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203 | The giving of notices, directions and other documents |
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(1) | This section applies where provision made (in whatever terms) by or under |
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this Act authorises or requires a notice, direction or any other document |
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(including a copy of a document) to be given to a person. |
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(2) | The notice, direction or document may be given to the person— |
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(a) | by delivering it to the person, |
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(b) | by leaving it at the person’s proper address, or |
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(c) | by sending it by post to the person at that address. |
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(3) | The notice, direction or document may be given to a body corporate by being |
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given to the secretary or clerk of that body. |
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(4) | The notice, direction or document may be given to a partnership by being |
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(a) | a partner in the partnership, or |
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(b) | a person having the control or management of the partnership |
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(5) | The notice, direction or document may be given to any other unincorporated |
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body by being given to a member of the governing body of the unincorporated |
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(6) | For the purposes of this section, and section 7 of the Interpretation Act 1978 (c. |
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30) (service of documents by post) in its application to this section, the proper |
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(a) | in the case of a body corporate, the address of the registered or |
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principal office of the body; |
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(b) | in the case of a partnership, or any other unincorporated body, the |
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address of the principal office of the partnership or body; |
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(c) | in the case of a person to whom the notice or other document is given |
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in reliance on any of subsections (3) to (5), the proper address of the |
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body corporate, partnership or other unincorporated body in question; |
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(d) | in any other case, the last known address of the person in question. |
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(a) | a company registered outside the United Kingdom, |
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(b) | a partnership carrying on business outside the United Kingdom, or |
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(c) | any other unincorporated body with offices outside the United |
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| the references in subsection (6) to its principal office include references to its |
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principal office within the United Kingdom (if any). |
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(8) | This section has effect subject to section 204 (notices, directions and documents |
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204 | The giving of notices, directions and other documents in electronic form |
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(1) | This section applies where— |
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(a) | section 203 authorises the giving of a notice, direction or other |
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document by its delivery to a particular person (“the recipient”), and |
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(b) | the notice, direction or other document is transmitted to the recipient— |
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(i) | by means of an electronic communications network, or |
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(ii) | by other means but in a form that nevertheless requires the use |
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of apparatus by the recipient to render it intelligible. |
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(2) | The transmission has effect for the purposes of this Act as a delivery of the |
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notice, direction or other document to the recipient, but only if the |
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requirements imposed by or under this section are complied with. |
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(3) | Where the recipient is the Board, the OLC or an ombudsman— |
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(a) | the recipient must have indicated its willingness to receive the notice, |
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direction or other document in a manner mentioned in subsection |
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(b) | the transmission must be made in such manner, and satisfy such other |
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conditions as the recipient may require, and |
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(c) | the notice, direction or other document must take such form as the |
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(4) | Where the person making the transmission is the Board, the OLC or an |
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ombudsman, that person may (subject to subsection (5)) determine— |
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(a) | the manner in which the transmission is made, and |
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(b) | the form in which the notice, direction or other document is |
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(5) | Where the recipient is a person other than the Board, the OLC or an |
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(b) | the person on whose behalf the recipient receives the notice, direction |
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| must have indicated to the person making the transmission the recipient’s |
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willingness to receive notices, directions or other documents transmitted in the |
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(6) | An indication to any person for the purposes of subsection (5)— |
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(a) | must be given to that person in such manner as that person may |
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(b) | may be a general indication or one that is limited to notices or |
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documents of particular descriptions; |
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(c) | must state the address to be used and must be accompanied by such |
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other information as that person requires for the making of the |
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(d) | may be modified or withdrawn at any time by a notice given to that |
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person in such manner as that person may require. |
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(7) | An indication, requirement or determination given, imposed or made by the |
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Board, the OLC or an ombudsman for the purposes of this section is to be |
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given, imposed or made by being published by that person. |
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(8) | In this section “electronic communications network” has the same meaning as |
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in the Communications Act 2003 (c. 21). |
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205 | Orders, regulations and rules |
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(1) | Any order or regulations made by the Lord Chancellor under this Act must be |
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made by statutory instrument. |
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(2) | Any rules made by the Board under section 37(4), 95(3) or 174 must be made |
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by statutory instrument, and the Statutory Instruments Act 1946 (c. 36) applies |
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to the Board’s powers to make rules under those sections as if the Board were |
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(3) | An instrument to which this subsection applies may— |
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(a) | provide for a person to exercise a discretion in dealing with any matter; |
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(b) | include incidental, supplementary and consequential provision; |
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(c) | make transitory or transitional provision and savings; |
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(d) | make provision generally or subject to exceptions or only in relation to |
