|
| |
|
(b) | publish that advice together with any written representations duly |
| |
made by the licensing authority under paragraph 18 and the report |
| |
(if any) prepared under that paragraph. |
| |
(2) | The licensing authority and any body within sub-paragraph (3) may make |
| |
| 5 |
(a) | written representations, and |
| |
(b) | if authorised to do so by the Board, oral representations, |
| |
| |
(3) | A body is within this sub-paragraph if it represents licensed bodies |
| |
authorised by the licensing authority to carry on activities which are |
| 10 |
reserved legal activities. |
| |
(4) | The Board may allow any other person to make written or oral |
| |
representations about the advice. |
| |
(5) | The Board may make rules governing the making to the Board of written or |
| |
| 15 |
(6) | Representations under this paragraph must be made within— |
| |
(a) | the period of 28 days beginning with the day on which the |
| |
representations and advice are published under sub-paragraph |
| |
| |
(b) | such longer period as the Board may specify in a particular case. |
| 20 |
(7) | Where oral representations are made, the Board must prepare a report of |
| |
| |
(8) | Before preparing that report, the Board must— |
| |
(a) | give each person who made oral representations a reasonable |
| |
opportunity to comment on a draft of the report of those |
| 25 |
| |
(b) | have regard to any comments duly made. |
| |
(9) | The Board must, as soon as reasonably practicable after the end of the period |
| |
within which representations under this paragraph may be made, publish |
| |
any written representations duly made and the report (if any) prepared |
| 30 |
| |
Publication of advice etc |
| |
26 (1) | Nothing in paragraph 25 operates— |
| |
(a) | to prevent a person who gives advice under paragraphs 20 to 23 from |
| |
publishing that advice, or |
| 35 |
(b) | to prevent a person who makes representations under paragraph 18 |
| |
or 25 from publishing those representations. |
| |
(2) | A person (“the publisher”) publishing any such material (whether under |
| |
paragraph 25 or otherwise) must, so far as practicable, exclude any matter |
| |
which relates to the private affairs of a particular individual the publication |
| 40 |
of which, in the opinion of the publisher, would or might seriously and |
| |
prejudicially affect the interests of that individual. |
| |
| |
27 (1) | After considering— |
| |
|
| |
|
| |
|
(a) | any advice duly given under paragraphs 20 to 23, |
| |
(b) | any representations duly made under paragraph 18 or 25, and |
| |
(c) | any other information which the Board considers relevant, |
| |
| the Board must decide whether to make the proposed recommendation. |
| |
(2) | The Board must give notice of its decision (“the decision notice”) to the |
| 5 |
licensing authority and to the Lord Chancellor. |
| |
(3) | If the Board decides to make the proposed recommendation, the decision |
| |
| |
(a) | contain the recommendation, and |
| |
(b) | state why the Board is satisfied of the matters mentioned in section |
| 10 |
| |
(4) | The Board must publish the decision notice. |
| |
| |
| |
| |
| 15 |
| |
Applications for licences |
| |
1 (1) | Licensing rules must make provision about the form and manner in which |
| |
applications for licences are to be made, and the fee (if any) which is to |
| |
accompany an application. |
| 20 |
(2) | They may make provision about— |
| |
(a) | the information which applications must contain, and |
| |
(b) | the documents which must accompany applications. |
| |
Determination of applications |
| |
2 (1) | Licensing rules must make the following provision about the determination |
| 25 |
of applications for licences. |
| |
(2) | Before the end of the decision period the licensing authority must— |
| |
(a) | decide the application, |
| |
(b) | notify the applicant of its decision, and |
| |
(c) | if it decides to refuse the application, set out in the notice the reasons |
| 30 |
| |
(3) | The decision period is the period of 6 months beginning with the day on |
| |
which the application is made to the licensing authority in accordance with |
| |
| |
(4) | The licensing authority may, on one or more occasions, give the applicant a |
| 35 |
notice (an “extension notice”) extending the decision period by a 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 9 months. |
| |
(6) | An extension notice must set out the reasons for the extension. |
| |
| 5 |
3 | Licensing rules must make provision for review by the licensing authority |
| |
| |
(a) | a decision to refuse an application for a licence; |
| |
(b) | if a licence is granted, the terms of the licence. |
| |
Period of licence and renewal |
| 10 |
4 (1) | The licensing rules may make provision— |
| |
