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| Schedule 16, page 237, line 33, at end insert ‘, and |
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| | (c) | after “solicitor” (in both places) insert “or any of his employees”.’. |
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| | Members’ explanatory statement
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| | This amendment allows the Law Society to disclose a report or information about a solicitor’s ac |
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| | counts for use in investigating the possible commission of an offence by the solicitor’s employees. |
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| Schedule 16, page 239, line 7, at end insert— |
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| | | ‘After section 34 insert— |
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| | 34A | Employees of solicitors |
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| | (1) | Rules made by the Society may provide for any rules made under |
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| | section 31, 32, 33A or 34 to have effect in relation to employees of |
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| | solicitors with such additions, omissions or other modifications as |
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| | appear to the Society to be necessary or expedient. |
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| | (2) | If any employee of a solicitor fails to comply with rules made under |
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| | section 31 or 32, as they have effect in relation to the employee by |
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| | virtue of subsection (1), any person may make a complaint in respect |
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| | of that failure to the Tribunal. |
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| | (3) | If any employee of a solicitor fails to comply with rules made under |
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| | section 34, as they have effect in relation to the employee by virtue of |
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| | subsection (1), a complaint in respect of that failure may be made to |
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| | the Tribunal by or on behalf of the Society. |
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| | 34B | Employees of solicitors: accounts rules etc |
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| | (1) | Where rules made under section 32(1) have effect in relation to |
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| | employees of solicitors by virtue of section 34A(1), section 85 applies |
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| | in relation to an employee to whom the rules have effect who keeps an |
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| | account with a bank or building society in pursuance of such rules as |
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| | it applies in relation to a solicitor who keeps such an account in |
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| | pursuance of rules under section 32. |
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| | (2) | Subsection (3) applies where rules made under section 32— |
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| | (a) | contain any such provision as is referred to in section 33(1), |
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| | (b) | have effect in relation to employees of solicitors by virtue of |
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| | (3) | Except as provided by the rules, an employee to whom the rules are |
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| | applied is not liable to account to any client, other person or trust for |
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| | interest received by the employee on money held at a bank or building |
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| | society in an account which is for money received or held for, or on |
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| | (a) | clients of the solicitor, other persons or trusts, generally, or |
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| | (b) | that client, person or trust, separately. |
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| | (4) | Subsection (5) applies where rules made under section 33A(1) have |
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| | effect in relation to employees of solicitors by virtue of section |
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| | (5) | The Society may disclose a report on or information about the |
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| | accounts of any employee of a solicitor obtained in pursuance of such |
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| | (a) | in investigating the possible commission of an offence by the |
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| | solicitor or any employees of the solicitor, and |
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| | (b) | in connection with any prosecution of the solicitor or any |
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| | employees of the solicitor consequent on the investigation. |
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| | (6) | Where rules made under section 34 have effect in relation to |
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| | employees of solicitors by virtue of subsection (1), section 34(9) and |
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| | (10) apply in relation to such an employee as they apply in relation to |
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| | Members’ explanatory statement
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| | This amendment gives the Law Society certain rule-making powers in relation to employees of sole |
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| | solicitors; adapts certain accounts rules provisions in relation to such employees; provides for |
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| | complaints to the Tribunal for certain breaches of these rules; and provides for disclosure of em |
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| | ployees’ accounts information in certain circumstances. |
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| Schedule 16, page 242, line 45, at end insert— |
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| | ‘(ia) | no employee of a solicitor shall employ or |
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| | remunerate, in connection with the solicitor’s |
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| | practice, the person with respect to whom the order is |
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| | Members’ explanatory statement
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| | This amendment allows the Law Society or the Tribunal to make an order, on one or more of the |
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| | grounds set out in subsection (1), prohibiting an employee of a solicitor from employing or remu |
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| | nerating a person who is the subject of that order. |
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| Schedule 16, page 243, line 45, leave out ‘in shares’. |
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| | Members’ explanatory statement
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| | This amendment is related to amendment 111. It adjusts the definition of interest in a recognised |
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| | body to refer to the definition of interest in a body in Clause 72 of the Bill, rather than the former |
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| | “interest in shares” in a body. |
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| Schedule 16, page 244, line 6, after ‘solicitor’, insert ‘, or an employee of a |
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| | Members’ explanatory statement
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| | This amendment is related to amendment 65. As a result of this change a person commits an of |
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| | fence if he seeks or accepts employment or remuneration from not only a solicitor, but also an em |
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| | ployee of a solicitor, without previously informing the solicitor or employee (see amendment 67) |
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| Schedule 16, page 244, line 8, after ‘solicitor’, insert ‘or employee’.
