (and not by the delegating
body).
(1D) For this purpose “the delegating body” means—
(a) in the case of arrangements under sub-paragraph (1), the
Council, and
(b) _ in the case of arrangements under sub-paragraph (1A), the
committee.”,
(d) _ for sub-paragraph (3) substitute—
“(3) Any power conferred by sub-paragraph (1), (1A) or (2) may be
exercised so as to impose restrictions or conditions on the body or
individual by whom the function is to be discharged.”,
(ce) for sub-paragraphs (6) and (7) substitute—
“(6) A committee or sub-committee established under this paragraph
may include or consist of individuals other than—
(a) members of the Council;
(b) _ licensed conveyancers.
(7) A sub-committee of a committee established under this paragraph
may also include or consist of individuals other than members of
the committee.
(7A) The Council may make arrangements for the appointment and
removal of members of any committee to be made other than by the
Council.
(7B) A committee or sub-committee may regulate its own procedure,
including quorum.”, and
(f) after sub-paragraph (9) insert—
“(10) This paragraph is subject to any provision to the contrary made by
or under any enactment.”
(11) Omit paragraph 13 (Council's intervention powers).
Commencement Information
1511 Sch. 17 para. 35 wholly in force at 1.1.2010; Sch. 17 para. 35 not in force at Royal Assent see s. 211;
Sch. 17 para. 35(1)(5)(7)-(11) in force at 31.3.2009 by S.1. 209/503, art. 2(c)(ii); Sch. 17 para. 35(2)-
(4)(6) in force at 1.1.2010 by S.1. 2009/3250, art. 2(f)(iii) (with art. 9)
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Legal Services Act 2007 (c. 29) 397
SCHEDULE 18 — Immigration advice and immigration services
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
SCHEDULE 18 Section 186
IMMIGRATION ADVICE AND IMMIGRATION SERVICES
Part 1
QUALIFYING REGULATORS
Designation orders
1 In this Part of this Schedule “designation order” means an order made under
section 86A(6) of the Immigration and Asylum Act 1999 (c. 33) (designated
qualifying regulators entitled to authorise persons to provide immigration advice
and immigration services).
Commencement Information
1512 Sch. 18 para. I in force at 1.4.2011 by S.1. 2011/720, art. 2(c)
Continuity of existing rights
2 Each of the following bodies is a qualifying regulator for the purposes of Part 5 of
the Immigration and Asylum Act 1999—
(a) the Law Society;
(b) _ the Institute of Legal Executives;
(c) the General Council of the Bar.
Commencement Information
1513 Sch. 18 para. 2 in force at 1.4.2011 by S.I. 2011/720, art. 2(c)
Application to become a qualifving regulator
3 (1) This paragraph applies where a body wishes to become a qualifying regulator for the
purposes of Part 5 of the Immigration and Asylum Act 1999.
(2) A body may apply to the Board for the Board—
(a) to designate the body as a qualifying regulator for those purposes, and
(b) to approve what the applicant proposes as its regulatory arrangements if a
designation order is made (“the proposed regulatory arrangements”).
(3) But a body may make an application under this paragraph only if—
(a) it is an approved regulator (other than the Board), or
(b) it has made an application under Part 2 of Schedule 4 (designation of
approved regulators).
(4) An application under this paragraph must be made in such form and manner as the
Board may specify in rules and must be accompanied by—
(a) details of the applicant's proposed regulatory arrangements,
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398 Legal Services Act 2007 (c. 29)
SCHEDULE 18 — Immigration advice and immigration services
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) such explanatory material as the applicant considers is likely to be needed
for the purposes of this Part of this Schedule, and
(c) _ the prescribed fee.
(5) The prescribed fee is the fee prescribed in, or determined in accordance with, rules
made by the Board with the consent of the Lord Chancellor.
(6) An applicant may, at any time, withdraw the application by giving notice to that
effect to the Board.
Commencement Information
1514 Sch. 18 para. 3 in force at 1.4.2011 by S.1. 2011/720, art. 2(¢)
Consultation and representations
4 Paragraphs 4 to 12 of Schedule 4 (consultation requirements ete in relation
to applications for designation as approved regulator) apply in relation to an
application under paragraph 3 as they apply in relation to an application under
paragraph 3 of that Schedule, but as if—
(a) in paragraphs 6(2), 7(2), and 9(3) of that Schedule the references to making
an order under paragraph 17 in accordance with the recommendation were
references to making a designation order in respect of the applicant, and
(b) in paragraph 6(2) of that Schedule the reference to the market for reserved
legal services were a reference to the market for immigration advice and
immigration services.
Commencement Information
1515 Sch. 18 para. 4 in force at 1.4.2011 by S.1. 2011/720, art. 2(c)
Determination of application
5 (1) The Board must make rules specifying how it will determine applications under
paragraph 3.
(2) Rules under sub-paragraph (1) must, in particular, provide that the Board may grant
an application only if it is satisfied—
(a) _ that, if a designation order were to be made in relation to the applicant, the
applicant would have appropriate internal governance arrangements in place
at the time the order takes effect,
(b) that, if such an order were made, the applicant would be competent to
perform the role of designated qualifying regulator (within the meaning of
section 86A of the Immigration and Asylum Act 1999 (c. 33)) at that time,
(c) that the arrangements made by the applicant for authorising persons to
provide immigration advice or immigration services provide that persons
may not be so authorised unless they are persons who are also authorised by
the applicant to carry on activities which are reserved legal activities,
(d) that the applicant's proposed regulatory arrangements make appropriate
provision, and
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Legal Services Act 2007 (c. 29) 399
SCHEDULE 18 — Immigration advice and immigration services
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(ec) that the applicant's proposed regulatory arrangements comply with the
requirements imposed by sections 112 and 145 (requirements imposed in
relation to the handling of complaints).
(3) The rules made for the purposes of sub-paragraph (2)(a) must in particular require
the Board to be satisfied—
(a) that the exercise of the applicant's regulatory functions would not be
prejudiced by any of its representative functions, and
(b) that decisions relating to the exercise of its regulatory functions would so far
as reasonably practicable be taken independently from decisions relating to
the exercise of its representative functions.
(4) In subsection (2)(c) the reference to persons who are also authorised by the applicant
to carry on activities which are reserved legal activities includes, in relation to any
application by the Law Society, registered foreign lawyers (within the meaning of
section 89 of the Courts and Legal Services Act 1990).
Commencement Information
1516 Sch. 18 para. 5 in force at 1.4.2011 by S.1. 2011/720, art. 2(c)
6 (1) After considering—
(a) the application and accompanying material,
(b) any other information provided by the applicant,
(c) any advice duly given and representations duly made by virtue of paragraph
4, and
(d) any other information which the Board considers relevant to the application,
the Board must decide whether to grant the application.
(2) The Board must give notice of its decision to the applicant (“the decision notice”).
(3) Where the Board decides to refuse the application, the decision notice must specify
the reasons for that decision.
(4) The Board must publish the decision notice.
(5) Paragraph 15 of Schedule 4 (period within which decision must be made) applies in
relation to a decision notice under this paragraph as it applies in relation to a decision
notice under paragraph 14 of that Schedule.
Commencement Information
1517 Sch. 18 para. 6 in force at 1.4.2011 by S.L. 201/720, art. 2()
Effect of application
7 (1) Where an application is granted under paragraph 6, the decision notice must specify
that the applicant is a qualifying regulator for the purposes of Part 5 of the
Immigration and Asylum Act 1999 (c. 33).
(2) Where an application is granted under paragraph 6, the proposed regulatory
arrangements are at the same time treated as having been approved by the Board.
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400 Legal Services Act 2007 (c. 29)
SCHEDULE 18 — Immigration advice and immigration services
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) But if the application was made in reliance upon paragraph 3(3)(b), the applicant's
status as such a qualifying regulator and the approval of its proposed regulatory
arrangements under sub-paragraph (2) are conditional upon the Lord Chancellor
making an order under Part 2 of Schedule 4 designating the body as an approved
regulator in relation to one or more reserved legal activities.
Commencement Information
1518 Sch. 18 para. 7 in force at 1.4.2011 by S.I. 2011/720, art. 2(c)
Loss of qualifving regulator status
8 (1) Where a qualifying regulator—
(a) ceases to be an approved regulator, or
(b) ceases to be a designated qualifying regulator within the meaning of
section 86A of the Immigration and Asylum Act 1999 by virtue of an order
under subsection (3) or (4) of that section,
it also ceases to be a qualifying regulator.
(2) But sub-paragraph (1) is without prejudice to a body's ability to make a further
application under paragraph 3.
(3) If a body in the list in paragraph 2 ceases to be a qualifying regulator by virtue of
sub-paragraph (1), the Lord Chancellor must, by order, remove it from that list.
Commencement Information
1519 Sch. 18 para. 8 in force at 1.4.2011 by S.1. 2011/720, art. 2(¢)
PART 2
AMENDMENTS OF THE IMMIGRATION AND ASYLUM ACT 1999 (C. 33)
9 The Immigration and Asylum Act 1999 is amended in accordance with this Part
of this Schedule.
Commencement Information
1520 Sch. 18 para. 9 in force at 1.4.2011 by S.1. 201/720, art. 2(¢)
10 In section 82(1) (interpretation of Part 5), after the definition of “designated
professional body” insert—
“designated qualifying regulator” has the meaning given by section 86A;”.
Commencement Information
1521 Sch. 18 para. 10 in force at 1.4.2011 by S.I. 2011/720, art. 2(¢)
Legal Services Act 2007 (c. 29) 401
SCHEDULE 18 — Immigration advice and immigration services
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
ll In section 83 (the Immigration Services Commissioner), after subsection (6)
insert—
“(6A) The duties imposed on the Commissioner by subsections (3) and (5) apply
in relation to persons within section 84(2)(ba) only to the extent that
those duties have effect in relation to the Commissioner's functions under
section 92 or 92A.”
Commencement Information
1522 Sch. 18 para. 11 in force at 1.4.2011 by S.I. 2011/720, art. 2(¢)
12 (1) Section 84 (provision of immigration services) is amended as follows.
(2) In subsection (2)—
(a) after paragraph (b) insert—
“(ba) a person authorised to provide immigration advice or
immigration services by a designated qualifying regulator,”,
and
(b) in paragraph (c)(ii) afer “(b)” insert “ or (ba) ”.
(3) After subsection (3) insert—
“(3A) A person's entitlement to provide immigration advice or immigration
services by virtue of subsection (2)(ba)—
(a) _ is subject to any limitation on that person's authorisation imposed by
the regulatory arrangements of the designated qualifying regulator
in question, and
(b) does not extend to the provision of such advice or services by the
person other than in England and Wales (regardless of whether the
persons to whom they are provided are in England and Wales or
elsewhere).
(3B) In subsection (3A) “regulatory arrangements” has the same meaning as in
the Legal Services Act 2007 (see section 21 of that Act).”
Commencement Information
1523 Sch. 18 para. 12 in force at 1.4.2011 by S.1. 2011/720, art. 2(c)
13. (1) Section 86 (designated professional bodies) is amended as follows.
(2) Omit subsections (1)(a), (d) and (e) and (4)(b).
(3) In subsection (5)(a) omit “England and Wales or”.
(4) In subsection (6)—
(a) omit paragraph (a), and
(b) in paragraph (b) for “it” substitute “ the order ”.
(5) In subsection (8) after “that a body” insert “ (other than a body in England and Wales)
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402 Legal Services Act 2007 (c. 29)
SCHEDULE 18 — Immigration advice and immigration services
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1524 Sch. 18 para. 13 in force at 1.4.2011 by S.1. 201/720, art. 2(¢)
14 After section 86 insert—
“86A Designated qualifying regulators
(1) “Designated qualifying regulator” means a body which is a qualifying
regulator and is listed in subsection (2).
(2) The listed bodies are—
(a) the Law Society;
(b) _ the Institute of Legal Executives;
(c) the General Council of the Bar.
(3) The Secretary of State may by order remove a body from the list in
subsection (2) if the Secretary of State considers that the body has failed to
provide effective regulation of relevant authorised persons in their provision
of immigration advice or immigration services.
(4) If a designated qualifying regulator asks the Secretary of State to amend
subsection (2) so as to remove its name, the Secretary of State may by order
do so.
(5) Where, at a time when a body is listed in subsection (2), the body ceases to
be a qualifying regulator by virtue of paragraph 8(1)(a) of Schedule 18 to the
Legal Services Act 2007 (loss of approved regulator status), the Secretary
of State must, by order, remove it from the list.
(6) If the Secretary of State considers that a body which—
(a) is a qualifying regulator,
(b) is not a designated qualifying regulator, and
(c) is capable of providing effective regulation of relevant authorised
persons in their provision of immigration advice or immigration
services,
ought to be designated, the Secretary of State may, by order, amend the list
in subsection (2) to include the name of that body.
(7) If the Secretary of State is proposing to act under subsection (3) or (6), the
Secretary of State must, before doing so, consult the Commissioner.
(8) If the Secretary of State is proposing to act under subsection (3), the
Secretary of State must, before doing so, also —
(a) notify the body concerned of the proposal and give it a reasonable
period within which to make representations, and
(b) consider any representations duly made.
(9) An order under subsection (3) or (6) requires the approval of the Lord
Chancellor.
(10) If the Legal Services Board considers that a designated qualifying regulator
is failing to provide effective regulation of relevant authorised persons in
Legal Services Act 2007 (c. 29) 403
SCHEDULE 18 — Immigration advice and immigration services
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
their provision of immigration advice or immigration services, the Legal
Services Board must make a report to this effect to—
(a) the Secretary of State, and
(b) _ the Lord Chancellor.
(11) In this section—
“qualifying regulator’ means a body which is a qualifying
regulator for the purposes of this Part of this Act by virtue of Part I
of Schedule 18 to the Legal Services Act 2007 (approved regulators
approved by the Legal Services Board in relation to immigration
matters);
“relevant authorised persons”, in relation to a designated
qualifying regulator, means persons who are authorised by the
designated qualifying regulator to provide immigration advice or
immigration services.”
Commencement Information
1525 Sch. 18 para. 14 in force at 1.4.2011 by S.I. 2011/720, art. 2(¢)
15 (1) Section 90 (orders by disciplinary bodies) is amended as follows.
(2) In subsection (2), for paragraph (a) substitute—
“(a) appearing to the Secretary of State to be established for the purpose
of hearing disciplinary charges against—
(i) members of a designated professional body, or
(ii) persons regulated by designated qualifying regulators; and”.
(3) In subsection (3) after “body” insert “ or designated qualifying regulator ”.
(4) In subsection (5)—
(a) after “means” insert “—
(a)”,
and
(b) after “that body” insert “, or
(b) a person who is authorised by the designated qualifying
regulator concerned to provide immigration advice or
immigration services.”
Commencement Information
1526 Sch. 18 para. 15 in force at 1.4.2011 by S.1. 2011/720, art. 2(c)
16 In section 166(4) (orders requiring approval by Parliament), after paragraph (d)
insert—
“(da) section 86A(3),”.
Commencement Information
1527 Sch. 18 para. 16 in force at 1.4.2011 by S.1. 2011/720, art. 2(c)
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404 Legal Services Act 2007 (¢. 29)
SCHEDULE 18 — Immigration advice and immigration services
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
17 (1) Schedule 5 (the Immigration Services Commissioner) is amended as follows.
(2) In paragraph 3 (code of standards)—
(a) after sub-paragraph (3)(a) insert-—
“(aa) a person who is authorised by a designated qualifying
regulator to provide immigration advice or immigration
services;”,
(b) in sub-paragraph (3)(b) after “paragraph (a)” insert “ or (aa) ”,
(c) after sub-paragraph (6)(a) insert—
“(aa) cach of the designated qualifying regulators;”, and
(d) omit sub-paragraph (6)(b).
(3) In paragraph 4 (extension of scope of the code)—
(a) omit sub-paragraph (2)(b),
(b) in sub-paragraph (3)(a) omit “England and Wales or”, and
(c) omit sub-paragraph (4)(a).
(4) In paragraph 5 (investigation of complaints)—
(a) in sub-paragraph (3), for the words from “but” to the end substitute— “ but
not if the complaint is excluded by sub-paragraph (3A). ”,
(b) after that sub-paragraph insert—
“(3A) A complaint is excluded if—
(a) it relates to a person who is excluded from the application of
subsection (1) of section 84 by subsection (6) of that section,
or
(b) it relates to a person within section 84(2)(ba).”
Commencement Information
1528 Sch. 18 para. 17 in force at 1.4.2011 by S.1. 2011/720, art. 2(c)
PART 3
TRANSITIONAL PROVISION
The transitional period
18 (1) In this Part of this Schedule references to “the transitional period” are to the period
which—
(a) begins with the day appointed for the coming into force of section 13
(entitlement to carry on reserved legal activities), and
(b) ends with the day appointed by the Lord Chancellor by order for the purposes
of this paragraph.
(2) Different days may be appointed under sub-paragraph (1)(b) for different purposes.
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Legal Services Act 2007 (c. 29) 405
SCHEDULE 18 — Immigration advice and immigration services
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) An order may be made under sub-paragraph (1)(b) only on the recommendation of
the Board.
Barristers ete
19 (1) During the transitional period, every barrister is deemed to be authorised by the
General Council of the Bar to provide immigration advice and immigration services.
(2) That authority is exercisable in accordance with, and subject to, the regulatory
arrangements of the General Council of the Bar.
(3) A person is not authorised under sub-paragraph (1) unless the person has in force a
certificate issued by the General Council of the Bar authorising the person to practise
as a barrister.
20 (1) During the transitional period, every registered European lawyer registered with
the Inns of Court and the General Council of the Bar is deemed to be authorised
by the General Council of the Bar to provide immigration advice and immigration
services if the registered European lawyer is entitled to provide immigration advice
and immigration services under his home professional title by virtue of the European
regulations.