(a) | limiting the period for which any licence is (subject to the provision |
| |
of this Part of this Schedule and of the licensing rules) to remain in |
| |
| |
(b) | about the renewal of licences, including provision about the form |
| 15 |
and manner in which an application for the renewal is to be made, |
| |
and the fee (if any) which is to accompany an application. |
| |
(2) | The licensing rules may make provision about— |
| |
(a) | the information which applications for renewal must contain, and |
| |
(b) | the documents which must accompany applications. |
| 20 |
(3) | Licensing rules must provide that a licence issued to a licensed body by the |
| |
licensing authority ceases to have effect if the licensed body is issued with a |
| |
licence by another licensing authority. |
| |
| |
5 (1) | Licensing rules may make provision about the effect, on a licence issued to |
| 25 |
a partnership or other unincorporated body (“the existing body”), of any |
| |
change in the membership of the existing body. |
| |
(2) | The provision which may be made includes provision for the existing body’s |
| |
licence to be transferred where the existing body ceases to exist and another |
| |
body succeeds to the whole or substantially the whole of its business. |
| 30 |
| |
6 (1) | Licensing rules must make provision about the form and manner in which |
| |
applications are to be made for modification of the terms of a licence under |
| |
section 86, and the fee (if any) which is to accompany the application. |
| |
(2) | They may make provision as to the circumstances in which the licensing |
| 35 |
authority may modify the terms of a licence under section 86 without an |
| |
| |
(3) | They must make provision for review by the licensing authority of— |
| |
(a) | a decision to refuse an application for modification of the terms of a |
| |
| 40 |
(b) | if the licensing authority makes licensing rules under sub-paragraph |
| |
(2), a decision under those rules to modify the terms of a licence. |
| |
|
| |
|
| |
|
Modifications under section 106 or 107 |
| |
7 (1) | Licensing rules must make provision about the form and manner in which |
| |
applications are to be made under section 106 or 107, and the fee (if any) |
| |
which is to accompany the application. |
| |
(2) | They may make provision as to the matters to which the licensing authority |
| 5 |
must have regard in determining whether to make an order under section |
| |
106, or to revoke or modify such an order. |
| |
(3) | They must make provision for review by the licensing authority of— |
| |
(a) | a decision to refuse an application under those sections; |
| |
(b) | the terms of any order made under section 106 or any decision under |
| 10 |
| |
8 (1) | Licensing rules must make the following provision in relation to licensed |
| |
bodies to which section 106 applies (“special bodies”), and in relation to |
| |
which an order under section 106 has been made. |
| |
(2) | If a special body becomes a special body of a different kind, it must notify |
| 15 |
the licensing authority of that fact before the end of the relevant period. |
| |
(3) | If a special body ceases to be a special body, it must notify the licensing |
| |
authority of that fact before the end of the relevant period. |
| |
(4) | The relevant period is the period of 30 days (or such longer period as may be |
| |
specified in licensing rules) beginning with the day on which the body first |
| 20 |
became a special body of a different kind, or ceased to be a special body. |
| |
(5) | Licensing rules may make provision requiring a special body to provide the |
| |
licensing authority with such information relevant to the matters mentioned |
| |
in section 106(5) as may be specified in the licensing rules. |
| |
| 25 |
| |
| |
9 (1) | Licensing rules must require a licensed body to comply with the following |
| |
requirement at all times. |
| |
(2) | At least one of the licensed body’s managers must be a person (other than a |
| 30 |
licensed body) who is an authorised person in relation to a licensed activity. |
| |
(3) | No manager of the licensed body may be a person who under this Part of this |
| |
Act is disqualified from acting as a manager of a licensed body. |
| |
10 (1) | Licensing rules may make further provision as to— |
| |
(a) | the managers of licensed bodies, and |
| 35 |
(b) | the arrangements for the management by them of the licensed body |
| |
| |
(2) | They must not require all the managers of a licensed body to be authorised |
| |
persons in relation to a reserved legal activity. |
| |
|
| |
|
| |
|
| |
11 (1) | Licensing rules must include the following requirements. |
| |
(2) | A licensed body must at all times have an individual— |
| |
(a) | who is designated as Head of Legal Practice, and |
| |
