|
|
| |
| |
|
| |
| | |
| Schedule 16, page 265, line 6, after ‘(5)’, insert ‘(a), and at least one of the persons |
|
| within subsection (5)(b),’. |
|
| |
| | Members’ explanatory statement
|
|
| | This amendment adjusts the management and control condition in sub-paragraph (4) to provide |
|
| | that at least one of the directors is a person in sub-paragraph (4)(a), and at least one of the persons |
|
| | who holds shares in the body (see amendment 190) falls under sub-paragraph (4)(a). |
|
| |
| | |
| Schedule 16, page 265, line 13, leave out ‘have an interest’ and insert ‘hold shares’. |
|
| |
| | Members’ explanatory statement
|
|
| | This amendment is related to amendment 111. It replaces the concept of interest in the recognised |
|
| | body with a shareholding in the recognised body. |
|
| |
| | |
| Schedule 16, page 265, line 45, after ‘managers’, insert ‘or employees’. |
|
| |
| | Members’ explanatory statement
|
|
| | This amendment alters the definition of “relevant legal services” to refer to employees who are |
|
| | authorised persons, rather than just managers who are authorised persons. |
|
| |
| | |
| Schedule 16, page 266, line 2, at end insert— |
|
| | ‘“shares”, in relation to a body, has the same meaning as in Part 5 of the |
|
| | Legal Services Act 2007 (see sections 72 and 109 of that Act);’. |
|
| |
| | Members’ explanatory statement
|
|
| | This amendment is related to amendment 190, which replaces a reference to an interest in shares |
|
| | with a reference to holding shares. It gives “shares” the same meaning as in Clause 72. |
|
| |
| | |
| Schedule 16, page 266, line 4, leave out ‘in shares’. |
|
| |
| | Members’ explanatory statement
|
|
| | This amendment is related to amendment 111. It adjusts the definition of interest in a recognised |
|
| | body to refer to the definition of interest in a body in Clause 72 of the Bill, rather than the former |
|
| | “interest in shares” in a body. |
|
| |
| | |
| Schedule 16, page 270, line 42, at end insert ‘, 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).’. |
|
| |
| | Members’ explanatory statement
|
|
| | This amendment inserts a definition of “interest in the body”. The definition refers to the definition |
|
| | of interest in a body in Clause 72 of the Bill. |
|
|
|
| |
| |
|
| |
| | |
| Schedule 16, page 272, line 10, leave out ‘in shares’. |
|
| |
| | Members’ explanatory statement
|
|
| | This amendment is related to amendment 111. It adjusts the meaning of interest in a recognised |
|
| | body to refer to the definition of interest in a body in Clause 72 of the Bill, rather than the former |
|
| | “interest in shares” in a body. |
|
| |
| | |
| Schedule 16, page 272, line 35, leave out ‘in shares’. |
|
| |
| | Members’ explanatory statement
|
|
| | This amendment is related to amendment 111. It replaces the concept of persons with an interest |
|
| | in shares in a recognised body with persons with an interest in the body, as defined in Clause 72 |
|
| | |
| |
| | |
| Schedule 16, page 273, line 3, at end insert— |
|
| | ‘( ) | 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 |
|
| | |
| |
| |
| | Members’ explanatory statement
|
|
| | This amendment ensures that if a person to whom a notice requiring information is given ceases |
|
| | after the notice is given to be a recognised body, or an employee or manager of, or person with an |
|
| | interest in, the body, the enforcement powers will nonetheless remain available. |
|
| |
| | |
| Schedule 16, page 273, line 38, at end insert— |
|
| | | ‘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 |
|
| | |
| | (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 |
|
| | |
| | (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 |
|
| | |
| | (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) | if such an appeal is made, such time as it is determined or |
|
| | |
| | (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 |
|
| | |
| | (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 |
|
| | |
| | (8) | Before making rules under sub-paragraph (7), the Society must |
|
| | |
| | (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 |
|
| | |
| | (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 |
|
| | |
| | 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 |
|
| | |
| | (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 |
|
| | |
| | (4) | On an appeal under this paragraph, the Tribunal has power to make |
|
| | |
| | (a) | affirms the decision of the Society; |
|
| | (b) | revokes the decision of the Society; |
|
| | (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 |
|
| | |
| | (f) | makes such provision as the Tribunal thinks fit as to |
|
| | |
| | (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 (4) and (5) of that paragraph |
|
| | apply as if the order had been made under sub-paragraph (2)(c) of |
|
| | |
| | (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 |
|
| | |
| | (9) | This paragraph is without prejudice to any power conferred on the |
|
| | Tribunal in connection with an application or complaint made to |
|
| | |
| | |
| | Members’ explanatory statement
|
|
| | This amendment inserts new paragraphs 14B and 14C into Schedule 2 to the Administration of |
|
| | Justice Act 1985 which make similar provision for recognised bodies, their managers and employ |
|
|
|
| |
| |
|
| | ees to that made for solicitors by the new sections 44D and 44E of the Solicitors Act 1974 inserted |
|
| | |
| |
| | |
| Schedule 16, page 275, line 29, after ‘solicitor’, insert ‘or employee of a solicitor’.