(2) That authority is exercisable in accordance with, and subject to, the regulatory
arrangements of the General Council of the Bar (as they apply to the registered
European lawyer by virtue of the European regulations).
(3) In this paragraph—
“European regulations” means the European Communities (Lawyer's
Practice) Regulations 2000 (S.I. 2000/1119);
“home professional title” and “registered European lawyer” have the same
meaning as in the European regulations.
Solicitors ete
21 (1) During the transitional period, each of the following is deemed to be authorised by
the Law Society to provide immigration advice and immigration services—
(a) every qualified solicitor;
(b) every registered foreign lawyer (within the meaning of section 89 of the
Courts and Legal Services Act 1990 (c. 41));
(c) every legal partnership (within the meaning of paragraph 7(4) of
Schedule 5);
(d) every body recognised under section 9 of the Administration of Justice Act
1985 (c. 61).
(2) That authority is exercisable in accordance with, and subject to, the regulatory
arrangements of the Law Society.
(3) “Qualified solicitor” means a person who is qualified under section I of the Solicitors
Act 1974 (c. 47) to act as a solicitor.
22 (1) During the transitional period, every registered European lawyer registered with the
Law Society is deemed to be authorised by the Law Society to provide immigration
advice and immigration services if the registered European lawyer is entitled to
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406 Legal Services Act 2007 (¢. 29)
SCHEDULE 19 — Claims management services
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
provide immigration advice and immigration services under his home professional
title by virtue of the European regulations.
(2) That authority is exercisable in accordance with, and subject to, the regulatory
arrangements of the Law Society (as they apply to the registered European lawyer
by virtue of the European regulations).
(3) In this paragraph—
“European regulations” means the European Communities (Lawyer's
Practice) Regulations 2000 (S.I. 2000/1119);
“home professional title” and “registered European lawyer” have the same
meaning as in the European regulations.
Legal Executives
23 (1) During the transitional period, a person who is authorised by the Institute of Legal
Executives to practise as a member of the profession of legal executives is deemed
to be authorised by that Institute to provide immigration advice and immigration
services.
(2) That authority is exercisable in accordance with and subject to the regulatory
arrangements of the Institute of Legal Executives.
(3) A person is not authorised under sub-paragraph (1) unless the person has in force
a certificate issued by the Institute of Legal Executives authorising the person to
practise as a legal executive.
"SCHEDULE 19 Section 187
CLAIMS MANAGEMENT SERVICES
Textual Amendments
F177 Sch. 19 omitted (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force) by
virtue of The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.L
2018/1253), arts. 1(2)(3), 95(7) (with arts. 106, 108)
FIT
PROSPECTIVE
Fu77
PROSPECTIVE
rI77
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Legal Services Act 2007 (c. 29) 407
SCHEDULE 20 — Amendments in relation to the Legal Profession and Legal Aid (Scotland) Act 2007
(asp 5)
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Fu77
FIT
SCHEDULE 20 Section 195
AMENDMENTS IN RELATION TO THE LEGAL PROFESSION
AND LEGAL AID (SCOTLAND) ACT 2007 (ASP 5)
Solicitors (Scotland) Act 1980 (c. 46)
1 (1) The Solicitors (Scotland) Act 1980 is amended as follows.
(2) In section 3A(5), omit paragraphs (a) and (ad).
(3) In section 15(2)—
(a) in paragraph (e), for “38” substitute “ 62A ”, and
(b) omit paragraph (j).
(4) In section 20(2), omit “, 53A(2)(ba)”.
(5) In section 24C(2)—
(a) in paragraph (d), for “38” substitute “ 62A ”, and
(b) omit paragraph (i).
(6) In section 34, omit subsections (4), (4C) and (4D).
(7) Omit sections 38, 39, 42A and 42B.
(8) In section 42C—
(a) in subsection (1)—
(i) omit paragraphs (a) and (c),
408 Legal Services Act 2007 (¢. 29)
SCHEDULE 20~ Amendments in relation to the Legal Profession and Legal Aid (Scotland) Act 2007
(asp 5)
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(ii) omit “to the solicitor or his firm or”, and
(iii) omit “or, where” to the end,
(b) in subsection (2), in paragraphs (a) and (b) omit (in each place) “solicitor,
firm or”,
(c) in subsection (3)—
(i) in paragraph (a), omit “the solicitor or his firm or, as the case may
be,”,
(ii) in paragraph (b), omit “of which the solicitor” to “be,”,
(d) in subsection (4), omit (in each place) “38,”, and
(e) omit subsection (5).
(9) In section S5I—
(a) in subsection (2)—
(i) omit “a solicitor may have been guilty” to “Fund) or”, and
(ii) omit “or a solicitor” to “services”, and
(b) omit subsection (2A).
(10) In section 52, in subsection (2)(aa) omit “42A(7) or”.
(11) In section 53, omit subsections (3), (10) and (11).
(12) Omit sections 53A, 53B and 53C.
(13) In section 54, omit subsections (1), (2B) and (2C).
(14) In section 55, omit subsection (8).
(15) Omit section 56A.
(16) In section 62A, in subsections (1) and (2) omit (in each place) “38,”.
(17) In section 65—
(a) in subsection (1), omit the definition of “inadequate professional services”,
and
(b) omit subsection (5).
(18) In Part 2 of Schedule 3, in paragraph 5(1), (2) and (3) omit (in each place) “38,”.
(19) In Part 2 of Schedule 4—
(a) in paragraph 9(a) and (b), omit (in each place) “or, as the case may be, of
provision of inadequate professional services”,
(b) in paragraph 16, omit sub-paragraphs (f) and (g), and
(c) in paragraph 23, omit “, 42A(7)”.
(20) In the side-note to section 62A, omit “38,”.
Law Reform (Miscellaneous Provisions) (Scotland) Act 1990 (c. 40)
2 In the Law Reform (Miscellaneous Provisions) (Scotland) Act 1990, omit
section 33.
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Legal Services Act 2007 (c. 29) 409
SCHEDULE 21 ~ Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
SCHEDULE 21 Section 208
MINOR AND CONSEQUENTIAL AMENDMENTS
Public Notaries Act 1801 (c. 79)
1 The Public Notaries Act 1801 is amended in accordance with paragraphs 2 and 3.
2 In section 1 (no person to be created to act as public notary, to do any notarial act
etc unless duly admitted), omit “, or use and exercise the office of a notary, or do
any notarial act,”.
3 In section 14 (Act not to extend to certain persons), omit from “proctor” to “any
other”.
Public Notaries Act 1843 (c. 90)
4 The Public Notaries Act 1843 is amended in accordance with paragraphs 5 to 7.
After section 7 insert—
“7A Effect of admission or grant of faculty
(1) Despite any provision made by the Public Notaries Acts, a person's
entitlement to carry on an activity which is a notarial activity is to be
determined in accordance with the Legal Services Act 2007.
(2) Nothing in the Public Notaries Acts is to be regarded, for the purposes of
paragraph 5(2) of Schedule 3 to the Legal Services Act 2007 (exempt persons
in relation to notarial activities) as authorising a person to carry on such an
activity.
(3) For this purpose—
“the Public Notaries Acts” means this Act and the Public Notaries
Act 1801;
“exempt person” and “notarial activity” have the same meaning
as in the Legal Services Act 2007.”
6 In section 8 (Master of Faculties may issue commissions to take oaths )}—
(a) _ the existing provision becomes subsection (1), and
(b) after that subsection insert—
“(2) For the purposes of the Legal Services Act 2007, the issue of a
commission under subsection (1) is to be treated as an authorisation
to carry on the relevant activities by virtue of another enactment
(see paragraph 6(2) of Schedule 3 to that Act).
(3) In subsection (2), “relevant activities” means the activities
authorised by the commission.”
7 Omit section 10 (offence of practising as notary without authorisation).
Bills of Exchange Act 1882 (c. 61)
8 The Bills of Exchange Act 1882 is amended in accordance with paragraphs 9 and
10.
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410 Legal Services Act 2007 (¢. 29)
SCHEDULE 21 — Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
9 In section 51 (noting or protest of bill), after subsection (7) insert—
“(7A) In subsection (7) “notary” includes a person who, for the purposes of the
Legal Services Act 2007, is an authorised person in relation to any activity
which constitutes a notarial activity (within the meaning of that Act).”
10 In section 94 (protest when notary not accessible)—
(a) the existing provision becomes subsection (1), and
(b) after that subsection insert—
“(2) In subsection (1), “notary” includes a person who, for the purposes
of the Legal Services Act 2007, is an authorised person in relation
to any activity which constitutes a notarial activity (within the
meaning of that Act).”
Commissioners for Oaths Act 1889 (c. 10)
1 The Commissioners for Oaths Act 1889 is amended in accordance with paragraphs
12 and 13.
12 In section 1(3) (powers of commissioners for oaths) omit from “in which” (in the
first place) to “solicitor, or”.
13 In section 6 (powers as to oaths and notarial acts abroad), after subsection (1)
insert—
“(1A) In subsection (1), “notary public” includes a person who, for the purposes
of the Legal Services Act 2007, is an authorised person in relation to any
activity which constitutes a notarial activity (within the meaning of that
Act).”
Benefices Act 1898 (c. 48)
14 In section 3 of the Benefices Act 1898 (appeal against refusal of benefice)—
(a) in subsection (2) for “counsel or a solicitor” substitute “ an authorised
person ”, and
(b) after that subsection insert—
“(2A) In subsection (2) “authorised person” means a person who, for the
purposes of the Legal Services Act 2007, is an authorised person
in relation to an activity which constitutes the exercise a right of
audience (within the meaning of that Act).”
Children and Young Persons Act 1933 (c. 12)
15 The Children and Young Persons Act 1933 is amended in accordance with
paragraphs 16 to 20.
16 In section 37(1) (power to clear court while child or young person giving evidence),
for “counsel or solicitors” substitute “ legal representatives ”.
17 In section 43 (admission of deposition in evidence), for “counsel or solicitor”
substitute “ legal representative ”.
18 In section 47(2)(b) (procedure in youth courts), for “solicitors and counsel”
substitute “ legal representatives ”.
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SCHEDULE 21 ~ Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
19 In section 49(11) (restrictions on reports of proceedings), omit the definition of
“legal representative”.
20 In section 107 (interpretation), after the definition of “legal guardian” insert—
“egal representative” means a person who, for the purposes of the Legal
Services Act 2007, is an authorised person in relation to an activity which
constitutes the exercise of a right of audience or the conduct of litigation
(within the meaning of that Act);”.
London Building Acts (Amendment) Act 1939 (c. xevii)
21 In section 115 of the London Building Acts (Amendment) Act 1939 (jurisdiction
of tribunal of appeal)—
(a) in subsection (2), for “counsel solicitor” substitute “ an authorised person
” and
(b) after that subsection insert—
“(2A) In subsection (2) “authorised person” means a person who, for the
purposes of the Legal Services Act 2007, is an authorised person
in relation to an activity which constitutes the exercise of a right of
audience (within the meaning of that Act).”
Accommodation Agencies Act 1953 (c. 23)
22 In section I of the Accommodation Agencies Act 1953 (illegal commissions and
advertisements)—
(a) in subsection (3), after “solicitor” insert “ or an authorised person ”, and
(b) _ in subsection (6), after “say:—” insert—
authorised person” means a person (other than a solicitor) who,
for the purposes of the Legal Services Act 2007, is an authorised
person in relation to an activity which is a reserved legal activity
(within the meaning of that Act);”.
Geneva Conventions Act 1957 (c. 52)
23 In section 3 of the Geneva Conventions Act 1957 (legal representation of certain
persons), after subsection (5) insert—
“(6) In this section—
“counsel” includes any person who, for the purposes of the Legal
Services Act 2007, is an authorised person in relation to an activity
which constitutes the exercise of a right of audience (within the
meaning of that Act);
“solicitor” includes any person who, for the purposes of that Act,
is an authorised person in relation to an activity which constitutes
the conduct of litigation (within the meaning of that Act).”
Horserace Betting Levy Act 1969 (c. 14)
24 In section 4 of the Horserace Betting Levy Act 1969 (non-renewal of bookmaker's
permit)—
412 Legal Services Act 2007 (¢. 29)
SCHEDULE 21 — Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) in subsection (2), for “ora solicitor” substitute “ , a solicitor or an authorised
person ”, and
(b) after that subsection insert-—
“(2A) In subsection (2), “authorised person” means a person (other than
counsel or a solicitor) who, for the purposes of the Legal Services
Act 2007, is an authorised person in relation to an activity which
constitutes the exercise of a right of audience or the conduct of
litigation (within the meaning of that Act).”
Taxes Management Act 1970 (c. 9)
25 In section 20B of the Taxes Management Act 1970 (restrictions on power to require
documents)—
(a) in subsection (3), for “barrister, advocate or solicitor” (in both places)
substitute “ relevant lawyer ”,
(b) insubsection (8), for “barrister, advocate or a solicitor” substitute “relevant
lawyer ”, and
(c) after subsection (14) insert—.
“(15) In this section “relevant lawyer” means a barrister, advocate,
solicitor or other legal representative communications with whom
may be the subject of a claim to professional privilege.”
Powers of Attorney Act 1971 (c. 27)
26 In section 3 of the Powers of Attorney Act 1971 (proof of instruments creating
powers of attorney)}—
(a) in subsection (1)(b) for “duly certificated notary public” substitute “ ,
authorised person ”, and
(b) in subsection (3) for from “ “duly” to “Act and” substitute “ “authorised
person” means a person (other than a solicitor) who, for the purposes of the
Legal Services Act 2007, is an authorised person in relation to any activity
which constitutes a notarial activity (within the meaning of that Act) and”.
Poisons Act 1972 (c. 66)
27 In section 9(7) of the Poisons Act 1972 (right to conduct proceedings), omit
“notwithstanding that he is not of counsel or a solicitor”.
Local Government Act 1972 (c. 70)
28 In section 223 of the Local Government Act 1972 (appearance of local authorities
in legal proceedings), in subsection (1) for “, notwithstanding” to the end substitute
“to conduct any such proceedings. ”
Matrimonial Causes Act 1973 (c. 18)
29 In section 6 of the Matrimonial Causes Act 1973 (attempts at reconciliation of
parties to marriage) in subsection (1) for “solicitor” substitute “ legal representative
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SCHEDULE 21 ~ Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Fair Trading Act 1973 (c. 41)
30 In section 29 of the Fair Trading Act 1973 (powers of entry and seizure)—
(a) in subsection (5), for “barrister, advocate or solicitor” substitute “ relevant
lawyer ”, and
(b) after subsection (5) insert—
“(6) “Relevant lawyer” means a barrister, advocate, solicitor, or other
legal representative communications with whom may be the
subject of a claim to privilege.”
Consumer Credit Act 1974 (c. 39)
31 In section 146 of the Consumer Credit Act 1974 (exceptions from section 145),
after subsection (2) insert—
“(2A) An authorised person (other than a barrister or solicitor) engaging in
contentious business is not to be treated as doing so in the course of any
ancillary credit business.
(2B) In subsection (2A)—
“authorised person” means a person who, for the purposes of the
Legal Services Act 2007, is an authorised person in relation to an
activity which constitutes the exercise of a right of audience or the
conduct of litigation (within the meaning of that Act);
“contentious business” means business done in or for the
purposes of proceedings begun before a court or before an arbitrator,
not being non-contentious or common form probate business (within
the meaning of section 128 of the Supreme Court Act 1981).”
FIs
Textual Amendments
F178 Sch. 21 para, 32 crossheading repealed (1.10.2010) by 2010 c. 15, Sch. 27 Pt. 1 (as substituted by The
Equality Act 2010 (Consequential Amendments, Saving and Supplementary Provisions) Order 2010 (S.L
2010/2279), art. 1(2), Sch. 2
Textual Amendments
F179 Sch. 21 para. 32 repealed (1.10.2010) by 2010 c. 15, Sch. 27 Pt. 1 (as substituted by The Equality Act
2010 (Consequential Amendments, Saving and Supplementary Provisions) Order 2010 (S.I. 2010/2279),
art. 1(2), Sch. 2)
Bail Act 1976 (c. 63)
33 The Bail Act 1976 is amended in accordance with paragraphs 34 and 35.
34 In section 3 (general provisions), in subsection (6)(e) for “an authorised advocate”
to the end substitute “ a person who, for the purposes of the Legal Services Act
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SCHEDULE 21 — Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
2007, is an authorised person in relation to an activity which constitutes the exercise
ofa right of audience or the conduct of litigation (within the meaning of that Act); ”.
35 In section 5 (supplementary provisions about decisions on bail)—
(a) in subsection (5), for “is represented by counsel or a solicitor unless his
counsel or solicitor” substitute “ has legal representation unless his legal
representative ”, and
(b) insubsection (6), for “is not represented by counsel ora solicitor” substitute
“ does not have legal representation ”.
Race Relations Act 1976 (c. 74)
Textual Amendments
F180. Sch. 21 paras. 36-38 repealed (1.10.2010) by 2010 c. 15, Sch. 27 Pt. I (as substituted by The Equality Act
2010 (Consequential Amendments, Saving and Supplementary Provisions) Order 2010 (S.I. 2010/2279),
art. 1(2), Sch. 2)
Textual Amendments
F180 Sch. 21 paras. 36-38 repealed (1.10.2010) by 2010 c. 15, Sch. 27 Pt. I (as substituted by The Equality Act
2010 (Consequential Amendments, Saving and Supplementary Provisions) Order 2010 (S.I. 2010/2279),
art. 1(2), Sch. 2)
Textual Amendments
F180 Sch. 21 paras. 36-38 repealed (1.10.2010) by 2010 c. 15, Sch. 27 Pt. 1 (as substituted by The Equality Act
2010 (Consequential Amendments, Saving and Supplementary Provisions) Order 2010 (S.1. 2010/2279),
att, 1(2), Sch. 2)
Textual Amendments
F181 Sch. 21 para. 39 repealed (4.4.2011) by the Equality Act 2010 (c. 15), Sch. 27 Pt. 1A (as inserted by S.I
2011/1060, arts. 1(2), 3(3)(a), Sch. 3)
Patents Act 1977 (c. 37)
40 In section 102 of the Patents Act 1977 (rights of audience ete in proceedings before
the comptroller) —
(a) after subsection (2) inser-—
“(2A) For the purposes of subsection (2), as it has effect in relation to
England and Wales, “the enactment relating to the preparation
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
of documents by persons not qualified” means section 14 of the
Legal Services Act 2007 (offence to carry on a reserved legal
activity if not entitled) as it applies in relation to an activity which
amounts to the carrying on of reserved instrument activities within
the meaning of that Act.”, and
(b) for subsection (5) substitute—
“(5) Nothing in this section is to be taken to limit any entitlement to
prepare deeds conferred on a registered patent attorney by virtue
of the Legal Services Act 2007.”