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(e) | make different provision for different cases or circumstances or for |
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(4) | Subsection (3) applies to— |
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(a) | any order or regulations made by the Lord Chancellor, |
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(b) | any rules or regulations made by the Board, and |
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(c) | any rules made by the OLC, |
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| under or by virtue of this Act. |
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206 | Consultation requirements for rules |
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(1) | This section applies in relation to— |
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(a) | rules made by the Board under this Act, and |
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(b) | rules made by the OLC under Part 6, |
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| other than excluded rules. |
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(2) | If the Board or the OLC (“the rule-making body”) proposes to make any rules, |
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it must publish a draft of the proposed rules. |
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(3) | The draft must be accompanied by a notice which states that representations |
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about the proposals may be made to the rule-making body within the period |
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(4) | Before making the rules, the rule-making body must have regard to any |
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representations duly made. |
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(5) | If the rules differ from the draft published under subsection (2) in a way which |
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is, in the opinion of the rule-making body, material, it must publish details of |
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(6) | The rule-making body must publish any rules it makes, and rules may not take |
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effect before the time they are published. |
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(7) | Subsection (6) does not apply to rules made by the Board under section 37(4), |
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(8) | The rule-making body may make a reasonable charge for providing a person |
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(a) | a draft published under subsection (2), or |
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(b) | rules published under subsection (6). |
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(9) | In this section “excluded rules” means— |
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(a) | rules of procedure made by the Board for the purposes of paragraph 18 |
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|
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(b) | rules made by the Board in its capacity as an approved regulator or a |
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(c) | rules of procedure made by the OLC for the purposes of paragraph 17 |
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| and references to making rules include references to modifying the rules and, |
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in relation to any modifications of rules, references to the proposed rules are to |
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be read as references to the proposed modifications. |
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(10) | This section is subject to section 157(3) (which disapplies this section to OLC |
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rules made in response to a Board direction under section 157(1)(b)). |
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207 | Parliamentary control of orders and regulations |
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(1) | A statutory instrument containing an order or regulations made by the Lord |
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Chancellor under this Act is subject to annulment in pursuance of a resolution |
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of either House of Parliament. |
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(2) | Subsection (1) is subject to subsections (3) and (4). |
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(3) | Subsection (1) does not apply to an order if it contains only provision made |
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under one or more of the following— |
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(a) | section 23(3)(b) (day appointed as end of transitional period relating to |
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(b) | section 30(4) (appointed day before which first set of rules must be |
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(c) | section 212 (commencement); |
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(d) | paragraph 3(1)(b) of Schedule 5 (day appointed as end of transitional |
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period during which rights conferred by virtue of Part 2 of that |
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(e) | paragraph 18(1)(b) of Schedule 18 (day appointed as end of transitional |
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period during which rights conferred by virtue of Part 3 of that |
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(4) | Subsection (1) does not apply to an order or regulations which contains |
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(whether alone or together with other provision) provision made under any of |
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(a) | section 24(1) (orders adding to reserved legal activities); |
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(b) | section 25(1) or (3) (provisional designation of approved regulators); |
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(c) | section 42(6) (regulations relating to warrants under section 42); |
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(d) | section 45(1) (cancellation of designation as approved regulator); |
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(e) | section 46 (transitional arrangements following cancellation under |
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(f) | section 48(6) (regulations relating to warrants under section 48); |
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(g) | section 62(1) (power to designate Board as an approved regulator, |
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modify its functions or cancel its designation); |
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(h) | section 69(1) (modification of functions of approved regulators etc); |
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(i) | section 76(1) (cancellation of designation as licensing authority); |
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(j) | section 77 (transitional arrangements following cancellation under |
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(k) | section 79(6) (regulations relating to warrants under section 79); |
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(l) | section 80(1) (order establishing appellate body etc); |
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(m) | section 106(1)(e) (power to prescribe bodies as bodies to which section |
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(n) | section 109 (power to modify application of Part 5 to foreign bodies); |
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(o) | section 174(5)(c) (power to prescribe persons as leviable bodies); |
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(p) | section 208(5) (power to modify definition of “manager” in its |
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application to foreign bodies); |
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(q) | section 209(3) (power to make consequential provision etc by amending |
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(r) | paragraph 9(1) of Schedule 3 (modification of exempt persons); |
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(s) | paragraph 17 of Schedule 4 (designation of approved regulators); |
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(t) | paragraph 9 of Schedule 13 (power to modify definitions of “material |
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interest” and “associates”); |
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(u) | paragraph 2 of Schedule 22 (transitory power to modify functions of |
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designated regulators etc). |
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(5) | An order or regulations within subsection (4) may not be made unless a draft |
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of the order or regulations has been laid before, and approved by a resolution |
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of, each House of Parliament. |
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(6) | A statutory instrument containing rules made by the Board under section |
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37(4), 95(3) or 174 is subject to annulment in pursuance of a resolution of either |
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(1) | In this Act, except where the context otherwise requires— |
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“barrister” means an individual who— |