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| | Members’ explanatory statement
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| | This amendment is consequential on amendment 66. |
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| Schedule 16, page 244, line 38, leave out ‘in shares’. |
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| | Members’ explanatory statement
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| | This amendment is related to amendment 111. It adjusts the definition of interest in a recognised |
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| | body to refer to the definition of interest in a body in Clause 72 of the Bill, rather than the former |
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| | “interest in shares” in a body. |
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| Schedule 16, page 245, line 5, leave out ‘in shares’. |
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| | Members’ explanatory statement
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| | This amendment is related to amendment 111. It provides that section 44B applies to persons with |
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| | an interest in a recognised body, rather than persons with an interest in shares in a recognised |
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| | body. See also amendment 188. |
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| Schedule 16, page 245, line 11, after ‘solicitor’, insert ‘or an employee of a |
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| | Members’ explanatory statement
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| | This amendment allows the Law Society to give notice under section 44B for the purpose of ascer |
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| | taining whether employees of sole solicitors have failed to comply with requirements imposed by |
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| | or by virtue of the Solicitors Act 1974 or rules by the Law Society. |
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| Schedule 16, page 245, line 38, after ‘purpose’, insert ‘— |
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| | Members’ explanatory statement
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| | This is a paving amendment for amendment 70. |
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| Schedule 16, page 245, line 49, at end insert ‘, and |
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| | (b) | the reference to the solicitor or his personal representative in paragraph |
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| | 13 of that Schedule is to be construed as a reference to the person to |
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| | whom the notice was given under this section.”’.
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| | |
| | Members’ explanatory statement
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| | This amendment ensures that paragraph 13 of Schedule 1 to the Solicitors Act 1974 (payment of |
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| | Law Society’s costs) is applied with modifications for the purposes of enforcing the Law Society’s |
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| Schedule 16, page 246, line 15, leave out ‘reference’ and insert ‘references’.
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| | Members’ explanatory statement
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| | This amendment, combined with amendment 72, ensures that paragraph 9(6) of Schedule 1 to the |
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| | Solicitors Act 1974 (powers of entry) applies with modifications for the purposes of enforcing the |
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| | Law Society’s information powers. The modification became necessary because paragraph 9 was |
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| | amended in the House of Lords (see paragraph 72(9)(g) of Schedule 16). |
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| Schedule 16, page 246, line 15, after ‘9(5)’, insert ‘and (6)’.
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| | Members’ explanatory statement
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| | See explanatory statement for amendment 71. |
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| Schedule 16, page 246, line 22, at end insert— |
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| | ‘(7A) | Where powers conferred by Part 2 of Schedule 1 to the 1974 Act are exercisable |
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| | in relation to a person within paragraph (a), (b), (c) or (d) of subsection (2), they |
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| | continue to be so exercisable after the person has ceased to be a person within the |
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| | Members’ explanatory statement
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| | This amendment ensures that if a person to whom a notice requiring information is given ceases |
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| | after the notice is given to be a solicitor, solicitor’s employee, recognised body or employee or |
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| | manager of, or person with an interest in, a recognised body, the enforcement powers will none |
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| | theless remain available. |
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| Schedule 16, page 246, line 28, leave out ‘in shares’. |
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| |
| | Members’ explanatory statement
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| | This amendment is related to amendments 111 and 187. It provides that an interest in a recognised |
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| | body (see amendment 187) has the same meaning as interest in a body in Clause 72 of the Bill. |
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| Schedule 16, page 246, line 41, after ‘purpose’, insert ‘— |
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| | Members’ explanatory statement
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| | This is a paving amendment for amendment 75. |
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| |
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| Schedule 16, page 247, line 2, at end insert ‘, and |
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| | (b) | the reference to the solicitor or his personal representative in |
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| | paragraph 13 of that Schedule is to be construed as a reference to the |
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| | person to whom the notice was given under this section.”’. |
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| |
| |
| | Members’ explanatory statement
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|
| | This amendment ensures that paragraph 13 of Schedule 1 to the Solicitors Act 1974 (payment of |
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| | Law Society’s costs) is applied with modifications for the purposes of enforcing the Law Society’s |
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| | |
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| Schedule 16, page 247, line 36, at end insert ‘, and |
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| | (c) | the reference to the solicitor or his personal representative in |
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| | paragraph 13 of that Schedule is to be construed as a reference to the |
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| | person to whom the notice was given under this section.’. |
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| |
| |
| | Members’ explanatory statement
|
|
| | This amendment ensures that paragraph 13 of Schedule 1 to the Solicitors Act 1974 (payment of |
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| | Law Society’s costs) is applied with modifications for the purposes of enforcing the Law Society’s |
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| | |
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| Schedule 16, page 248, line 39, at end insert— |
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| | ‘(5) | This section (other than subsection (2)(a)) applies in relation to an |
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| | employee of a solicitor as it applies in relation to a solicitor.’. |
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| |
| |
| | Members’ explanatory statement
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| | This amendment is related to amendment 68. It enables the Law Society to charge the costs of an |
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| | investigation into non-compliance with statutory requirements or rules to an employee of a sole |
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| | solicitor who is the subject of such an investigation. |
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| Schedule 16, page 248, line 39, at end insert— |
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| | | ‘After that section insert— |
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|