‘ate Agents Act 1979 (c. 38)
Textual Amendments
F182 Sch. 21 para. 41 repealed (1.10.2015) by Consumer Rights Act 2015 (c. 15), s. 100(5), Sch. 6 para.
85(h); S.1. 2015/1630, art. 3(i) (with art. 8)
Magistrates' Courts Act 1980 (c. 43)
42 The Magistrates’ Courts Act 1980 is amended in accordance with paragraphs 43
and 44.
Textual Amendments
F183 Sch. 21 para. 43 repealed (18.9.2012) by The Public Bodies (Abolition of Crown Court Rule Committee
and Magistrates’ Courts Rule Committee) Order 2012 (S.I. 2012/2398), art. 1(2), Sch. 2 para. 10
44 In section 150 (interpretation), in subsection (1), in the definition of “legal
representative” for “an authorised advocate” to the end substitute “ a person who,
for the purposes of the Legal Services Act 2007, is an authorised person in relation
to an activity which constitutes the exercise of a right of audience or the conduct
of litigation (within the meaning of that Act); ”.
Supreme Court Act 1981 (c. 54)
45 The Supreme Court Act 1981 is amended in accordance with paragraphs 46 and 47.
Textual Amendments
F184 Sch. 21 para. 46 repealed (18.9.2012) by The Public Bodies (Abolition of Crown Court Rule Committee
and Magistrates’ Courts Rule Committee) Order 2012 (S.I. 2012/2398), art. 1(2), Sch. 1 para. 10
47 In section 90(3B) (conduct of proceedings by Official Solicitor) for “section 28(2)
(a) of the Courts and Legal Services Act 1990” substitute “ the fact that he is a
person who, for the purposes of the Legal Services Act 2007, is an authorised
416 Legal Services Act 2007 (¢. 29)
SCHEDULE 21 — Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
person in relation to an activity which constitutes the conduct of litigation (within
the meaning of that Act) ”.
Representation of the People Act 1983 (c. 2)
48 The Representation of the People Act 1983 is amended in accordance with
paragraphs 49 to 52.
49 In section 86 (authorised excuses for failures as to return and declarations)—
(a) in subsection (1A), for “or solicitor” substitute “ , solicitor or authorised
person ”, and
(b) after that subsection insert—
“(1B) In subsection (1A) “authorised person” means a person (other than
a barrister or solicitor) who, for the purposes of the Legal Services
Act 2007, is an authorised person in relation to an activity which
constitutes the exercise of a right of audience (within the meaning
of that Act).”
50 In section 156 (costs of trying election petition)\—
(a) in subsection (5), for “or solicitor” substitute “ , a solicitor or an authorised
person ”, and
(b) after that subsection insert—
“(SA) In subsection (5) “authorised person” means a person (other than
counsel or a solicitor) who, for the purposes of the Legal Services
Act 2007, is an authorised person in relation to an activity which
constitutes the exercise of a right of audience (within the meaning
of that Act).”
51 In section 162 (member of legal and certain other professions)—
(a) _ the existing provision becomes subsection (1),
(b) _ in that subsection—
(i) after “solicitor” insert “ , authorised person ”, and
(ii) for “or tribunal” (in both places) substitute “ , tribunal or other
body ”, and
(c) after that subsection insert—
“(2) In subsection (1) “authorised person” means a person (other than
a barrister or solicitor) who, for the purposes of the Legal Services
Act 2007, is an authorised person in relation to an activity which
constitutes a reserved legal activity (within the meaning of that
Act).”
52 In section 181 (Director of Public Prosecutions)—
(a) in subsection (3), for “or solicitor” substitute “ , solicitor or authorised
person ”, and
(b) after that subsection insert-—
“(3A) In subsection (3) “authorised person” means a person (other than
a barrister or solicitor) who, for the purposes of the Legal Services
Act 2007, is an authorised person in relation to an activity which
constitutes the exercise of a right of audience (within the meaning
of that Act).”
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2007 (c. 29) 417
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Stat
This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
53
54
55
56
57
58
59
60
61
62
63
Mental Health Act 1983 (c. 20)
The Mental Health Act 1983 is amended in accordance with paragraphs 54 to 60.
In section 35 (remand to hospital for report on accused's mental condition), in
subsection (6) for “counsel or a solicitor and his counsel or solicitor” substitute “
an authorised person who ”.
In section 36 (removal of accused person to hospital for treatment), in subsection (5)
for “counsel or a solicitor and his counsel or solicitor” substitute “ an authorised
person who ”.
In section 38 (interim hospital orders), in subsection (2) for “counsel or a solicitor
and his counsel or solicitor” substitute “ an authorised person who ”.
In section 52 (further provisions as to persons remanded by magistrates' courts), in
subsection (7)(b) for “counsel or a solicitor” substitute “ an authorised person ”.
In section 54 (requirements as to medical evidence), in subsection (3)(a)—
(a) for “counsel or a solicitor” substitute “ an authorised person ”, and
(b) for “his counsel or solicitor” substitute “ that authorised person ”.
In section 55 (interpretation of Part 3), in subsection (1) before the definitions of
“child” and “young person” insert—
authorised person” means a person who, for the purposes of the Legal
Services Act 2007, is an authorised person in relation to an activity which
constitutes the exercise of a right of audience (within the meaning of that
Act);”.
In section 78 (procedure of Mental Health Review Tribunals), in subsection (7) for
“counsel or a solicitor” substitute “ an authorised person (within the meaning of
Part 3)”.
County Courts Act 1984 (c. 28)
In section 147 of the County Courts Act 1984 (interpretation), in subsection (1),
in the definition of “legal representative” for “an authorised advocate” to the end
substitute “ a person who, for the purposes of the Legal Services Act 2007, is an
authorised person in relation to an activity which constitutes the exercise of a right
of audience or the conduct of litigation (within the meaning of that Act); ”.
Inheritance Tax Act 1984 (c. 51)
In section 219 of the Inheritance Tax Act 1984 (power to require information)—
(a) in subsection (3) for “barrister or solicitor” substitute “ relevant lawyer ”,
(b) in subsection (4) for “solicitor” (in both places) substitute “ relevant lawyer
” and
(c) after that subsection insert—
“(5) In this section “relevant lawyer” means a barrister, advocate,
solicitor or other legal representative communications with whom
may be the subject of a claim to professional privilege.”
Companies Act 1985 (c. 6)
In Schedule 15D of the Companies Act 1985 (disclosures)—
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41s Legal Services Act 2007 (¢. 29)
SCHEDULE 21 — Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) the existing paragraph 46 becomes sub-paragraph (1) of that paragraph,
(b) _ in that sub-paragraph for “solicitor, barrister” substitute “ relevant lawyer
”, and
(c) after that sub-paragraph insert—
“(2) “Relevant lawyer” means—
(a) a person who, for the purposes of the Legal Services Act
2007, is an authorised person in relation to an activity
which constitutes a reserved legal activity (within the
meaning of that Act),
(b) a solicitor or barrister in Northern Ireland, or
(c) asolicitor or advocate in Scotland.”
Prosecution of Offences Act 1985 (c. 23)
64 In section 15 of the Prosecution of Offences Act 1985 (interpretation), in
subsection (1), in the definition of “legal representative” for “an authorised
advocate” to the end substitute “ a person who, for the purposes of the Legal
Services Act 2007, is an authorised person in relation to an activity which
constitutes the exercise of a right of audience or the conduct of litigation (within
the meaning of that Act); ”.
Administration of Justice Act 1985 (c. 61)
65 The Administration of Justice Act 1985 is amended in accordance with paragraphs
66 and 67.
66 In section 41 (application of disciplinary provisions to legal aid complaints against
barristers), in subsection (2) after “those provisions” insert “ and despite section 157
of the Legal Services Act 2007 (approved regulators not to make provision for
redress) ”.
67 In section 69(2) (commencement) for “Secretary of State” substitute “ Lord
Chancellor ”.
Social Security Act 1986 (c. 50)
68 In section 56 of the Social Security Act 1986 (legal proceedings), in subsection (1)
omit “although not a barrister or solicitor”.
Building Societies Act 1986 (c. 53)
69 The Building Societies Act 1986 is amended in accordance with paragraphs 70 to
72.
70 In section 52 (powers to obtain information and documents etc)—
(a) in subsection (8) for “barrister, solicitor or advocate” substitute “ relevant
lawyer ”, and
(b) _ in subsection (13) after the definition of “approved” insert—
‘relevant lawyer” means a barrister, advocate, solicitor or other
legal representative communications with whom may be the
subject of a claim to professional privilege;”.
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
71 In section 67 (directors, etc, not to accept commission in connection with loans), in
subsection (7), in the definition of “solicitor” for “licensed conveyancer” substitute
“any person who, for the purposes of the Legal Services Act 2007, is an authorised
person in relation to an activity which constitutes a reserved instrument activity
(within the meaning of that Act)”.
72 In section 69 (disclosure and record of income of related businesses), in
subsection (17), in the definition of “solicitor” for “licensed conveyancer” to the end
substitute “ any person who, for the purposes of the Legal Services Act 2007, is an
authorised person in relation to an activity which constitutes a reserved instrument
activity (within the meaning of that Act). ”
Ministry of Defence Police Act 1987 (c. 4)
73 In section 4 of the Ministry of Defence Police Act 1987 (representation at
disciplinary proceedings)—
(a) in subsection (2) for “either by counsel or by a solicitor” substitute “ by a
relevant lawyer ”,
(b) _ in subsection (7) for “counsel or a solicitor” substitute “ a relevant lawyer
”, and
(c) after that subsection insert—
“(8) In this section “relevant lawyer” means—
(a) in relation to Scotland or Northern Ireland, counsel or a
solicitor, and
(b) in relation to England and Wales, a person who, for the
purposes of the Legal Services Act 2007, is an authorised
person in relation to an activity which constitutes the
exercise of a right of audience (within the meaning of that
Act).”
Income and Corporation Taxes Act 1988 (c. 1)
74 In the Income and Corporation Taxes Act 1988, in section 778 (power to obtain
information)—
(a) in subsection (3) for “solicitor” substitute “ relevant lawyer ”, and
(b) after that subsection insert—
“(4) In subsection (3) “relevant lawyer” means a barrister, advocate,
solicitor or other legal representative communications with whom
may be the subject of a claim to professional privilege or, in
Scotland, protected from disclosure in legal proceedings on the
grounds of confidentiality of communication.”
Copyright, Designs and Patents Act 1988 (c. 48)
75 The Copyright, Designs and Patents Act 1988 is amended in accordance with
paragraphs 76 to 80.
76 In section 276 (persons entitled to describe themselves as patent agents)—
(a) in subsection (1) for “registered patent agent” substitute “ registered patent
attorney ”, and
(b) in subsection (4) for “agent” (in the second place) substitute “ attorney ”.
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SCHEDULE 21 — Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
77 In section 280 (privilege for communications with patent agents)—
(a) in subsection (1), after “to” (in the first place) insert “—
(a)
(b) at the end of that subsection insert “, and
(b) documents, material or information relating to any matter
mentioned in paragraph (a).”,
(c) for subsection (2) substitute—
“(2) Where a patent attorney acts for a client in relation to a matter
mentioned in subsection (1), any communication, document,
material or information to which this section applies is privileged
from disclosure in like manner as if the patent attorney had at all
material times been acting as the client's solicitor.”,
(d) in subsection (3)—
(i) for “agent” (in each place) substitute “ attorney ”, and
(ii) for “agents” substitute “ attorneys ”, and
(e) omit subsection (4).
8 In section 281 (power of comptroller to refuse to deal with certain agents) in
subsection (2) for “agents” (in both places) substitute “ attorneys ”.
79 In section 286 (interpretation)\—
(a) for “agent” substitute “ attorney
(b) for “(1)” substitute “ (2) ”.
80 Omit section 292 (rights and duties of registered patent agents in relation to
proceedings in patent county courts).
, and
Law of Property (Miscellaneous Provisions) Act 1989 (c. 34)
81 In section I of the Law of Property (Miscellaneous Provisions) Act 1989 (deeds
and their execution)—
(a) in subsection (5) for “a solicitor” (in the first place) to “conveyancer” (in
the second place) substitute “ a relevant lawyer, or an agent or employee
of a relevant lawyer ”, and
(b) in subsection (6) for the definition of “duly certificated notary public”
substitute—
‘relevant lawyer” means a person who, for the purposes of the
Legal Services Act 2007, is an authorised person in relation to an
activity which constitutes a reserved instrument activity (within the
meaning of that Act).”
Companies Act 1989 (c. 40)
82 In section 87 of the Companies Act 1989 (exceptions from restrictions on
disclosure)—
(a) in subsection (2), in paragraph (c)(i), for “solicitor” substitute “ relevant
lawyer ”, and
(b) after that subsection insert—
“(2A) In subsection (2)(c)(i) “relevant lawyer” means—
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) a person who, for the purposes of the Legal Services Act
2007, is an authorised person in relation to an activity
which constitutes a reserved legal activity (within the
meaning of that Act),
(b) asolicitor or barrister in Northern Ireland, or
(c) asolicitor or advocate in Scotland.”
Courts and Legal Services Act 1990 (c. 41)
83 The Courts and Legal Services Act 1990 is amended in accordance with paragraphs
84 to 101.
84 Omit the following provisions—
(a) _ section 17 (the statutory objective and the general principle);
(b) section 18 (the statutory duty);
(c) section 18A (the Consultative Panel);
(d) section 27 (rights of audience);
(e) section 28 (rights to conduct litigation);
(f) section 29 (authorised bodies);
(g) section 31 (barristers and solicitors: rights of audience and rights to conduct
litigation);
(h) _ section 31A (employed advocates).
Commencement Information
1529 Sch. 21 para. 84 wholly in force at 1.1.2010, see s. 211 and S.1. 2009/3250, art. 2(h) (subject to art. 6
and with art. 9)
85 In section 31B (advocates and litigators employed by Legal Services Commission)
(a)
(b)
(c)
(d)
for subsection (1) substitute—
“(1) This section applies where a person—
(a) is authorised by a relevant approved regulator (“the
regulator”) to carry on an activity which constitutes the
exercise of a right of audience or the conduct of litigation,
and
(b) is employed by the Legal Services Commission, or by any
body established and maintained by that Commission.
(1A) Any rules of the regulator which fall within subsection (2) shall
not have effect in relation to that person.”,
in subsection (2)—
(i) for “body” (in each place) substitute “ regulator”, and
(ii) for “rules of conduct” substitute “ conduct rules ”,
in subsection (3) for “body” substitute “ regulator”, and
after subsection (3) insert—
“(4) For the purposes of this section “relevant approved regulator” is to
be construed in accordance with section 20(3) of the Legal Services
Act 2007.”
422 Legal Services Act 2007 (¢. 29)
SCHEDULE 21 — Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
86 In section 31C (change of authorised body)—
(a) _ for subsection (1) substitute—
“(1) Where a person—
(a) _ has at any time been authorised by a relevant approved
regulator to exercise a right of audience before a court in
relation to proceedings of a particular description, and
(b) becomes authorised by another relevant approved
regulator to exercise a right of audience before that court
in relation to that description of proceedings,
any qualification regulations of the relevant approved regulator
mentioned in paragraph (b) which relate to that right are not to have
effect in relation to the person.”,
(b) in subsection (2) for “the body” substitute “ the relevant approved regulator
(c) in subsection (3) for “body” (in each place) substitute “ relevant approved
regulator ”, and
(d) after that subsection insert-—
“(4) In this section “relevant approved regulator” is to be construed in
accordance with section 20(3) of the Legal Services Act 2007.”
87 Omit sections 34 to 52 (extension of conveyancing services).
88 Omit sections 54 and 55 (preparation of probate papers etc).
Commencement Information
1530 Sch. 21 para. 88 wholly in force at 1.1.2010, see s. 211 and S.1. 2009/3250, art. 2(h) (subject to art. 6
and with art. 9)
89 In section 60 (regulation of right of Scottish and Northern Ireland lawyers to
practise in England and Wales)—
(a) in subsection (1) for “Secretary of State” substitute “ Lord Chancellor ”,
(b) in subsection (2) for “Secretary of State” substitute “ Lord Chancellor ”,
(c) after subsection (2) insert—
“(2A) Regulations may be made under this section only if—
(a) the Legal Services Board has made a recommendation
under section 60A,
(b) draft regulations were annexed to the recommendation,
and
(c) the regulations are in the same form as, or a form not
materially different from, the drafi regulations.”, and
(d) in subsection (4) for “Secretary of State” substitute “ Lord Chancellor ”.
90 Afier that section insert—
“60A Procedural requirements relating to recommendations for the purposes
of section 60
(1) Before making a recommendation under this section, the Legal Services
Board must publish a draft of —
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SCHEDULE 21 ~ Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
3
(a) the proposed recommendation, and
(b) the proposed draft regulations.
(2) The draft must be accompanied by a notice which states that representations
about the proposals may be made to the Board within a specified period.
(3) Before making the recommendation, the Board must have regard to any
representations duly made.
