|
| |
| |
(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— |
| 5 |
(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. |
| 10 |
(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 |
| |
| 15 |
(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 |
| 20 |
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 |
| 25 |
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 |
| 30 |
steps in certain circumstances, including steps to amend its regulatory |
| |
| |
| |
Alteration of approved regulator’s regulatory arrangements |
| |
| 35 |
19 (1) | If an alteration is made of the regulatory arrangements of an approved |
| |
regulator, the alteration does not have effect unless it is approved for the |
| |
| |
(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 |
| |
| |
(b) | it is approved by the Board under this Part of this Schedule, |
| |
(c) | it is an exempt alteration, |
| 5 |
(d) | it is an alteration made in compliance with a direction under section |
| |
| |
(e) | it is approved by virtue of paragraph 16 of Schedule 10 (approval of |
| |
licensing rules on designation by order as licensing authority), or |
| |
(f) | it is approved by virtue of paragraph 7 of Schedule 18 (approval of |
| 10 |
proposed regulatory arrangements when granting “qualifying |
| |
regulator” status for the purposes of Part 5 of the Immigration and |
| |
Asylum Act 1999 (c. 33)). |
| |
(3) | An exempt alteration is an alteration which the Board has directed is to be |
| |
treated as exempt for the purposes of this paragraph. |
| 15 |
(4) | A direction under sub-paragraph (3) may be specific or general and must be |
| |
| |
(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 |
| |
| 20 |
(6) | If a question arises whether approval is required by virtue of this Part of this |
| |
Schedule, it is 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). |
| 25 |
| |
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— |
| 30 |
(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. |
| 35 |
| |
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 |
| |
| |
(b) | give the approved regulator a notice stating that the Board is |
| 40 |
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 |
| |
| |
| |
| |
|
| |
| |
(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 |
(5) | The Board may extend the initial decision period— |
| |
(a) | with the consent of the approved regulator, or |
| |
(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). |
| 10 |
| |
(a) | must specify the period of the extension, and |
| |
(b) | must state the Board’s reasons for extending the initial decision |
| |
| |
(7) | The period specified in the notice under sub-paragraph (6)(a) must end no |
| 15 |
later than the end of the period of 90 days beginning with the date on which |
| |
the application was made under paragraph 20. |
| |
| |
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 |
| 20 |
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 |
| 25 |
| |
Representations by applicant |
| |
23 (1) | The Board must give the approved regulator a copy of any advice obtained |
| |
| |
(2) | The approved regulator may make to the Board— |
| 30 |
(a) | written representations, and |
| |
(b) | if the Board authorises it to do so, oral representations, |
| |
| |
(3) | The Board must make rules governing the making of oral and written |
| |
| 35 |
(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 |
| 40 |
| |
(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. |
| |
Publication of advice and representations etc |
| |
24 (1) | The Board must, as soon as practicable after the end of the period within |
| 5 |
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— |
| 10 |
(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 |
| 15 |
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. |
| |
| 20 |
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 |
| 25 |
(e) | any other information which the Board considers relevant to the |
| |
| |
| 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— |
| 30 |
(a) | granting the application would be prejudicial to the regulatory |
| |
| |
(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 |
| 35 |
| |
(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, |
| 40 |
(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) |
| 45 |
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, |
| |
(b) | a requirement that the applicant is competent, and has sufficient |
| |
resources to perform the role of approved regulator in relation to the |
| 5 |
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 |
| 10 |
| |
(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 |
| 15 |
26 (1) | This paragraph applies where the Board gives an approved regulator a |
| |
warning notice under paragraph 21 in respect of the approved regulator’s |
| |
| |
(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 |
| 20 |
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 |
| 25 |
notice (an “extension notice”) extending the decision period. |
| |
| |
(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. |
| 30 |
(6) | The Board must publish any extension notice given by it. |
| |
Effect of grant of application |
| |
27 (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. |
| 35 |
(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 |
| |
| |
(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 |
| 40 |
take steps in certain circumstances, including steps to amend its regulatory |
| |
| |
| |
| |
|