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(a) | has been called to the Bar by an Inn of Court, and |
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(b) | is not disbarred by order of an Inn of Court; |
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“consumers” means (subject to subsection (3)) persons— |
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(a) | who use, have used or are or may be contemplating using, |
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services within subsection (2), |
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(b) | who have rights or interests which are derived from, or are |
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otherwise attributable to, the use of such services by other |
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(c) | who have rights or interests which may be adversely affected by |
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the use of such services by persons acting on their behalf or in a |
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fiduciary capacity in relation to them; |
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“conveyancing services” has the same meaning as in Part 2 of the |
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Administration of Justice Act 1985 (c. 61) (licensed conveyancing) (see |
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section 11(3) of that Act); |
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(a) | a tribunal that is (to any extent) a listed tribunal for, or for any |
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of, the purposes of Schedule 7 to the Tribunals, Courts and |
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Enforcement Act 2007 (functions etc of Administrative Justice |
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(c) | a statutory inquiry within the meaning of section 16(1) of the |
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Tribunals and Inquiries Act 1992 (c. 53); |
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(d) | an ecclesiastical court (including the Court of Faculties); |
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“functions” includes powers and duties; |
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|
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“immigration advice” and “immigration services” have the meaning |
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given by section 82 of the Immigration and Asylum Act 1999 (c. 33) |
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(interpretation of Part 5) (see also subsection (4) below); |
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“manager”, in relation to a body, means (subject to subsection (5)) a |
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(a) | if the body is a body corporate whose affairs are managed by its |
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members, is a member of the body, |
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(b) | if the body is a body corporate and paragraph (a) does not |
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apply, is a director of the body, |
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(c) | if the body is a partnership, is a partner, and |
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(d) | if the body is an unincorporated body (other than a |
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partnership), is a member of its governing body; |
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“modify” includes amend, add to or revoke, and references to |
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“modifications” are to be construed accordingly; |
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“non-commercial legal services” means— |
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(a) | legal services carried on otherwise than with a view to profit; |
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(b) | legal services carried on by a not for profit body, a community |
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interest company or a trade union; |
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“not for profit body” means a body which, by or by virtue of its |
| |
constitution or any enactment— |
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(a) | is required (after payment of outgoings) to apply the whole of |
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its income, and any capital which it expends, for charitable or |
| |
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(b) | is prohibited from directly or indirectly distributing amongst its |
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members any part of its assets (otherwise than for charitable or |
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“the OFT” means the Office of Fair Trading; |
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“person” includes a body of persons (corporate or unincorporate); |
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“reserved legal services” means services provided by a person which |
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consist of or include reserved legal activities carried on by, or on behalf |
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“solicitor” means solicitor of the Senior Courts; |
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“trade union” means a trade union for the time being included in the list |
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of trade unions kept under section 2 of the Trade Union and Labour |
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Relations (Consolidation) Act 1992 (c. 52). |
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(2) | The services within this subsection are— |
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(a) | any services provided by a person who is an authorised person in |
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relation to an activity which is a reserved legal activity, and |
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(b) | any other services provided by a person which consist of or include a |
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legal activity carried on by, or on behalf of, that person. |
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(3) | For the purposes of the definition of “consumers” in subsection (1)— |
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(a) | if a person (“A”) is carrying on an activity in A’s capacity as a trustee, |
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the persons who are, have been or may be beneficiaries of the trust are |
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to be treated as persons who use, have used or are or may be |
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contemplating using services provided by A in A’s carrying on of that |
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(b) | a person who deals with another person (“B”) in the course of B’s |
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carrying on of an activity is to be treated as using services provided by |
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B in carrying on that activity. |
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|
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(4) | The references in this Act (other than section 196) to the provision of |
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immigration advice or immigration services are to the provision of such advice |
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(a) | in England and Wales (regardless of whether the persons to whom they |
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are provided are in England and Wales or elsewhere), and |
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(b) | in the course of a business carried on (whether or not for profit) by the |
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person or another person. |
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(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 |
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the body is recognised by, law having effect outside England and Wales. |
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(6) | In this section “enactment” means a provision of— |
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(a) | an Act of Parliament; |
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(b) | an Act of the Scottish Parliament; |
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(c) | a Measure or Act of the National Assembly for Wales; |
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(d) | Northern Ireland legislation. |
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Miscellaneous and supplementary |
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209 | Minor and consequential provision etc |
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(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 |
| 20 |
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 |
| |
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(3) | An order under this section may make provision amending, repealing or |
| 25 |
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 |
| 30 |
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. |
| |
210 | Transitional and transitory provision |
| |
Schedule 22 contains transitional and transitory provision. |
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Schedule 23 contains repeals (including repeals of spent provisions). |
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|