(4) If the drafi regulations to be annexed to the recommendation differ from
the draft regulations published under subsection (1)(b) in a way which is,
in the opinion of the Board, material, the Board must, before making the
recommendation, publish the draft recommendations along with a statement
detailing the changes made and the reasons for the changes.”
91 Omit section 63 (legal professional privilege).
92 Omit section 69 (exemption from liability for damages etc).
93 Omit section 70 (offences).
94 In section 71 (qualification for judicial and certain other appointments)—
(a) in subsection (4) for “granted by an authorised body” substitute “
exercisable by virtue of an authorisation given by a relevant approved
regulator ”,
(b) in subsection (6) for “the authorised body concerned” substitute “ the
relevant approved regulator ”, and
(c) after that subsection insert—
“(6A) In this section “relevant approved regulator” is to be construed in
accordance with section 20(3) of the Legal Services Act 2007.”
95 In section 75 (judges etc barred from legal practice), after paragraph (b) insert—
“(ba) carry on any notarial activities (within the meaning of the Legal
Services Act 2007);”.
96 Omit section 113 (administration of oaths and taking of affidavits).
Commencement Information
1531 Sch. 21 para. 96 wholly in force at 1.1.2010 see s. 211 and S.I. 2009/3250, art. 2(h) (subject to art. 9)
97 (1) Section 119 (interpretation) is amended as follows.
(2) In subsection (1) omit the following definitions—
“authorised advocate”
“authorised body” and “appropriate authorised body”
“authorised litigator”
“authorised practitioner”
“Consultative Panel”
“duly certificated notary public”
“the general principle”
“qualified person”
“the statutory objective”.
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SCHEDULE 21 — Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) In that subsection, for the definition of “court” substitute—
““court” has the same meaning as in the Legal Services Act 2007 (see
section 207 of that Act);”.
(4) In that subsection, for the definition of “qualification regulations” and “rules of
conduct” substitute—
qualification regulations” and “conduct rules”, in relation to a body,
have the same meaning as in the Legal Services Act 2007 (see section 21
of that Act);”.
(5) In that subsection, in the definition of “right to conduct litigation” —
(a) in paragraph (a) after “court” insert “ in England and Wales ”,
(b) for “and” at the end of that paragraph substitute—
“(aa) to commence, prosecute and defend such proceedings;
and”.
(6) In subsection (3) for from “(including” to the end substitute “ to conduct rules
includes a reference to practice rules (within the meaning of the Legal Services Act
2007 (see section 21 of that Act)).”
98 In section 120 (regulations and orders) omit—
(a) in subsection (4) —
(i) “26(1), 37(10), 40(1)”, and
(ii) from “paragraph 24” to “Schedule 9”, and
(b) subsection (5).
99 In section 125 (power to make provision consequential on provision made by Part
2 of Administration of Justice Act 1985 etc)—
(a) in subsection (4) for “Secretary of State” substitute “ Lord Chancellor ”,
and
(b) for subsection (5) substitute—
“(5) In subsection (4)—
(a) “relevant enactments” means such enactments or
instruments passed or made before or in the same Session
as the Legal Services Act 2007 was passed as may be
specified in the order, and
(b) the reference to Part 2 is a reference to that Part as amended
by that Act or any enactment or instruments passed or
made before or in the same Session as that Act was
passed.”
100 Omit the following provisions—
(a) Schedule 4 (authorised bodies);
(b) Schedule 5 (the Authorised Conveyancing Practitioners Board);
(c) Schedule 6 (the Conveyancing Appeals Tribunals);
(d) Schedule 7 (the Conveyancing Ombudsman Scheme);
(e) in Part 2 of Schedule 8 (amendments of provisions relating to powers of
Conveyancing Licensing Council etc), paragraphs 14 to 20 and 21(1)(b);
(f) Schedule 9 (probate).
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Legal Services Act 2007 (c. 29) 425
SCHEDULE 21 ~ Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1532 Sch. 21 para. 100 wholly in force at 1.1.2010; Sch. 21 para. 100 not in force at Royal Assent see s.
211; Sch. 21 para. 100(b)-(d) in force at 31.3.2009 by S.I. 2009/503, art. 2(d); s. 100(a)(e)(f) in force at
1.1.2010 by S.L. 2009/3250, art. 2(h) (subject to art. 6 and with art. 9)
1533 Sch. 21 para. 100() in force at 6.10.2010 in so far as not already in force by S.1. 2010/2089, art. 2(4)
(with art. 6)
101 In paragraph 17 of Schedule 19 (revocation of appointment under section 1(1) of
the Commissioners for Oaths Act 1889) for “Secretary of State” substitute “ Lord
Chancellor ”.
Environmental Protection Act 1990 (c. 43)
102 In section 114 (appointment etc of inspectors), in subsection (4) omit “, although
not of counsel or a solicitor,”.
Friendly Societies Act 1992 (c. 40)
103 In section 62 of the Friendly Societies Act 1992 (powers to obtain information and
documents ete)—
(a) in subsection (7), for paragraphs (a) and (b) substitute—
“(a) by a relevant lawyer of a document or material
contained in a privileged communication or, in Scotland,
a communication which is protected from disclosure on
the ground of confidentiality, made by or to the relevant
lawyer in that capacity or the furnishing of information
contained in such communication so made;”, and
(b) in subsection (12), at the end insert “; and
“relevant lawyer” means a barrister, advocate, solicitor or other
legal representative communications with whom may be the
subject of a claim to professional privilege or, in Scotland, be
protected from disclosure in legal proceedings on grounds of
confidentiality of communication.”
Trade Union and Labour Relations Consolidation Act 1992 (c. 52)
104 The Trade Union and Labour Relations Consolidation Act 1992 is amended in
accordance with paragraphs 105 to 107.
105 In section 194 (offence of failure to notify), in subsection (2) omit “, although not
of counsel or a solicitor,”.
106 In section 216 (constitution and proceedings of court of inquiry)—
(a) in subsection (6) for “counsel or solicitor” (in both places) substitute “ a
relevant lawyer”, and
(b) after subsection (6) insert—
“(7) In subsection (6) “relevant lawyer” means—
(a) a person who, for the purposes of the Legal Services Act
2007, is an authorised person in relation to an activity
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426 Legal Services Act 2007 (¢. 29)
SCHEDULE 21 — Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
which constitutes the exercise of a right of audience or the
conduct of litigation within the meaning of that Act, or
(b) an advocate or solicitor in Scotland.”
107 In section 288 (restriction on contracting out), in subsection (4B)(a) for “a
barrister” (in the first place) to the end substitute “ a person who, for the purposes of
the Legal Services Act 2007, is an authorised person in relation to an activity which
constitutes the exercise of a right of audience or the conduct of litigation (within
the meaning of that Act), and ”.
Finance Act 1993 (c. 34)
108 Fiss
Textual Amendments
F185 Sch. 21 para. 108 omitted (1.4.2010) by virtue of The Finance Act 2009, Section 96 and Schedule 48
(Appointed Day, Savings and Consequential Amendments) Order 2009 (5.1, 2009/3054), art. 3, (Sch.
para. 16(1)}
Trade Marks Act 1994 (c. 26)
109 The Trade Marks Act 1994 is amended in accordance with paragraphs 110 to 115.
Textual Amendments
F186 Sch. 21 para. 110 repealed (31.12.2020) by The Trade Marks (Amendment ete.) (EU Exit) Regulations
2019 (S.L. 2019/269), reg. 1(1), Sch. 5 para. 6 (as amended by S.I. 2020/1050, regs. 1(2), 12); 2020
c. 1, Sch. 5 para. 1(1)
ll In section 84 (unregistered persons not to be described as registered trade mark
agents) —
(a) in subsection (1)—
(i) for “agent” (in the first place) substitute “ attorney ”,
(ii) in paragraph (a) after “agent” insert “ or registered trade mark
attorney ”, and
(iii) in paragraph (b) after “agent” insert “ or a registered trade mark
attorney ”,
(b) _ in subsection (2)—
(i) in paragraph (a) afier “agent’
attorney ”, and
(ii) in paragraph (b) after “agents
attorneys ”, and
(c) in subsection (3)—
(i) in paragraph (a) after “agent’
attorney ”, and
(ii) in paragraph (b) after “agent” insert “ or a registered trade mark
attorney ”.
insert “ or registered trade mark
insert “ or registered trade mark
insert “ or registered trade mark
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SCHEDULE 21 ~ Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
112 In section 86 (use of the term “trade mark attorney”) in subsection (1) for “agent”
substitute “ attorney ”.
113 In section 87 (privilege for communications with registered trade mark agents)—
(a) in subsection (1), after “to” (in the first place) insert “—
@
(b) at the end of that subsection insert “, and
(b) documents, material or information relating to any matter
mentioned in paragraph (a).”,
(c) for subsection (2) substitute—
“(2) Where a trade mark attorney acts for a client in relation to a matter
mentioned in subsection (1), any communication, document,
material or information to which this section applies is privileged
from disclosure in like manner as if the trade mark attorney had at
all material times been acting as the client's solicitor.”, and
(d) _ in subsection (3)—
(i) for “agent” (in each place) substitute “ attorney ”, and
(ii) for “agents” substitute “ attorneys ”.
114 In section 88 (power of registrar to refuse to deal with certain agents)—
(a) in paragraph (b) for “agents” substitute “ attorneys ”, and
(b) in paragraph (c) for “agents” substitute “ attorneys ”.
115 In section 104 (index of defined expressions, in the entry for “registered trade mark
agent” —
(a) for “agent” substitute “ attorney ”, and
(b) for “(1)” substitute “ (2) ”.
Criminal Justice and Public Order Act 1994 (c. 33)
116 In section 38 of the Criminal Justice and Public Order Act 1994 (interpretation and
savings for sections 34 to 37 of that Act) in subsection (1), in the definition of “legal
representative” for “an authorised advocate” to the end substitute “ a person who,
for the purposes of the Legal Services Act 2007, is an authorised person in relation
to an activity which constitutes the exercise of a right of audience or the conduct of
litigation (within the meaning of that Act); and”.
Environment Act 1995 (c. 25)
117 In section 54 of the Environment Act 1995 (appearance in legal proceedings), omit
“although not of counsel or a solicitor”.
FIs?
Textual Amendments:
F187 Sch. 21 para. 118 crossheading repealed (1.10.2010) by 2010 c. 15, Sch. 27 Pt. 1 (as substituted by The
Equality Act 2010 (Consequential Amendments, Saving and Supplementary Provisions) Order 2010 (S.L
2010/2279), art. 1(2), Sch. 2)
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428 Legal Services Act 2007 (¢. 29)
SCHEDULE 21 ~ Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Textual Amendments
F188 Sch. 21 para. 118 repealed (1.10.2010) by 2010 c. 15, Sch. 27 Pt. 1 (as substituted by The Equality Act
2010 (Consequential Amendments, Saving and Supplementary Provisions) Order 2010 (S.. 2010/2279),
art. 1(2), Sch. 2)
Police Act 1996 (c. 16)
119
Textual Amendments
F189 Sch. 21 para. 119 repealed (1.12.2008) by Criminal Justice and Immigration Act 2008 (¢. 4), ss. 149,
153, Sch. 28 Pt. 8; S.I. 2008/2993, art. 2(1)(k)(iti) (subject to art. 3)
Employment Rights Act 1996 (c. 18)
120 In section 203 of the Employment Rights Act 1996 (restrictions on contracting out),
in subsection (4)(a) for “a barrister” (in the first place) to the end substitute “ a
person who, for the purposes of the Legal Services Act 2007, is an authorised person.
in relation to an activity which constitutes the exercise of a right of audience or the
conduct of litigation (within the meaning of that Act), and”.
Family Law Act 1996 (c. 27)
121 In Schedule 4 of the Family Law Act 1996—
(a) for paragraph 1 substitute—
“] In this Schedule “legal representative” means a person who, for the
purposes of the Legal Services Act 2007, is an authorised person.
in relation to an activity which constitutes a reserved instrument
activity (within the meaning of that Act).”,
(b) in paragraph 3(3) for “solicitor” substitute “ legal representative ”, and
(c) in paragraph 5(2)(a) for “solicitor” substitute “ legal representative ”.
Civil Procedure Act 1997 (c. 12)
122 In section 2 of the Civil Procedure Act 1997 (Civil Procedure Rule Committee)—
(a) in subsection (2), in paragraph (f) for from “granted” to “right” substitute
“ authorised by a relevant approved regulator ”, and
(b) after that subsection insert-—
“(2A) In subsection (2)(f) “relevant approved regulator” is to be
construed in accordance with section 20(3) of the Legal Services
Act 2007.”
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Legal Services Act 2007 (c. 29) 429
SCHEDULE 21 ~ Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Sexual Offences (Protected Material) Act 1997 (c. 39)
123 In section 2 of the Sexual Offences (Protected Material) Act 1997 (meaning of other
expressions), in subsection (1) in the definition of “legal representative” for “any
authorised advocate” to “Act 1990)” substitute “ a person who, for the purposes of
the Legal Services Act 2007, is an authorised person in relation to an activity which
constitutes the exercise of a right of audience or the conduct of litigation (within
the meaning of that Act) and who is”.
National Minimum Wage Act 1998 (c. 39)
124 The National Minimum Wage Act 1998 is amended in accordance with paragraphs
125 and 126.
125 In section 33 (proceedings for offences)—
(a) in subsection (1) omit paragraph (a), and
(b) after that subsection insert-—
“(1A) The persons who may conduct proceedings for an offence under
this Act in England and Wales, before a magistrates’ court, shall
include any person authorised for the purpose by the Secretary of
State.”
126 In section 49 (restrictions on contracting out) for subsection (7)(a) substitute—
“(a) as regards England and Wales, a person who, for the purposes of the
Legal Services Act 2007, is an authorised person in relation to an
activity which constitutes the exercise of a right of audience or the
conduct of litigation (within the meaning of that Act);”.
Access to Justice Act 1999 (c. 22)
127 The Access to Justice Act 1999 is amended in accordance with paragraphs 128 to
131.
Textual Amendments
F190 Sch. 21 para. 128 repealed (1.4.2013) by Legal Aid, Sentencing and Punishment of Offenders Act 2012
(©. 10), s. 151(1), Seh. 5 Pt. 2; 8.1, 2013/453, art. 3(h) (with savings and transitional provisions in S.I
2013/534, art. 6)
129 In section 44 (barristers employed by solicitors)—
(a) in subsection (1)}—
(i) omit “is employed by”,
(ii) for paragraphs (a) and (b) substitute—
“(a) is employed by an authorised person, or
(b) is a manager of such a person,”, and
(iii) for “his employer” substitute “ the authorised person of which the
barrister is an employee or a manager ”,
(b) _ in subsection (2) after “employees” insert “ or managers of an authorised
person ”, and
(c) after that subsection insert—
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430 Legal Services Act 2007 (¢. 29)
SCHEDULE 21 — Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“(3) In this section—
“authorised person” means a person who, for the purposes
of the Legal Services Act 2007, is an authorised person
in relation to an activity which is a reserved legal activity
(within the meaning of that Act), and
“manager” has the same meaning as in that Act (see
section 207 of that Act).”
MISMPAQ) ss seW9a+ ss se05+ + + seas 4 seHaas s+
Textual Amendments
F191 Sch. 21 para. 130 repealed (31.1.2013) by Statute Law (Repeals) Act 2013 (€. 2), s. 32), Seh. 1 Pt. 5
131 In section 46 (Bar practising certificates)—
(a) omit subsection (2)(b) and the “but” immediately preceding it, and
(b) omit subsections (3) to (6).
Youth Justice and Criminal Evidence Act 1999 (c. 23)
132 In section 63 of the Youth Justice and Criminal Evidence Act 1999 (general
interpretation ete of Part 2), in subsection (1), in the definition of “legal
representative” for “any authorised advocate” to the end substitute “a person who,
for the purposes of the Legal Services Act 2007, is an authorised person in relation
to an activity which constitutes the exercise of a right of audience or the conduct
of litigation (within the meaning of that Act); ”.
Criminal Justice and Court Services Act 2000 (c. 43)
133 In section 15 of the Criminal Justice and Court Services Act 2000 (right to conduct
litigation and right of audience)—
(a) in subsection (2) for “section 28(2)(a) of the Courts and Legal Services Act
1990” substitute “ the fact that he is a person who, for the purposes of the
Legal Services Act 2007, is an authorised person in relation to that activity
” and
(b) in subsection (3) for “section 27(2)(a) of the Courts and Legal Services
Act 1990” substitute “ the fact that he is a person who, for the purposes
of the Legal Services Act 2007, is an authorised person in relation to that
activity ”.
Finance Act 2002 (c. 23)
134 The Finance Act 2002 is amended in accordance with paragraphs 135 and 136.
135 In Schedule 34 (stamp duty: withdrawal of group relief: supplementary provisions),
in paragraph 10—
(a) in sub-paragraph (2) for “A barrister or solicitor” substitute “ A relevant
lawyer ”, and
(b) after that sub-paragraph insert—
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SCHEDULE 21 ~ Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“(2A) “Relevant lawyer” means a barrister, advocate, solicitor or other
legal representative communications with whom may be the
subject of a claim to professional privilege.”
MIPAG I =e emeua: 2seeea: +s -euens + seaan: +:
Textual Amendments
F192 Sch. 21 para. 136 omitted (with effect in accordance with Sch. 39 para. 10(1) of the amending Act) by
virtue of Finance Act 2012 (c. 14), Sch. 39 para. 5(2)(f) (with Sch. 39 paras. 11-13)
Income Tax (Earnings and Pensions) Act 2003 (c. 1)
137 In section 343 of the Income Tax (Earnings and Pensions) Act 2003 (deduction for
professional membership fees), in the table in subsection (2)—
(a) for “patent agent” and “patent agents” (in each place) substitute “ patent
attorney ” and “ patent attorneys ” respectively, and
(b) for “trade mark agent” and “trade mark agents” (in each place) substitute “
trade mark attorney ” and “ trade mark attorneys ” respectively.
