(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;
(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.
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.
(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).
(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.
(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 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,
(e) 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.
(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—
(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).
(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) If an 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 rules 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).
(1) A licensing authority may modify the terms of a licence granted by it—
(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) If a 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.
(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.
(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.
(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.
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.
(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 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 soon as reasonably practicable, report to the licensing authority any failure by a non-authorised person to comply with that duty.
(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.
(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;
(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.
(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.
(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.
(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.
(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) in 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.
(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.
(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).
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.
(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.
(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).
(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.
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.
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.
(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.
(1) In this Part—
“licensed activity”, in relation to a licensed body, means an activity—
which is a reserved legal activity, and
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.
(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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) a solicitor;
(b) an employee of a solicitor;
(c) a body 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) a manager or employee of a licensed body;
(g) a non-authorised person who has an interest or an indirect interest, or holds a material interest (within the meaning of Part 5 of this Act), in a licensed body;
(h) a person 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) If a 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 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.
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—
(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
(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.
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 111A(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.
(6) Before making the recommendation, the Board must have regard to any representations duly made.
(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—
relates to an act or omission of that person, and
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;
.
(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.
(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”.
(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 in a 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.
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.
(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.