|
|
| |
| | Members’ explanatory statement
|
|
| | This amendment, together with amendment 96, allows the Tribunal to make an order, on one or |
|
| | more of the grounds set out in subsection (1), prohibiting an employee of a solicitor from employ |
|
| | ing or remunerating a person who is the subject of that order. |
|
| |
| | |
| Schedule 16, page 275, line 30, leave out ‘his practice as a’ and insert ‘the practice |
|
| |
| |
| | Members’ explanatory statement
|
|
| | This amendment, together with amendment 95, allows the Tribunal to make an order, on one or |
|
| | more of the grounds set out in subsection (1), prohibiting an employee of a solicitor from employ |
|
| | ing or remunerating a person who is the subject of that order. |
|
| |
| | |
| Schedule 16, page 275, line 47, at end insert— |
|
| | ‘() | 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 of the Legal Services Act 2007 (see |
|
| | sections 72 and 109 of that Act).’. |
|
| |
| | Members’ explanatory statement
|
|
| | This amendment inserts a definition of “interest in the body”. The definition refers to the definition |
|
| | of interest in a body in Clause 72 of the Bill. |
|
| |
| | |
| Schedule 16, page 277, line 2, after ‘solicitor’, insert ‘or any employee of the |
|
| solicitor who is an authorised person’.
|
|
| |
| | Members’ explanatory statement
|
|
| | This amendment is consequential upon amendment 85, which inserted a reference to employees |
|
| | into section 56 of the Solicitors Act 1974. |
|
| |
| | |
| Schedule 16, page 277, line 23, at end insert— |
|
| | ‘(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.’.
|
|
| | |
| | Members’ explanatory statement
|
|
| | This amendment prohibits provision in a contentious business agreement relieving a recognised |
|
| | body’s manager of responsibility. |
|
|
|
| |
| |
|
| |
| | |
| Schedule 16, page 280, line 35, leave out ‘or employee’.
|
|
| |
| | Members’ explanatory statement
|
|
| | This amendment is consequential upon amendment 92. |
|
| |
| | |
| Schedule 16, page 280, line 37, leave out ‘or employee’.
|
|
| |
| | Members’ explanatory statement
|
|
| | This amendment is consequential upon amendment 92. |
|
| |
| | |
| Schedule 16, page 281, line 18, after ‘etc)’, insert ‘— |
|
| | (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.”, and |
|
| | |
| |
| | Members’ explanatory statement
|
|
| | This amendment provides that not only a “communication”, but also “a document, material or in |
|
| | formation”, is privileged in like manner as if the recognised body had been acting as the client’s |
|
| | solicitor. It also deletes the reference to “legal proceedings”. These changes reflect developments |
|
| | in the common law of legal professional privilege. |
|
| |
| |
| | |
| Schedule 17, page 295, line 2, leave out ‘of the persons within subsection (5)’ and |
|
| insert ‘director of the body’. |
|
| |
| | Members’ explanatory statement
|
|
| | This amendment adjusts the management and control condition in sub-paragraph (4) to provide |
|
| | that at least one of the directors must be a licensed conveyancer. See also amendment 199. |
|
| |
| | |
| Schedule 17, page 295, leave out lines 4 to 6. |
|
| |
| | Members’ explanatory statement
|
|
| | This amendment is related to amendment 198, which adjusts the management and control condi |
|
| | tion such that sub-paragraph (5) is no longer necessary. |
|
|
|
| |
| |
|
| |
| | |
| Schedule 17, page 295, line 17, after ‘managers’, insert ‘or employees’. |
|
| |
| | Members’ explanatory statement
|
|
| | This amendment alters the definition of “relevant legal services” to refer to employees who are |
|
| | authorised persons, rather than just managers who are authorised persons. |
|
| |
| | |
| Schedule 17, page 295, line 23, leave out ‘in shares’. |
|
| |
| | Members’ explanatory statement
|
|
| | This amendment is related to amendment 111. It adjusts the meaning of interest in a recognised |
|
| | body to refer to the definition of interest in a body in Clause 72 of the Bill, rather than the former |
|
| | “interest in shares” in a body. |
|
| |
| | |
| Schedule 17, page 295, line 26, leave out from beginning to ‘does’ in line 28 and |
|
| |
| | ‘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. |
|
| | |
| |
| | Members’ explanatory statement
|
|
| | This amendment provides that not only a “communication”, but also “a document, material or in |
|
| | formation”, is privileged in like manner as if the persons had been acting as the client’s solicitor. |
|
| | It also deletes the reference to “legal proceedings”. These changes reflect developments in the |
|
| | common law of legal professional privilege. |
|
| |
| |
| | |
| Clause 191, page 103, line 19, leave out from ‘applies’ to end of line 20 and insert |
|
| ‘where an individual (“P”) who is not a barrister or solicitor—’. |
|
| |
| | Members’ explanatory statement
|
|
| | This amendment is related to amendment 23. Together these amendments provide that not only a |
|
| | “communication”, but also “a document, material or information” is privileged in like manner as |
|
| | if the individual in subsection (1) had been acting as P’s solicitor. This reflects developments in |
|
| | the common law of legal professional privilege. |
|
|