Finance Act 2003 (c. 14)
138 In Schedule 13 to the Finance Act 2003 (stamp duty land tax: information powers)
(a) in paragraph 22, in sub-paragraphs (1) and (2), for “barrister, advocate or
solicitor” substitute “ relevant lawyer ”,
(b) after sub-paragraph (2) of that paragraph insert—
“(3) “Relevant lawyer” means a barrister, advocate, solicitor or other
professional legal adviser communications with whom may be the
subject of a claim to legal privilege.
(4) “Legal privilege” here has the same meaning as in paragraph 35
of this Schedule.”, and
(c) in paragraph 25 for “barrister, advocate or solicitor” substitute “ relevant
lawyer (within the meaning of paragraph 22(3)) ”.
Licensing Act 2003 (c. 17)
139 The Licensing Act 2003 is amended in accordance with paragraphs 140 and 141.
140 In section 58 (meaning of “certified copy”
subsection (3) insert—
in section 57 of that Act), after
“(4) In this section “notary” means a person (other than a solicitor) who, for the
purposes of the Legal Services Act 2007, is an authorised person in relation
to any activity which constitutes a notarial activity (within the meaning of
that Act).”
141 In section 95 (meaning of “certified copy” in section 94 of that Act), after
subsection (3) insert—
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432 Legal Services Act 2007 (¢. 29)
SCHEDULE 21 — Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“(4) In this section “notary” means a person (other than a solicitor) who, for the
purposes of the Legal Services Act 2007, is an authorised person in relation
to any activity which constitutes a notarial activity (within the meaning of
that Act).”
Courts Act 2003 (c. 39)
142 The Courts Act 2003 is amended in accordance with paragraphs 143 and 144.
143 In section 70 (Criminal Procedure Rule Committee)—
(a) in subsection (2), in paragraph (i)(i) for from “granted” to “right” substitute
“ authorised by a relevant approved regulator ”, and
(b) after that subsection insert—
“(2A) In subsection (2)(i)(i) “relevant approved regulator” is to be
construed in accordance with section 20(3) of the Legal Services
Act 2007.”
144 (1) Section 77 (Family Procedure Rule Committee) is amended as follows.
(2) In subsection (2)—
(a) in paragraph (k) for from “granted” to “right” substitute “ authorised by a
relevant approved regulator ”,
he (:) ee eee woos sees
(c) in paragraph (m) for “granted that right” substitute “ authorised ”.
(3) For subsection (5)(b) substitute—
“(b) is a relevant approved regulator in relation to the exercise of a right
of audience or the conduct of litigation (or both).”
(4) After subsection (7) insert—
“(8) In this section “relevant approved regulator” is to be construed in accordance
with section 20(3) of the Legal Services Act 2007.”
Textual Amendments
F193 Sch. 21 para. 144(2)(b) repealed (22.4.2014) by Crime and Courts Act 2013 (c. 22), s. 61(3), Seh. 10
para. 99 Table; S.1. 2014/954, art. 2(4) (with art. 3) (with transitional provisions and savings in S.1
2014/956, arts. 3-11)
Criminal Justice Act 2003 (c. 44)
145 The Criminal Justice Act 2003 is amended in accordance with paragraphs 146 to
148.
146 In section 56 (interpretation of Part 8), in subsection (1), in the definition of “legal
representative”, for “an authorised advocate” to the end substitute “ a person who,
for the purposes of the Legal Services Act 2007, is an authorised person in relation
to an activity which constitutes the exercise of a right of audience or the conduct
of litigation (within the meaning of that Act), ”.
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Legal Services Act 2007 (c. 29) 433
SCHEDULE 21 ~ Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Textual Amendments
F194 Sch. 21 para. 147 repealed (1.12.2020) by Sentencing Act 2020 (c. 17), s. 416(1), Sch. 28 (with ss.
413(4)(5), 416(7), Sch. 27); S.1. 2020/1236, reg. 2
Textual Amendments
F195 Sch. 21 para. 148 repealed (1.12.2020) by Sentencing Act 2020 (¢. 17), s. 416(1), Sch. 28 (with ss.
413(5), 416(7), Sch. 27); 8.1. 2020/1236, reg. 2
Children Act 2004 (c. 31)
149 In section 37 of the Children Act 2004 (Welsh family proceedings officers)—
(a) in subsection (2) for “section 28(2)(a) of the Courts and Legal Services Act
1990 (c 41)” substitute “ the fact that he is a person who, for the purposes
of the Legal Services Act 2007, is an authorised person in relation to that
activity ”, and
(b) in subsection (3) for “section 27(2)(a) of the Courts and Legal Services
Act 1990” substitute “ the fact that he is a person who, for the purposes
of the Legal Services Act 2007, is an authorised person in relation to that
activity ”.
Civil Partnership Act 2004 (c. 33)
150 In section 42 of the Civil Partnership Act 2004 (attempts at reconciliation of civil
partners) in subsection (2) for “solicitor” substitute “ legal representative ”.
Public Services Ombudsman (Wales) Act 2005 (c. 10)
151 In section 13 of the Public Services Ombudsman (Wales) Act 2005 (investigations
by Ombudsman)—
(a) in subsection (4)(b), for “counsel, solicitor” substitute “ an authorised
person ”, and
(b) after subsection (4) insert—
“(4A) In subsection (4) “authorised person” means a person who, for the
purposes of the Legal Services Act 2007, is an authorised person
in relation to an activity which constitutes the exercise of a right
of audience or the conduct of litigation (within the meaning of that
Act).”
Equality Act 2006 (c. 3)
152 In Schedule 2 to the Equality Act 2006 (representations to Commission in relation
to inquiry etc.), in paragraph 8—
(a) in sub-paragraph (2)(b), for “a barrister, an advocate or a solicitor”
substitute “ a relevant lawyer ”, and
(b) after sub-paragraph (2) insert—
434 Legal Services Act 2007 (¢. 29)
SCHEDULE 21 — Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“(2A) “Relevant lawyer” means—
(a) an advocate or solicitor in Scotland, or
(b) a person who, for the purposes of the Legal Services Act
2007, is an authorised person in relation to an activity
which constitutes the exercise of a right of audience or the
conduct of litigation (within the meaning of that Act).”
Natural Environment and Rural Communities Act 2006 (c. 16)
153 In section 12(2) of the Natural Environment and Rural Communities Act 2006
(power to bring criminal proceedings) omit “even though he is not a barrister or
solicitor”.
National Health Service Act 2006 (c. 41)
154 In section 194(4) of the National Health Service Act 2006 (conduct of proceedings
under section 194) omit “, although he is not a barrister or solicitor,”.
National Health Service (Wales) Act 2006 (c. 42)
155 In section 142(4) of the National Health Service (Wales) Act 2006 (conduct of
proceedings under section 142) omit “, although he is not a barrister or solicitor,”.
Companies Act 2006 (c. 46)
156 In Schedule 2 to the Companies Act 2006 (exceptions from restrictions on
disclosure), in paragraph 67—
(a) for “solicitor, barrister, advocate” substitute “ relevant lawyer ”, and
(b) for “ “Foreign lawyer”” to the end substitute—
“Tn this paragraph—
“foreign lawyer” means a person (other than a relevant lawyer)
who is a foreign lawyer within the meaning of section 89(9) of the
Courts and Legal Services Act 1990;
“relevant lawyer” means—
(a) a person who, for the purposes of the Legal Services Act
2007, is an authorised person in relation to an activity
which constitutes a reserved legal activity (within the
meaning of that Act),
(b) a solicitor or barrister in Northern Ireland, or
(c) a solicitor or advocate in Scotland.”
Income Tax Act 2007 (c. 3)
157 The Income Tax Act 2007 is amended in accordance with paragraphs 158 to 161.
158 In section 748 (power to obtain information)—
(a) in subsection (4) for “solicitor” substitute “ relevant lawyer ”,
(b) after that subsection insert—
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Legal Services Act 2007 (c. 29) 435
SCHEDULE 21 ~ Minor and consequential amendments
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
“(4A) In this section “relevant lawyer” means a barrister, advocate,
solicitor or other legal representative communications with whom.
may be the subject of a claim to professional privilege or,
in Scotland, protected from disclosure in legal proceedings on
grounds of confidentiality of communication.”, and
(c) in subsection (5) for “solicitors” substitute “ relevant lawyers ”.
159 In section 749 (restrictions on particulars to be provided by solicitors)—
(a) in the heading for “solicitors” substitute “ relevant lawyers ”,
(b) for “solicitor” (in each place) substitute “ relevant lawyer ”, and
(c) for subsection (7) substitute—
“(7) In this section—
“relevant lawyer” means a barrister, advocate, solicitor or
other legal representative communications with whom may
be the subject of a claim to professional privilege or, in
Scotland, protected from disclosure in legal proceedings on
grounds of confidentiality of communication;
“settlement” and “settlor” have the meanings given by
section 620 of ITTOIA 2005.”
160 In section 771 (power to obtain information)—
(a) in subsections (5) and (6) for “solicitor” (in each place) substitute “ relevant
lawyer ”, and
(b) after subsection (6) insert—
“(7) In this section “relevant lawyer” means a barrister, advocate,
solicitor or other legal representative communications with whom
may be the subject of a claim to professional privilege or,
in Scotland, protected from disclosure in legal proceedings on
grounds of confidentiality of communication.”
Textual Amendments
F196 Sch. 21 para. 161 omitted (13.8.2009) by virtue of The Finance Act 2009, Schedule 47 (Consequential
Amendments) Order 2009 (S.1. 2009/2035), art. 2, {Sch. para. 60(0)}
Tribunals, Courts and Enforcement Act 2007 (c. 15)
162 (1) Section 51 of the Tribunals, Courts and Enforcement Act 2007 (meaning of “relevant
qualification”) is amended as follows.
(2) In subsection (2), for from “awarded” to the end substitute “ awarded by a body
which, for the purposes of the Legal Services Act 2007, is an approved regulator in
relation to the exercise of a right of audience or the conduct of litigation (within the
meaning of that Act). ”
436 Legal Services Act 2007 (c. 29)
SCHEDULE 22 ~ Transitional and transitory provision
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(3) In subsection (4)—
(a) in paragraph (b), for “(2)(b)” substitute “ (2) ”,
(b) in paragraph (c), for from “the body” to “of that Act” substitute “, for the
purposes of the Legal Services Act 2007, the body—
(i) is not an approved regulator in relation to the
exercise of a right of audience (within the meaning
of that Act), and
(ii) is not an approved regulator in relation to the
conduct of litigation (within the meaning of that
Act),”, and
(c) for from “paragraph 33(1)” to the end substitute “ section 46 of the Legal
Services Act 2007 (transitional etc. provision in consequence of cancellation
of designation as approved regulator). ”
SCHEDULE 22 Section 209
TRANSITIONAL AND TRANSITORY PROVISION
Transitory power to modify the functions of bodies
1 (1) Paragraphs 2 to 4 have effect until such time as the Board is first constituted in
accordance with paragraph I of Schedule 1.
(2) Where an order under paragraph 2 has effect immediately before that time, it is to
be treated from that time as if it were an order made by the Lord Chancellor under
section 69 (and in accordance with that section and section 70).
(3) Where that order is made by virtue of paragraph 4, the reference in sub-paragraph (2)
to section 69 is a reference to that section as modified by section 180.
2 (1) The Lord Chancellor may by order modify, or make any other provision relating to,
the functions of a designated regulator or any other body.
(2) For this purpose “designated regulator” means—
(a) The Law Society;
(b) The General Council of the Bar;
(c) The Master of the Faculties;
(d) The Institute of Legal Executives;
(e) The Council for Licensed Conveyancers;
(f) The Chartered Institute of Patent Attorneys;
(g) The Institute of Trade Mark Attorneys;
(h) The Association of Law Costs Draftsmen;
(i) any other body which is a body to which sub-paragraph (3) applies.
(3) This sub-paragraph applies to—
(a) a body designated as an authorised body for the purposes of section 27 or
28 of the Courts and Legal Services Act 1990 (c. 41) (rights of audience and
rights to conduct litigation);
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SCHEDULE 22 ~ Transitional and transitory provision
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(b) a body approved under Schedule 9 to that Act (approval of body to grant
exemption from prohibition on preparation of probate papers etc);
(c) a body prescribed by regulations under section 113 of that Act
(administration of oaths and taking of affidavits).
(4) The Lord Chancellor may make an order under sub-paragraph (1) only if—
(a) the body to which the order relates has made a recommendation under this
paragraph to which was annexed a draft order, and
(b) the body to which the order relates consents to the order which is made.
(5) The Lord Chancellor may make an order under this paragraph only for the purpose
of enabling the body to which it relates to do one or more of the following—
(a) to become a body within sub-paragraph (3);
(b) to grant its members rights for the purposes of section 27 or 28 of the
Courts and Legal Services Act 1990, to exempt its members for the purposes
of section 55 of that Act or to authorise its members for the purposes of
section 113 of that Act;
(c) if it is or becomes a designated regulator, to regulate its members more
effectively or efficiently;
(d) if it is or becomes a designated regulator, to expand the categories of persons
who are eligible to be members of the body;
(e) to do any of the things mentioned in paragraphs (a) to (e) of section 69(3) at
a time after paragraph I of Schedule 4 comes into force.
(6) An order under this paragraph may make provision in relation to the body to which
the order relates, and members of that body, corresponding to the provision which
by virtue of subsection (4) or (5) of section 69 may be made by an order under that
section in relation to an approved regulator and persons authorised by that regulator
to carry on reserved legal activities or to provide immigration advice or immigration
services.
(7) Any provision made by an order under this paragraph may be expressed to be
conditional upon—
(a) the coming into force of paragraph I of Schedule 4;
(b) _ the body to which the order relates being designated by an order under Part
2 of that Schedule as an approved regulator, or by an order under Part I of
Schedule 10 as a licensing authority, in relation to one or more reserved legal
activities specified in the order;
(c) the body to which the order relates becoming a designated qualifying
regulator under section 86A of the Immigration and Asylum Act 1999
(c. 33).
(8) An order under this paragraph may modify provisions made by or under any
enactment (including this Act or any Act passed after this Act), prerogative
instrument or other instrument or document.
(9) The powers to make an order conferred by this paragraph are without prejudice to
any powers (statutory or non-statutory) which a designated regulator or other body
may have apart from this section.
(10) In this paragraph “member” in relation to a body includes any person who is not a
member of the body but who may be subject to disciplinary sanctions for failure to
comply with any of its rules.
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438 Legal Services Act 2007 (¢. 29)
SCHEDULE 22 ~ Transitional and transitory provision
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
3 (1) This paragraph applies where a body makes a recommendation under paragraph 2.
(2) The Lord Chancellor must publish a document containing—
(a) the recommendation, and
(b) the draft order annexed to it.
(3) The document must be accompanied by a notice which states that representations
about it may be made to the Lord Chancellor within a specified period.
(4) The Lord Chancellor must give a copy of the document to the Office of Fair Trading
and the Lord Chief Justice, and invite each of them to provide advice on it within
that period.
(5) The Lord Chancellor may give a copy of the document to the Legal Services
Consultative Panel or any other person, and invite them to provide advice on it within
that period.
(6) The Lord Chancellor must have regard to any representations and advice duly given.
(7) If the order which the Lord Chancellor proposes to make differs from the draft order
published under sub-paragraph (2), the Lord Chancellor must, before making the
order, publish the revised draft order along with a statement detailing the changes
made and the reasons for those changes.
4 Paragraphs 2 and 3 apply in relation to the Solicitors Disciplinary Tribunal as they
apply in relation to a designated regulator, but as if in paragraph 2—
(a) in sub-paragraph (4)(a) the reference to the body to which the order relates
were a reference to the Solicitors Disciplinary Tribunal or the Law Society,
and
(b) for sub-paragraph (5) of that paragraph there were substituted—
“(5) The Lord Chancellor may make an order under this paragraph only
for the purpose of enabling the Solicitors Disciplinary Tribunal to
carry out its role more effectively or efficiently.”, and
(c) sub-paragraphs (6) and (7) of that paragraph were omitted.
Approved regulators
5 (1) Sub-paragraph (2) applies where during the pre-commencement period—
(a) an Order in Council is made designating a body as an authorised body for
the purposes of section 27 of the Courts and Legal Services Act 1990 (c. 41)
(rights of audience) and that body's qualification regulations and rules of
conduct (within the meaning of that section) have been approved for the
purposes of that section,
(b) an Order in Council is made designating a body as an authorised body for
the purposes of section 28 of that Act (right to conduct litigation) and that
body's qualification regulations and rules of conduct (within the meaning of
that section) have been approved for the purposes of that section,
(c) an order is made under paragraph 4 of Schedule 9 to that Act (approval of
body to grant exemption from prohibition on preparation of probate papers
etc), or
(d) regulations are made prescribing a body for the purposes of section 113 of
that Act (administration of oaths and taking of affidavits).
Legal Services Act 2007 (c. 29) 439
SCHEDULE 22 ~ Transitional and transitory provision
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(2) The Lord Chancellor may by order modify the Table in paragraph 1 of Schedule 4
(existing regulators) so as—
(a) to insert, in the first column, a reference to the body and, in the second
column, a reference to the relevant activities, or
(b) if the body is already listed in the first column, to add a reference to the
relevant activities to the corresponding entry in the second column.
(3) Sub-paragraph (4) applies where during the pre-commencement period—
(a) an Order in Council is made revoking the designation of a body as an
authorised body for the purposes of section 27 of the Courts and Legal
Services Act 1990,
(b) an Order in Council is made revoking the designation of a body as an
authorised body for the purposes of section 28 of that Act,
(c) an order is made under paragraph 6 of Schedule 9 to that Act revoking a
body's approval, or
(d) regulations prescribing a body for the purposes of section 113 of that Act
are revoked.
(4) The Lord Chancellor may by order modify the Table in paragraph 1 of Schedule 4
so as to—
(a) remove any reference to the relevant activities from the entry in the second
column of that Table corresponding to the entry for the body in the first
column, and
(b) if there are no other activities in that entry in the second column, remove the
reference to the body from the first column of that Table.
(5) An order under sub-paragraph (2) in relation to a body may—
(a) ina case within sub-paragraph (1)(a) or (b), modify Part 1 of Schedule 5
(authorised persons: continuity of rights) so as to ensure the continuity of
any authority given by the body to a person to exercise rights of audience or,
as the case may be, to conduct litigation;
(b) in a case within sub-paragraph (1)(c), modify Part 1 of that Schedule
(authorised persons: continuity of rights) to provide for exemptions granted
by a body by virtue of section 55 of the Courts and Legal Services Act 1990
(c. 41) (persons exempt from prohibition on preparation of probate papers
etc) which have effect immediately before paragraph 1 of Schedule 4 comes
into force to be deemed to be authorisations to carry on probate activities
granted by that body at the time that paragraph comes into force;
(c) inacase within sub-paragraph (1)(d), modify Part 2 of Schedule 5, to provide
during the transitional period for members of the body to be deemed to be
authorised by the body to carry on the administration of oaths.
(6) An order under sub-paragraph (4) in relation to a body may—
(a) in a case within sub-paragraph (3)(a) or (b), modify Part 1 of Schedule 5
(authorised persons: continuity of rights) so as to remove provision made
to ensure the continuity of any authority given by the body to a person to
exercise rights of audience or, as the case may be, to conduct litigation;
(b) inacase within sub-paragraph (3)(c), modify Part 1 of that Schedule so as to
remove any provision deeming persons to have been authorised by the body
to carry on probate activities;
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SCHEDULE 22 ~ Transitional and transitory provision
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(c) ina case within sub-paragraph (3)(d), modify Part 2 of that Schedule so as to
remove any provision deeming persons to have been authorised by the body
to carry on the administration of oaths.
(7) No order under this paragraph may be made after the end of the pre-commencement
period.
(8) In this paragraph—
“pre-commencement period” means the period before the coming into
force of paragraph I of Schedule 4 (including any period before the passing
of this Act);
“relevant activities” means—
(a) ina case within sub-paragraph (1)(a) or (3)(a), the exercise of a right
of audience;
(b) inacase within sub-paragraph (1)(b) or (3)(b), the conduct of litigation;
(c) ina case within sub-paragraph (1)(c) or (3)(c), probate activities;
(d) in a case within sub-paragraph (1)(d) or (3)(d), the administration of
oaths;
“the transitional period” has the meaning given by paragraph 3 of
Schedule 5.
Licensed Conveyancers
6 (1) In this paragraph the transitional period means the period which—
(a) begins with the day on which paragraph 29 of Schedule 17 (which amends
Schedule 3 to the Administration of Justice Act 1985 (c. 61)) comes into
force, and
(b) ends with the day on which members of the new Council are first appointed
in accordance with a scheme approved by the Legal Services Board under
Schedule 3 to that Act (as amended by that paragraph).
(2) During the transitional period, the Council for Licensed Conveyancers is to be
constituted in accordance with Schedule 3 to that Act as it had effect immediately
before paragraph 29 of Schedule 17 came into force.
(3) The term of office of persons who are members of the Council for Licensed
Conveyancers by virtue of sub-paragraph (2) immediately before the end of the
transitional period ends at the same time as the transitional period.
7 (1) This paragraph applies to any licence issued by the Council for Licensed
Conveyancers under section 15 of the Administration of Justice Act 1985 (c. 61)
which—
(a) is endorsed under section 15(7) of that Act, and
(b) is in force when paragraph 4(4) of Schedule 17 (which repeals subsections
(7) and (8) of section 15 of that Act (endorsement of licences)) comes into
force.
(2) Notwithstanding the repeal of those subsections, until the licence expires—
(a) _ the licence continues to have effect in accordance with the endorsement, and
(b) rules made under section 15(8) of that Act continue to have effect in relation
to the licence.
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SCHEDULE 22 ~ Transitional and transitory provision
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
8 Until the repeal of paragraphs 17 and 19 of Schedule 8 to the Courts and Legal
Services Act 1990 (c. 41) by Schedule 23 to this Act comes into force, those
paragraphs have effect as if—
(a) in paragraph 17 (inadequate professional services: failure to comply with
direction), after sub-paragraph (2) there were inserted—
“(3) In relation to proceedings before the Discipline and Appeals
Committee in respect of such a complaint, the Committee may
make such order as they consider fit as to the payment of costs by—
(a) the Council;
(b) the licensed conveyancer against whom the complaint was
made;
(c) if the person on whose complaint the proceedings were
brought was heard (in person, or through a representative)
by the Committee in the course of the proceedings, that
person.”, and
(b) paragraph 19(b) (inadequate professional services: costs) were omitted.
Exercise of Board's functions pending appointment of Chief Executive
9 (1) Until the first Chief Executive of the Board is appointed under paragraph 13 of
Schedule 1, the Board's functions under—
(a) Schedule 1,
(b) Schedule 15, and
(c) paragraph 10(8) of this Schedule,
may be exercised by the ordinary members of the Board.
(2) For that purpose “ordinary member” has the same meaning as in Schedule 1.
Commencement Information
1534 Sch. 22 para. 9 partly in force; Sch. 22 para. 9 not in force at Royal Assent see s. 211; Sch. 22 para. 9 in
force for certain purposes at 7.3.2008 by S.I. 208/222, art. 2(m)(ii)
Interim Chief Executive of the OLC
10 (1) The Lord Chancellor may appoint a person as the Interim Chief Executive of the
OLC.
(2) The Interim Chief Executive is to be—
(a) appointed on terms and conditions determined by the Lord Chancellor, and
(b) paid by the Lord Chancellor in accordance with provision made by or under
the terms of appointment.
(3) Appointment as the Interim Chief Executive does not confer the status of Crown
servant.
(4) In this paragraph—
“the first interim period” means the period which—
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442 Legal Services Act 2007 (¢. 29)
SCHEDULE 22 ~ Transitional and transitory provision
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) begins when sub-paragraph (5) comes into force, and
(b) ends when the chairman of the Board, and at least 7 other ordinary
members of the Board (within the meaning of Schedule 1), have been
appointed in accordance with paragraph I of Schedule 1;
“the second interim period” means the period which—
(a) begins when the chairman of the Board, and at least 7 other ordinary
members of the Board (within the meaning of Schedule 1), have been
appointed in accordance with paragraph I of Schedule 1, and
(b) ends when the membership of the OLC is first constituted in
accordance with paragraph I of Schedule 15.
(5) The Interim Chief Executive may incur expenditure and do other things in the name
of and on behalf of the OLC—
(a) from the beginning of the first interim period, and
(b) after that time until the OLC determines otherwise.
(6) The things which may be done under sub-paragraph (5)—
(a) include the appointment of staff under paragraph 13 of Schedule 15 and
making arrangements for assistance under paragraph 18 of that Schedule, but
(b) do not include the appointment of an ombudsman under section 122 or the
making of scheme rules.
(7) During the first interim period, the Interim Chief Executive must comply with any
supervisory directions given by the Lord Chancellor.
(8) During the second interim period, the Interim Chief Executive must comply with any
supervisory directions given by the Board.
(9) The supervisory directions are—
(a) a direction requiring the Interim Chief Executive to provide the person
giving the direction with a report on, or information relating to, such matters
as are specified in the direction;
(b) a direction requiring the Interim Chief Executive to obtain the approval
of the person giving the direction before incurring expenditure in such
circumstances as are specified in the direction;
(c) any other direction relating to the exercise of the Interim Chief Executive's
functions which the person giving the direction considers appropriate.
(10) Paragraph 34 of Schedule 15 (exemption from liability in damages) applies to the
Interim Chief Executive as it applies to a member of the OLC.
J Solicitors
ll (1) Until such time as section 59(1) of the Constitutional Reform Act 2005 (c. 4) comes
into force, the reference in section 207(1), in the definition of “solicitor”, to the Senior
Courts is to be read as a reference to the Supreme Court.
(2) Until such time as section 59(2) of that Act (renaming of Supreme Court of Judicature
of Northern Ireland as Court of Judicature of Northern Ireland) comes into force, the
references in sections 8(5) and 190(5)(e), paragraph 2(4)(f) of Schedule 1, paragraphs
1(9) and 2(5) of Schedule 3 and paragraph 2(3)(e) of Schedule 15 to the Court of
Judicature of Northern Ireland are to be read as references to the Supreme Court of
Judicature of Northern Ireland.
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SCHEDULE 22 ~ Transitional and transitory provision
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1535. Sch. 22 para. 11 partly in force: Sch. 22 para. 11 not in force at Royal Assent see s. 211; Sch. 22 para
11(1) in force at 31.3.2009 by S.1. 2009/503, art. 2(e)
Solicitors Act 1974 (c. 47)
PR
(eau
12 (1) During the transitional period, the reference to an authorised person in section 1 A(d)
of the Solicitors Act 1974 (practising certificates: employed solicitors) is to be read
as a reference to a person listed in paragraph 15(1), other than a person listed in
paragraph (b) or (c) of that paragraph.
(2) For this purpose “the transitional period” means the period which—
(a) begins with the day on which section 1A(d) of the Solicitors Act 1974 (as
inserted by Schedule 16) comes into force, and
(b) ends with the day appointed for the coming into force of section 13
(entitlement to carry on a reserved legal activity).
13. (1) During the transitional period, section 44B of the Solicitors Act 1974 (provision of
information and documents by solicitors etc) has effect as if the list of persons in
subsection (2) of that section included a legal partnership (within the meaning of
paragraph 7 of Schedule 5).
(2) For this purpose “the transitional period” means the period which—
(a) begins with the day on which section 44B of the Solicitors Act 1974 (as
substituted by Schedule 16) comes into force, and
(b) ends with the day appointed for the coming into force of section 13
(entitlement to carry on a reserved legal activity).
14 (1) During the transitional period, section 69 of the Solicitors Act 1974 (action to recover
solicitor's costs) has effect as if—
(a) _afier subsection (2A)(a) of that section there were inserted—
“(aa) in a case where the costs are due to a firm, signed by a
partner of the firm, either in his own name or in the name
of the firm, or on his behalf by any employee of the firm
authorised by him to sign, or”, and
(b) in subsection (2A)(b), after “paragraph (a)” there were inserted “ or (aa) ”.
(2) For this purpose “the transitional period” means the period which—
(a) begins with the day on which subsections (2) to (2F) of that section (as
substituted by Schedule 16) come into force, and
(b) ends with the day appointed for the coming into force of section 13
(entitlement to carry on a reserved legal activity).
(3) This paragraph does not apply in relation to section 69 of the Solicitors Act 1974 as
it has effect by virtue of paragraph 29 of Schedule 2 to the Administration of Justice
Act 1985.
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SCHEDULE 22 ~ Transitional and transitory provision
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Recognised bodies
15 (1) During the transitional period, any reference in sections 9, 9A or 32A of, or
Schedule 2 or 6 to, the Administration of Justice Act 1985 (c. 61) (recognition of
legal services bodies and conveyancing services bodies) to an authorised person is
to be read as a reference to—
(a) aperson who has in force a certificate issued by the General Council of the
Bar authorising the person to practise as a barrister,
(b) aperson who is qualified under section 1 of the Solicitors Act 1974 (c. 47)
to act as a solicitor,
(c) arecognised body under section 9 of the Administration of Justice Act 1985,
(d) a registered European lawyer (within the meaning of the European
Communities (Lawyer's Practice) Regulations 2000 (S.I. 2000/1119)),
(e) a person who has in force a certificate issued by the Institute of Legal
Executives authorising the person to practise as a legal executive,
(f) licensed conveyancers (within the meaning of section 11(2) of the
Administration of Justice Act 1985),
(g) arecognised body under section 32 of that Act,
(h) a duly certificated notary (within the meaning of paragraph 12(4) of
Schedule 5),
(i) a person who (having regard to section 15) carries on notarial activities
through an employee or manager of the person who is within paragraph (h),
(j) a registered patent attorney within the meaning given by section 275(1) of
the Copyright, Designs and Patents Act 1988 (c. 48),
(k) a patent attorney body (within the meaning of paragraph 14(7) of
Schedule 5),
(1) aregistered trade mark attorney within the meaning of the Trade Marks Act
1994 (c. 26),
(m) a trade mark attorney body (within the meaning of paragraph 16(7) of
Schedule 5),
(n) an authorised member of the Association of Law Costs Draftsmen (within
the meaning of paragraph 17(2) of Schedule 5), or
(0) a person who (having regard to section 15) carries on an activity which is
a reserved legal activity within paragraph 18(2) of Schedule 5 through an
employee or manager of the person who is within paragraph (n).
(2) After the end of the transitional period, any reference in section 9, 9A or 32A of, or
Schedule 2 or 6 to, the Administration of Justice Act 1985 (c. 61) to an authorised
person includes a person who is an exempt person—
(a) _ by virtue of paragraph 13 of Schedule 5, in relation to the carrying on of an
activity which is a notarial activity, or
(b) _ by virtue of paragraph 18 of that Schedule, in relation to the carrying on of
an activity which is a reserved legal activity within sub-paragraph (2) of that
paragraph.
(3) For this purpose “the transitional period” means the period which—
(a) begins with the day on which sections 9, 9A, 32 and 32A of the
Administration of Justice Act 1985 (as amended and substituted by
Schedules 16 and 17) come into force, and
(b) ends with the day appointed for the coming into force of section 13
(entitlement to carry on a reserved legal activity).
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SCHEDULE 22 ~ Transitional and transitory provision
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Commencement Information
1536 Sch. 22 para. 15 wholly in force at 31.3.2009 see s. 211 and S.1. 2009/503, art. 2(¢)(i) (subject to art. 5)
16 (1) During the transitional period (within the meaning of paragraph 15), the Law Society
may make rules to which this sub-paragraph applies only with the concurrence of the
Lord Chancellor (as well as the Master of the Rolls).
(2) Sub-paragraph (1) applies to —
(a) rules made under section 9 of the Administration of Justice Act 1985
by virtue of subsections (1A), (1C), (2F), (2G) or (21) of that section or
section 9A of that Act, and
(b) any other rules made under section 9 of that Act, in so far as they apply in
relation to bodies which have one or more managers who are not legally
qualified (within the meaning of section 9A of that Act), or managers or
employees of such bodies.
17 (1) During the relevant period, the legal professional privilege provisions apply to a body
which—
(a) is recognised under section 9 of the 1985 Act, and
(b) _ has one or more managers who are not legally qualified (within the meaning
of section 9A of that Act),
as if the body were a licensed body.
(2) Sub-paragraph (1) applies whether or not the legal professional privilege provisions
have been brought into force for other purposes.
(3) The relevant period is the period which—
(a) begins when section 9A of the 1985 Act comes into force, and
(b) ends when paragraph 7 of Schedule 5 ceases to apply in relation to the body.
(4) The legal professional privilege provisions are—
(a) paragraph 36(4) of Schedule 2 to the 1985 Act (as inserted by Schedule 16
to this Act), and
(b) section 190(3) to (7) of this Act.
(5) During the transitional period (within the meaning of paragraph 15), section 190(5)
(h) (as it applies by virtue of this paragraph) applies as if for “an authorised person
in relation to an activity which is a reserved legal activity” there were substituted “
within paragraph 15(1) of Schedule 22 ”.
(6) “The 1985 Act” means the Administration of Justice Act 1985.
Functions transferred to the Lord Chancellor
18 (1) This paragraph applies where, by virtue of an amendment made to an enactment by
this Act, a function of the Secretary of State is transferred to the Lord Chancellor.
(2) In this paragraph such a function is referred to as a “transferred function”.
(3) Any subordinate legislation made by the Secretary of State in exercise of a transferred
function is to have effect as if made or done by the Lord Chancellor.
446
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‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(4) So far as is appropriate in consequence of the transfer, anything else done by the
Secretary of State in exercise of a transferred function is to be treated as if done by
the Lord Chancellor.
SCHEDULE 23 Section 210
REPEALS
Commencement Information
1537
Sch. 23 partly in force: Sch. 23 not in force at Royal Assent see s. 211; Sch. 23 in force for certain purposes
2008/22, art. 2(n); Sch. 23 in force for certain further purposes at 30.6.2008 and
1008/1436, arts. 2(g), 3(€); Sch. 23 in force for certain further purposes at 31.3.2009
by S.L 2009/503, art. 2(f); Sch. 23 in force for certain further purposes at 1.7.2009 by S.1. 2009/1365,
art. 2(¢); Sch. 23 in force for certain further purposes at 1.1.2010 by S.1. 2009/3250, art. 2(h) (subject
to art. 6 and with art. 9)
1538 Sch. 23 in force at 6.10.2010 for specified purposes by S.I. 2010/2089, art. 2(e)
1539. Sch. 23 in force at 1.1.2011 for specified purposes by S.I. 2010/2089, art. 3(b)
1540 Sch, 23 in force at 1.10.2011 for specified purposes by S.1. 2011/2196, art. 2(1)(h)
1541 Sch. 23 in force at 31.12.2011 for specified purposes by S.I. 2010/2089, art. 4(b)
Short title and chapter Extent of repeal
Public Notaries Act 1801 (c. 79) In section 1, “, or use and exercise the office
of a notary, or do any notarial act,”.
In section 14, from “proctor” to “any other”.
Public Notaries Act 1843 (c. 90) Section 10.
Commissioners for Oaths Act 1889 (c.10) In section 1(3), from “in which” (in the first
place) to “solicitor, or”.
Children and Young Persons Act 1933 (c. 12) In section 49(11), the definition of “legal
representative”.
Public Records Act 1958 (c. 51) In Schedule 1, “The Legal Services
Ombudsman.”
Parliamentary Commissioner Act 1967 In Schedule 2, “Authorised Conveyancing
(c. 13) Practitioners Board.” and “The Legal
Services Complaints Commissioner.”
Superannuation Act 1972 (c. 11) In Schedule 1, “Employment by the Legal
Services Ombudsman” and “The office of the
Legal Services Ombudsman”.
Poisons Act 1972 (c. 66) In section 9(7), “notwithstanding that he is
not of counsel or a solicitor”.
Solicitors Act 1974 (c. 47) In section 1A—
(a) “or” at the end of paragraph (b), and
(b) in paragraph (c) “by the Council of the
Law Society”.
In section 2—
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
(a) in subsection (1), “, with the
concurrence of the Secretary of State,
the Lord Chief Justice and the Master of
the Rolls,”,
in subsection (3)(a)(i), “, whether by
service under articles or otherwise,”,
(c) in subsection (3)(a)(v), “articles may be
discharged or”, and
(d) subsections (4) and (5).
Section 6(2) to (4).
Section 8(5).
Section 12.
Section 12A.
Section 14.
In section 17(1) and (2), “in the London
Gazette”.
Section 19.
Sections 22 to 23.
In section 26, “, 22 or 23”.
Section 27.
In section 283—
(a) in subsection (1), “, with the
concurrence of the Secretary of State
and the Lord Chief Justice,”,
(b) in subsection (1)(c), “and applications
for them”,
(c) subsections (2) and (3),
(d) in subsection (3A), the “and” at the end
of paragraph (b), and
(e) subsections (4) and (5).
In section 31—
(a) in subsection (1) “, with the
concurrence of the Master of the
Rolls,”, and
(b) subsections (3) and (4).
In section 32(1)—
(a) “, with the concurrence of the Master of
the Rolls,”, and
(b) from “and the rules” to the end.
Section 32(2).
In section 32(4) “or (2)”.
Section 32(6).
In section 33(2), “and the rules” to the end.
In section 33A(1) “, with the concurrence of
the Master of the Rolls,”.
Section 34(7) and (8).
Section 37A.
Section 40.
Section 41(5).
In section 43(5)—
(a) “by any solicitor”, and
(b) from “but” to the end.
Section 46(6) to (8).
()
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Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
House of Commons Disqualification Act
1975 (c. 24)
Northern Ireland Assembly Disqualification
Act 1975 (c. 25)
Race Relations Act 1976 (c. 74)
Patents Act 1977 (c. 37)
Solicitors (Scotland) Act 1980 (c. 46)
In section 46(9) “, with the concurrence of
the Master of the Rolls,”.
In section 47—
(a) in subsection (2)(c), “not exceeding
£5,000”, and
(b) subsections (4) and (5).
Tn section 48(2)(b) “in the London Gazette”.
In section 49(4) “and the Master of the
Rolls”.
Section 49(7).
Section 70(11).
Sections 76 to 78.
Section 80(2).
Sections 81 and 81A.
In section 87(1) the definitions of—
(a) “articles”,
(b) “controlled trust”,
(c) “duly certificated notary public”,
(d) “employee”,
(e) “indemnity conditions”,
(f) “replacement date”, and
(g) “training conditions”.
Section 89(7).
In Schedule 1—
(a) in paragraph 1(1)(h), “sole”, and
(b) paragraph 1(2).
Schedule 1A.
Schedule 2.
In Schedule 3, paragraph 9.
In Part 2 of Schedule 1, “The Authorised
Conveyancing Practitioners Board.”
In Part 3 of Schedule 1, “The Legal Services
Complaints Commissioner.” and “The Legal
Services Ombudsman.”
In Part 2 of Schedule 1, “The Authorised
Conveyancing Practitioners Board.”
In Part 3 of Schedule 1, “The Legal Services
Complaints Commissioner.” and “The Legal
Services Ombudsman.”
In Schedule 1A, in Part 2, “The Legal
Services Consultative Panel.”
Section 102A.
Section 3A(5)(a) and (ad).
Section 15(2)(j).
In section 20(2) “, 53A(2)(ba)”.
Section 24C(2)(i).
Section 34(4), (4C) and (4D).
Sections 38, 39, 42A and 42B.
In section 42C(1)—
(a) paragraphs (a) and (c),
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449
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Mental Health Act 1983 (c. 20)
County Courts Act 1984 (c. 28)
Prosecution of Offences Act 1985 (c. 23)
Administration of Justice Act 1985 (c. 61)
(b) “to the solicitor or his firm or”, and
(c) “or, where” to the end.
In section 42C(2)(a) and (b) “solicitor, firm
or” (in each place).
In section 42C(3)—
(a) in paragraph (a) “the solicitor or his
firm or, as the case may be,”, and
(b) in paragraph (b) from “of which the
solicitor” to “be,”.
In section 42C(4) “38,” (in each place).
Section 42C(5).
In section 51(2)—
(a) “a solicitor may have been guilty” to
“Fund) or”, and
(b) “or a solicitor” to “services”.
Section 51(2A).
In section 52(2)(aa) “42A(7) or”.
Section 53(3), (10) and (11).
Sections 53A, 53B and 53C.
Section 54(1), (2B) and (2C).
Section 55(8).
Section 56A.
In section 62A(1) and (2) “38,” (in each
place).
In section 65—
(a) in subsection (1), the definition of
“jnadequate professional services”, and
(b) subsection (5).
In Schedule 3, in Part 2, in paragraph 5(1),
(2) and (3) “38,” (in each place).
Tn Schedule 4, in Part 2—
(a) in paragraph 9(a) and (b) “or, as the
case may be, of provision of inadequate
professional services” (in each place),
(b) paragraph 16(f) and (g), and
(c) in paragraph 23 “, 42A(7)”.
In the side-note to section 62A “38,”.
In Schedule 4, paragraph 38(a).
In Schedule 2, paragraph 49.
Section 4(6).
Section 2.
Section 4.
Sections 6 and 7.
In section 9—
(a) in subsection (1)(c) “corporate”,
(b) subsection (4),
(c) in subsection (5) “corporate”,
(d) in subsection (8) the definition of
“officer”, and in the definition of
“recognised body”, “corporate”, and
(e) subsection (9).
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SCHEDULE 23 ~ Repeals
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
In section 10—
(a) in subsection (1) “corporate” (in both
places), and
(b) in subsection (2) “corporate”.
Section 11(4).
Section 12(2).
Section 15(7) and (8).
In section 20(1) “, in pursuance of its general
duty referred to in section 12(2),”.
In section 22(3)(a) “qualified”.
In section 24—
(a) in subsection (1), paragraph (b) and the
“or” immediately preceding it,
(b) in that subsection the words from “with
a view” to the end,
(c) subsection (2),
(d) in subsection (3), “or (2)”, “or
complaint” (in both places) and “or
paragraph (b)”, and
(e) in subsection (5), “or complaint” (in
both places).
Section 26(2)(g), (5) and (6).
In section 29(1), “or” at the end of
paragraph (b).
In section 31—
(a) in subsection (2), “or complaint” (in
each place) and “or paragraph (b)”, and
(b) in subsection (4), “or complaint”.
In section 32—
(a) in subsection (2) “corporate”,
(b) subsection (3)(d),
(c) in subsection (3)(e) “corporate”,
(d) subsections (4) and (5), and
(e) in subsection (6)(a) “corporate”.
Section 34(2)(c) to (e).
In section 35(2), “corporate”.
Section 38(1).
Tn section 39(1)—
(a) in the definition of “client”, in
paragraph (a) “or his firm”,
(b) the definitions of “director” and
“officer”, and
(c) in the definition of “recognised body”,
“corporate”.
In Schedule 1 paragraphs 5, 8(3), 9 and 14.
In Schedule 2—
(a) in paragraph 1(1) “corporate”,
(b) in paragraph 1(2)—
(i) paragraph (b) and the “or” immediately
preceding it,
(ii) “corporate”, and
(iii) “or application”,
(d) paragraph 1(3),
Legal Services Act 2007 (c. 29)
SCHEDULE 23 ~ Repeals
Document Generated: 2024-12-05
451
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Insolvency Act 1985 (c. 65)
Social Security Act 1986 (c. 50)
Building Societies Act 1986 (c. 53)
(e) in paragraph 1(4) from “, and for those
purposes” to the end,
(f) paragraph 4(2),
(g) paragraphs 11, 12 and 13,
(h) in paragraph 16(1), in paragraph (a) “in
the United Kingdom”,
in paragraph 17(a) “11(1), 15(2) or” and
“13(3) or”,
paragraph 18(1)(d) and the “or”
immediately preceding it,
in paragraph 18(2) “not exceeding
£3,000”,
(l) paragraph 18(3) and (4),
(m) paragraph 20(2),
(n) in paragraph 31 “or (2)”,
(0) paragraph 32(2),
(p) in paragraph 34(1), “corporate” (in both
places), and
(q) in paragraph 35, in paragraph (a)
“corporate” and the “and” at the end of
paragraph (b).
In Schedule 3, paragraphs 2(3) and 3.
In Schedule 4, paragraphs 1(3) and (4) and 3.
In Schedule 5, paragraph 1(2).
In Schedule 6—
(a) in paragraph I “corporate” (in both
places), and in sub-paragraph (2) “or
complaint” (in both places) and “or
(b)”,
in paragraph 3(1), in paragraph (a)(i)
“by any court in the United Kingdom”,
paragraph (b), and from “with a view”
to the end,
(c) paragraph 3(2),
(d) paragraph 4(2)(c),
(e) paragraph 4(3), (3A) and (4),
(f) in paragraph 7(1) and (2) “corporate”,
(g) in paragraph 8(1), “corporate”,
(h) paragraph 9(2),
(i) paragraph 10(2),
(j) in paragraph 12(1), “corporate” (in both
places),
(k) in paragraph 13, in paragraph (a)
“corporate”, and the “and” at the end of
paragraph (b),
(l) paragraph 15.
In Schedule 9, paragraphs 2, 4 and 6.
0
G
ts
(
In Schedule 8, paragraph 25.
In section 56(1), “although not a barrister or
solicitor”.
In Schedule 18, paragraph 11(2) and (3).
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SCHEDULE 23 ~ Repeals
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Copyright, Designs and Patents Act 1988
(c. 48)
Law of Property (Miscellaneous Provisions)
Act 1989 (c. 34)
Law Reform (Miscellaneous Provisions)
(Scotland) Act 1990 (c. 40)
Courts and Legal Services Act 1990 (c. 41)
Section 279.
In section 2830—
(a) in subsection (3) “or” at the end of
paragraph (b), and
(b) subsection (4).
Section 292.
In Schedule 1, paragraph 8.
Section 33.
Sections 17, 18 and 18A.
Sections 21 to 29.
Sections 31 and 31A.
Sections 34 to 52.
In section S3—
(a) subsection (5), and
(b) subsection (9)(e).
Sections 54 and 55.
Section 63.
Sections 68 to 70.
Section 73(5)(d).
Section 86 to 88.
Section 90.
Section 93.
Section 94(1) and (2).
Section 96.
Section 113.
In section 119(1), the definitions of—
(a) “authorised advocate”,
(b) “authorised body” and “appropriate
authorised body”,
(c) “authorised litigator”,
(d) “authorised practitioner”,
(e) “Consultative Panel”,
(f) “duly certificated notary public”,
(g) “the general principle”,
(h) “qualified person”, and
(i) “the statutory objective”.
In section 120—
(a) in subsection (4), “26(1), 37(10),
40(1)”, and from “paragraph 24” to
“Schedule 9”, and
(b) subsection (5).
Schedules 3 to 7.
In Schedule 8, paragraphs 7, 11, 13 to 20,
21(1)(b) and 23.
Schedule 9.
In Schedule 10, paragraph 64.
In Schedule 14—
(a) in paragraph 1, the definitions of
“controlled trust” and “the Council”,
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453
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Environmental Protection Act 1990 (c. 43)
Friendly Societies Act 1992 (c. 40)
Trade Union and Labour Relations
(Consolidation) Act 1992 (c. 52)
Statute Law (Repeals) Act 1993 (c. 50)
Trade Marks Act 1994 (c. 26)
Agricultural Tenancies Act 1995 (c. 8)
Environment Act 1995 (c. 25)
Bank of England Act 1998 (c. 11)
National Minimum Wage Act 1998 (c. 39)
Access to Justice Act 1999 (c. 22)
(b) paragraph 2(3) and (5),
(c) in paragraph S—
(i) in sub-paragraph (3)(a) and (b), “by
virtue of his being a member of that
partnership”, and
(ii) sub-paragraph (4),
(c) paragraph 14(2),
(d) in paragraph 14(3) “to him”,
(e) in paragraph 15, in sub-paragraph (4)
(c) “not exceeding £5,000”, and sub-
paragraph (5),
(f) in paragraph 17(2), “and the Master of
the Rolls”, and
(g) paragraph 17(4).
Schedule 15.
In Schedule 17, paragraphs 4, 8, 10 and 20.
In Schedule 18—
(a) in paragraph 1(1), “ “The Authorised
Conveyancing Practitioners
Board” and “ “The Conveyancing
Ombudsman”,
(b) paragraph 1(2), and
(c) paragraphs 9 to 12, 18, 20 and 56.
In section 114(4), “, although not of counsel
or a solicitor,”.
In Schedule 21, paragraph 5.
In section 194(2), “, although not of counsel
or a solicitor,”.
In Schedule 2, paragraph 3.
Section 85.
In Schedule 4, paragraph 5.
Section 35.
In section 54, “although not of counsel or a
solicitor”.
Section 41(4).
In Schedule 5, paragraph 67.
Section 33(1)(a).
Sections 35(2) to (4), 36, 37 and 40 to 42.
In section 44(1), “is employed by”.
In section 46—
(a) subsection (2)(b) and the word “but”
immediately preceding it, and
(b) subsections (3) to (6).
Section 47.
Sections 49 to 52.
In Schedule 4, paragraph 46.
Schedule 5.
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SCHEDULE 23 ~ Repeals
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Immigration and Asylum Act 1999 (c. 33)
Trustee Act 2000 (c. 29)
Freedom of Information Act 2000 (c. 36)
Enterprise Act 2002 (c. 40)
Pensions Act 2004 (c. 35)
Constitutional Reform Act 2005 (c. 4)
Mental Capacity Act 2005 (c. 9)
Serious Organised Crime and Police Act
2005 (c. 15)
Natural Environment and Rural Communities
Act 2006 (c. 16)
Compensation Act 2006 (c. 29)
National Health Service Act 2006 (c. 41)
National Health Service (Wales) Act 2006
(c. 42)
Legal Profession and Legal Aid (Scotland)
Act 2007 (asp 5)
In Schedule 6, paragraphs I to 3, 5 to 8 and
ll.
In Schedule 7, paragraphs 7(2)(a) and 10 to
12.
Schedule 8.
In Schedule 14, paragraph 14.
In section 86—
(a) subsections (1)(a), (d) and (e),
(b) subsection (4)(b),
(c) in subsection 5(a), “England and Wales
or”, and
(d) subsection (6)(a).
In Schedule S—
(a) paragraph 3(6)(b),
(b) paragraph 4(2)(b),
(c) in paragraph 4(3)(a) “England and
Wales or”, and
(d) paragraph 4(4)(a).
In Schedule 2, paragraph 37.
In Part 6 of Schedule 1—
(a) “The Authorised Conveyancing
Practitioners Board.”,
(b) “The Legal Services Complaints
Commissioner.”,
(c) “The Legal Services Consultative
Panel.”, and
(d) “The Legal Services Ombudsman.”
In Schedule 25, paragraph 23(2) to (6) and
(10).
In Schedule 4, paragraph 21.
In Schedule 4, paragraphs 92 and 202.
In Schedule 11, paragraphs .. . 21(3) and
23(2) and (3).
In Schedule 6, paragraph 22(2).
In Part 3 of Schedule 7, paragraph 42(2).
In section 12(2) “even though he is not a
barrister or solicitor”.
Section 5(3), (4)(c) and (5).
Section 15(6).
In section 194(4), “, although he is not a
barrister or solicitor,”.
In section 142(4), “, although he is not a
barrister or solicitor,”.
Section 77.
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Document Generated: 2024-12-05
455
Stat
This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
Textual Amendments
F197 Words in Sch. 23 repealed (12.11.2009) by Coroners and Justice Act 2009 (c. 25), ss. 177, 178, 182(1)
()(V), Sch. 21 para. 97, Sch. 23 Pt. 9
SCHEDULE 24
Section 213
INDEX OF DEFINED EXPRESSIONS
Expression
administration of oaths
approved regulator
authorised person, in relation to an activity
barrister
the Board
["°*CLC practitioner services body
(CMA
compensation arrangements
complainant (in Part 6)
conduct of litigation
conduct rules
consumers
conveyancing services
["**conveyancing services body
court
discipline rules
document
exempt person
functions
“immigration advice” and “immigration
services”
indemnification arrangements
independent trade union
indirect interest (of a non-authorised person
ina licensable body)
interest, in a body
Interpretation provisions
Schedule 2
section 20
section 18
section 207
section 2
paragraph 11 of Schedule 5]
section 207]
section 21
section 160
Schedule 2
section 21
section 207
section 207
paragraph 11 of Schedule 5]
section 207
section 21
section 201
section 19 and Schedules 3 and 5
section 207
section 207
section 21
section 207
section 72
section 72
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SCHEDULE 24 — Index of defined expressions
Document Generated: 2024-12-05
‘Status:
This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
intervention direction
legal activity
licensable body
licensed activity (in Part 5)
licensed body
licensing authority
["*licensed CLC practitioner
licensing rules
manager, in relation to a body
material interest, in a body (in Part 5)
modify
non-authorised person (in Part 5)
non-commercial legal services
non-reserved activity (in Part 5)
not for profit body
notarial activities
F200
the OLC
ombudsman
the ombudsman scheme
person
practice rules
probate activities
qualification regulations
regulatory arrangements
regulatory functions
regulatory objectives
relevant appellate body (in Part 5)
relevant approved regulator, in relation to an
activity
relevant approved regulator, in relation to a
person
relevant authorising body (in Part 6)
relevant licensing authority, in relation to a
licensed body (in Part 5)
section 41
section 12
section 72
section 11]
section 71
section 73
section 104(3)]
section 83
section 207
Schedule 13
section 207
section 111
section 207
section 111
section 207
Schedule 2
F200
section 114
section 122
section 115
section 207
section 21
Schedule 2
section 21
section 21
section 27
section I
section 111
section 20
section 20
section 160
section 73
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Legal Services Act 2007 (c. 29) 457
SCHEDULE 24 — Index of defined expressions
Document Generated: 2024-12-05
‘Status: This version of this Act contains provisions that are prospective.
Changes to legislation: Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that have been made
appear in the content and are referenced with annotations. (See end of Document for details) View outstanding changes
relevant licensing authority, in relation to an section 73
applicant for a licence (in Part 5)
representative functions section 27
reserved instrument activities Schedule 2
reserved legal activity section 12 and Schedule 2
reserved legal services section 207
respondent (in Part 6) section 160
right of audience Schedule 2
scheme rules (in Part 6) section 115
shares section 72
solicitor section 207
terms of a licence (in Part 5) section 85
Textual Amendments
F198 Words in Sch. 24 inserted (2!
S.1. 2015/1402, art. 2(b)
F199 Words in Sch. 24 inserted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3),
Sch. 6 para. 123(a); 8.1. 2014/416, art. 2(1)(4) (with Sch.)
F200 Words in Sch. 24 omitted (1.4.2014) by virtue of Enterprise and Regulatory Reform Act 2013
103(3), Sch. 6 para. 123(b); S.1. 2014/416, art. 2(1)(4) (with Sch.)
2015) by Deregulation Act 2015 (c. 20), s. 115(6)(b), Sch. 19 para. 17;
. 24), 8.
458
Legal Services Act 2007 (. 29)
Document Generated: 2024-12-05
Status:
This version of this Act contains provisions that are prospective.
Changes to legislation:
Legal Services Act 2007 is up to date with all changes known to be in force on or before 05
December 2024. There are changes that may be brought into force at a future date. Changes that
have been made appear in the content and are referenced with annotations.
‘View outstanding changes
Changes and effects yet to be applied to :
s. 60(9) words inserted by 2024 c. 13 Sch. 30 para. 31(a)
s. 60(9) words substituted by 2024 c. 13 Sch. 30 para. 31(b)
s. 111(2) modified by S.1. 2019/375 Sch. para. 13(3) (This amendment not applied to
legislation.gov.uk. S.I. 2019/375 revoked (24.11.2020) before it comes into force by
S.1. 2020/1342, regs. 1(2), 3(c))
s. 111(2)(d) words substituted by S.I. 2019/375 Sch. para. 13(2)(b) (This amendment
not applied to legislation.gov.uk. $.I. 2019/375 revoked (24.11.2020) before it comes
into force by S.1. 2020/1342, regs. 1(2), 3(c))
s. 111(3) omitted by S.I. 2019/375 Sch. para. 13(2)(c) (This amendment not applied
to legislation.gov.uk. S.I. 2019/375 revoked (24.11.2020) before it comes into force
by S.1. 2020/1342, regs. 1(2), 3(c))
s. 190(5) modified by S.1. 2019/375 Sch. para. 13(5) (This amendment not applied to
legislation.gov.uk. S.I. 2019/375 revoked (24.11.2020) before it comes into force by
S.1. 2020/1342, regs. 1(2), 3(c))
s. 190(5) modified by S.I. 2019/375, Sch. para. 13(5) (as substituted) by S.1.
2019/695 reg. 3(12)(m)(ii) (This amendment not applied to legislation.gov.uk. S.I.
2019/695 revoked (24.11.2020) before it comes into force by S.I. 2020/1342, regs.
12), 3(@))
s. 190(5) word inserted by S.I. 2019/375 Sch. para. 13(4)(a) (This amendment not
applied to legislation.gov.uk. S.1. 2019/375 revoked (24.11.2020) before it comes
into force by S.1. 2020/1342, regs. 1(2), 3(c))
s. 190(5) words inserted by S.I. 2019/375, Sch. para. 13(4) (as substituted) by S.1.
2019/695 reg. 3(12)(m)(i) (This amendment not applied to legislation.gov.uk. 8.1.
2019/695 revoked (24.11.2020) before it comes into force by S.I. 2020/1342, regs.
1), 3)
s. 190(5)(i) and word omitted by S.I. 2019/375 Sch. para. 13(4)(b) (This amendment
not applied to legislation.gov.uk. S.1. 2019/375 revoked (24.11.2020) before it comes
into force by S.I. 2020/1342, regs. 1(2), 3(c))
Sch. 3 para. 7 omitted by S.1. 2019/375 Sch. para. 13(6) (This amendment not
applied to legislation.gov.uk. S.1. 2019/375 revoked (24.11.2020) before it comes
into force by S.I. 2020/1342, regs. 1(2), 3(c))
Sch. 3 para. 7 words inserted by S.I. 2019/375, Sch. para. 13(6)(a) (as substituted) by
S.I. 2019/695 reg. 3(12)(m)(iii) (This amendment not applied to legislation. gov.uk.
S.I. 2019/695 revoked (24.11.2020) before it comes into force by S.I. 2020/1342,
regs. 1(2), 3(d))
Sch. 3 para. 7 words inserted by S.I. 2019/375, Sch. para. 13(6)(b) (as substituted) by
S.I. 2019/695 reg. 3(12)(m)(iii) (This amendment not applied to legislation. gov.uk.
S.I. 2019/695 revoked (24.11.2020) before it comes into force by S.I. 2020/1342,
regs. 1(2), 3(d))
Sch. 5 para. 5 modified by S.I. 2019/375 Sch. para. 13(7)(b) (This amendment not
applied to legislation.gov.uk. S.I. 2019/375 revoked (24.11.2020) before it comes
into force by S.I. 2020/1342, regs. 1(2), 3(c))
Sch. 5 para. 7(4) modified by S.1. 2019/375 Sch. para. 13(7)(d) (This amendment not
applied to legislation.gov.uk. S.1. 2019/375 revoked (24.11.2020) before it comes
into force by S.I. 2020/1342, regs. 1(2), 3(c))
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Legal Services Act 2007 (c. 29) 459
Document Generated: 2024-12-05
= Sch. 5 para. 8 modified by S.1. 2019/375 Sch. para. 13(7)(f) (This amendment not
applied to legislation.gov.uk. S.I. 2019/375 revoked (24.11.2020) before it comes
into force by S.I. 2020/1342, regs. 1(2), 3(c))
— Sch. 5 para. 5 modified by S.1. 2019/375, Sch. para. 13(7)(b) (as substituted) by S.I.
2019/695 reg, 3(12)(m)(iv) (This amendment not applied to legislation. gov.uk. S.1.
2019/695 revoked (24.11.2020) before it comes into force by S.I. 2020/1342, regs.
1@), 3(d))
- Sch. 5 para. 7(4) modified by S.I. 2019/375, Sch. para. 13(7)(d) (as substituted) by
S.I. 2019/695 reg. 3(12)(m)(iv) (This amendment not applied to legislation. gov.uk.
S.I. 2019/695 revoked (24.11.2020) before it comes into force by S.I. 2020/1342,
regs. 1(2), 3(d))
- Sch. 5 para. 8 modified by S.I. 2019/375, Sch. para. 13(7)(f) (as substituted) by S.I.
2019/695 reg. 3(12)(m)(iv) (This amendment not applied to legislation.gov.uk. S.1.
2019/695 revoked (24.11.2020) before it comes into force by S.1. 2020/1342, regs.
12), 3(d))
= Sch. 5 para. 5 omitted by S.1. 2019/375 Sch. para. 13(7)(a) (This amendment not
applied to legislation.gov.uk. S.I. 2019/375 revoked (24.11.2020) before it comes
into force by S.I. 2020/1342, regs. 1(2), 3(c))
— Sch. 5 para. 8 omitted by S.I. 2019/375 Sch. para. 13(7)(e) (This amendment not
applied to legislation.gov.uk. S.I. 2019/375 revoked (24.11.2020) before it comes
into force by S.I. 2020/1342, regs. 1(2), 3(c))
- Sch. 5 para. 5(3) words inserted by S.I. 2019/375, Sch. para. 13(7)(a)(ii)(aa) (as
substituted) by S.I. 2019/695 reg. 3(12)(m)(iv) (This amendment not applied to
legislation.gov.uk. S.I. 2019/695 revoked (24.11.2020) before it comes into force by
S.1. 2020/1342, regs. 1(2), 3(d))
- Sch. 5 para. 7(4) words inserted by S.I. 2019/375, Sch. para. 13(7)(c) (as
substituted) by S.1. 2019/695 reg. 3(12)(m)(iv) (This amendment not applied to
legislation.gov.uk. S.I. 2019/695 revoked (24.11.2020) before it comes into force by
S.1. 2020/1342, regs. 1(2), 3(d))
- Sch. 5 para. 8(3) words inserted by S.I. 2019/375, Sch. para. 13(7)(e)(ii)(aa) (as
substituted) by S.1. 2019/695 reg. 3(12)(m)(iv) (This amendment not applied to
legislation.gov.uk. S.I. 2019/695 revoked (24.11.2020) before it comes into force by
S.1. 2020/1342, regs. 1(2), 3(d))
= Sch. 5 para. 7(4) words omitted by S.I. 2019/375 Sch. para. 13(7)(c)(i) (This
amendment not applied to legislation.gov.uk. S.I. 2019/375 revoked (24.11.2020)
before it comes into force by S.I. 2020/1342, regs. 1(2), 3(¢))
— Sch. 5 para. 7(4) words omitted by S.I. 2019/375 Sch. para. 13(7)(c)(ii) (This
amendment not applied to legislation.gov.uk. S.I. 2019/375 revoked (24.11.2020)
before it comes into force by S.1. 2020/1342, regs. 1(2), 3(c))
= Sch. 5 para. 5(1)(b) words substituted by S.1. 2019/375, Sch. para. 13(7)(a)(i) (as
substituted) by S.I. 2019/695 reg. 3(12)(m)(iv) (This amendment not applied to
legislation.gov.uk. S.I. 2019/695 revoked (24.11.2020) before it comes into force by
S.1. 2020/1342, regs. 1(2), 3(d))
- Sch. 5 para. 5(3) words substituted by S.I. 2019/375, Sch. para. 13(7)(a)(ii)(bb)
(as substituted) by S.1. 2019/695 reg. 3(12)(m)(iv) (This amendment not applied to
legislation.gov.uk. S.I. 2019/695 revoked (24.11.2020) before it comes into force by
S.1. 2020/1342, regs. 1(2), 3(d))
- Sch. 5 para. 8(1)(b) words substituted by S.I. 2019/375, Sch. para. 13(7)(e)(i) (as
substituted) by S.1. 2019/695 reg. 3(12)(m)(iv) (This amendment not applied to
legislation.gov.uk. S.I. 2019/695 revoked (24.11.2020) before it comes into force by
S.1. 2020/1342, regs. 1(2), 3(d))
= Sch. 5 para. 8(3) words substituted by S.1. 2019/375, Sch. para. 13(7)(e)(ii)(bb)
(as substituted) by S.1. 2019/695 reg. 3(12)(m)(iv) (This amendment not applied to
legislation.gov.uk. S.I. 2019/695 revoked (24.11.2020) before it comes into force by
S.I, 2020/1342, regs. 1(2), 3(d))
= Sch. 18 para. 20 modified by S.I. 2019/375 Sch. para. 13(8)(b) (This amendment not
applied to legislation.gov.uk. S.I. 2019/375 revoked (24.11.2020) before it comes
into force by S.I. 2020/1342, regs. 1(2), 3(c))
460
Legal Services Act 2007 (. 29)
Document Generated: 2024-12-05
Sch. 18 para. 22 modified by S.I. 2019/375 Sch. para. 13(8)(d) (This amendment not
applied to legislation.gov.uk. S.I. 2019/375 revoked (24.11.2020) before it comes
into force by S.I. 2020/1342, regs. 1(2), 3(c))
Sch. 18 para. 20 modified by S.I. 2019/375, Sch. para. 13(8)(b) (as substituted) by
S.1, 2019/695 reg. 3(12)(m)(v) (This amendment not applied to legislation.gov.uk.
S.I. 2019/695 revoked (24.11.2020) before it comes into force by S.I. 2020/1342,
regs. 1(2), 3(d))
Sch. 18 para. 22 modified by S.I. 2019/375, Sch. para. 13(8)(d) (as substituted) by
S.I. 2019/695 reg. 3(12)(m)(v) (This amendment not applied to legislation.gov.uk.
S.I. 2019/695 revoked (24.11.2020) before it comes into force by S.I. 2020/1342,
regs. 1(2), 3(d))
Sch. 18 para. 20 omitted by S.I. 2019/375 Sch. para. 13(8)(a) (This amendment not
applied to legislation.gov.uk. S.I. 2019/375 revoked (24.11.2020) before it comes
into force by S.1. 2020/1342, regs. 1(2), 3(c))
Sch. 18 para. 22 omitted by S.I. 2019/375 Sch. para. 13(8)(c) (This amendment not
applied to legislation.gov.uk. S.I. 2019/375 revoked (24.11.2020) before it comes
into force by S.I. 2020/1342, regs. 1(2), 3(c))
Sch. 18 para. 20(3) words inserted by S.I. 2019/375, Sch. para. 13(8)(a)(ii)(aa)
(as substituted) by S.I. 2019/695 reg. 3(12)(m)(v) (This amendment not applied to
legislation.gov.uk. S.I. 2019/695 revoked (24.11.2020) before it comes into force by
S.1. 2020/1342, regs. 1(2), 3(d))
Sch. 18 para. 22(3) words inserted by S.I. 2019/375, Sch. para. 13(8)(c)(ii)(aa)
(as substituted) by S.1. 2019/695 reg. 3(12)(m)(v) (This amendment not applied to
legislation.gov.uk. S.I. 2019/695 revoked (24.11.2020) before it comes into force by
S.1. 2020/1342, regs. 1(2), 3(d))
Sch. 18 para. 20(1) words substituted by S.I. 2019/375, Sch. para. 13(8)(a)(i) (as
substituted) by S.1. 2019/695 reg. 3(12)(m)(v) (This amendment not applied to
legislation.gov.uk. S.I. 2019/695 revoked (24.11.2020) before it comes into force by
S.1. 2020/1342, regs. 1(2), 3(d))
Sch. 18 para. 20(3) words substituted by S.I. 2019/375, Sch. para. 13(8)(a)(ii)(bb)
(as substituted) by S.1. 2019/695 reg. 3(12)(m)(v) (This amendment not applied to
legislation.gov.uk. S.I. 2019/695 revoked (24.11.2020) before it comes into force by
S.1. 2020/1342, regs. 1(2), 3(d))
Sch. 18 para. 22(1) words substituted by S.1. 2019/375, Sch. para. 13(8)(c)(i) (as
substituted) by S.1. 2019/695 reg. 3(12)(m)(v) (This amendment not applied to
legislation.gov.uk. S.I. 2019/695 revoked (24.11.2020) before it comes into force by
S.1. 2020/1342, regs. 1(2), 3(d))
Sch, 18 para. 22(3) words substituted by S.I. 2019/375, Sch. para. 13(8)(c)(ii)(bb)
(as substituted) by S.1. 2019/695 reg. 3(12)(m)(v) (This amendment not applied to
legislation.gov.uk. S.I. 2019/695 revoked (24.11.2020) before it comes into force by
S.1. 2020/1342, regs. 1(2), 3(d))
Sch. 21 para. 73 repealed by 2008 c. 4 Sch. 28 Pt. 8
Sch. 22 para. 15(1)(d) modified by S.I. 2019/375 Sch. para. 13(9)(b) (This
amendment not applied to legislation.gov.uk. S.I. 2019/375 revoked (24.11.2020)
before it comes into force by S.I. 2020/1342, regs. 1(2), 3(¢))
Sch. 22 para. 15(1)(d) modified by S.I. 2019/375, Sch. para. 13(9)(b) (as
substituted) by S.I. 2019/695 reg. 3(12)(m)(vi) (This amendment not applied to
legislation. gov.uk. S.I. 2019/695 revoked (24.11.2020) before it comes into force by
S.1. 2020/1342, regs. 1(2), 3(d))
Sch. 22 para. 15(1)(d) omitted by S.1. 2019/375 Sch. para. 13(9)(a) (This amendment
not applied to legislation.gov.uk. S.1. 2019/375 revoked (24.11.2020) before it comes
into force by S.I. 2020/1342, regs. 1(2), 3(c))
Sch. 22 para. 15(1)(d) words inserted by S.I. 2019/375, Sch. para. 13(9)(a) (as
substituted) by S.1. 2019/695 reg. 3(12)(m)(vi) (This amendment not applied to
legislation.gov.uk. S.I. 2019/695 revoked (24.11.2020) before it comes into force by
S.1. 2020/1342, regs. 1(2), 3(d))
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Legal Services Act 2007 (c. 29) 461
Document Generated: 2024-12-05
Changes and effects yet to be applied to the whole Act associated Parts and Chapters:
Whole provisions yet to be inserted into this Act (including any effects on those
provisions):
= gs. 111(2)(c)(ca) substituted for s. 111(2)(c) by S.1. 2019/375 Sch. para. 13(2)(a) (This
amendment not applied to legislation.gov.uk. S.I. 2019/375 revoked (24.11.2020)
before it comes into force by S.I. 2020/1342, regs. 1(2), 3(c))
= Sch. 12 para. 110 repealed by S.1. 2019/269 Sch. 5 para. 6 (This amendment not
applied to legislation.gov.uk. Amending words substituted immediately before IP
completion day by S.I. 2020/1050, regs.1(2), 12)