(b) | whose designation is approved by the licensing authority. |
| 5 |
(3) | A designation of an individual as Head of Legal Practice has effect only |
| |
| |
(a) | consents to the designation, |
| |
(b) | is an authorised person in relation to one or more of the licensed |
| |
| 10 |
(c) | is not under this Part of this Act disqualified from acting as Head of |
| |
Legal Practice of a licensed body. |
| |
(4) | The licensing authority may approve a person’s designation only if it is |
| |
satisfied that the person is a fit and proper person to carry out the duties |
| |
imposed by section 91 in relation to that body. |
| 15 |
(5) | The licensing authority may approve a person’s designation in the course of |
| |
determining an application for a licence under section 84. |
| |
(6) | If the licensing authority is satisfied that the person designated as a licensed |
| |
body’s Head of Legal Practice has breached a duty imposed by section 91, it |
| |
may withdraw its approval of that person’s designation. |
| 20 |
12 (1) | Licensing rules must make provision— |
| |
(a) | about the procedures and criteria that will be applied by the |
| |
licensing authority when determining under paragraph 11(4) |
| |
whether an individual is a fit and proper person; |
| |
(b) | for a review by the licensing authority of a determination under that |
| 25 |
paragraph that an individual is not a fit and proper person; |
| |
(c) | about the procedures and criteria that will be applied by the |
| |
licensing authority in determining under paragraph 11(6) whether to |
| |
| |
(d) | for a review by the licensing authority of a determination under that |
| 30 |
paragraph to withdraw its approval; |
| |
(e) | about the procedure which is to apply where a licensed body ceases |
| |
to comply with the requirement imposed by virtue of paragraph |
| |
| |
(2) | Rules made in accordance with sub-paragraph (1)(e) may in particular |
| 35 |
provide that the requirement imposed by virtue of paragraph 11(2) is |
| |
suspended until such time as may be specified by the licensing authority if |
| |
the licensed body complies with such other requirements as may be |
| |
| |
Head of Finance and Administration |
| 40 |
13 (1) | Licensing rules must include the following requirements. |
| |
(2) | A licensed body must at all times have an individual— |
| |
(a) | who is designated as Head of Finance and Administration, and |
| |
(b) | whose designation is approved by the licensing authority. |
| |
|
| |
|
| |
|
(3) | A designation of an individual as Head of Finance and Administration has |
| |
effect only while the individual— |
| |
(a) | consents to the designation, and |
| |
(b) | is not under this Part of this Act disqualified from acting as Head of |
| |
Finance and Administration of a licensed body. |
| 5 |
(4) | The licensing authority may approve a person’s designation only if it is |
| |
satisfied that the person is a fit and proper person to carry out the duties |
| |
imposed by section 92 in relation to that body. |
| |
(5) | The licensing authority may approve a person’s designation in the course of |
| |
determining an application for a licence under section 84. |
| 10 |
(6) | If the licensing authority is satisfied that the person designated as a licensed |
| |
body’s Head of Finance and Administration has breached a duty imposed |
| |
by section 92, it may withdraw its approval of that person’s designation. |
| |
14 (1) | Licensing rules must make provision— |
| |
(a) | about the procedures and criteria that will be applied by the |
| 15 |
licensing authority when determining under paragraph 13(4) |
| |
whether an individual is a fit and proper person; |
| |
(b) | for a review by the licensing authority of a determination under that |
| |
paragraph that an individual is not a fit and proper person; |
| |
(c) | about the procedures and criteria that will be applied by the |
| 20 |
licensing authority in determining under paragraph 13(6) whether to |
| |
| |
(d) | for a review by the licensing authority of a determination under that |
| |
paragraph to withdraw its approval; |
| |
(e) | about the procedure which is to apply where a licensed body ceases |
| 25 |
to comply with the requirement imposed by virtue of paragraph |
| |
| |
(2) | The rules made in accordance with sub-paragraph (1)(e) may in particular |
| |
provide that the requirement imposed by virtue of sub-paragraph 13(2) is |
| |
suspended until such time as may be specified by the licensing authority if |
| 30 |
the licensed body complies with such other requirements as may be |
| |
| |
| |
| |
| 35 |
15 (1) | Licensing rules must require a licensed body, other than one to which sub- |
| |
paragraph (3) applies, at all times to have a practising address in England |
| |
| |
(2) | For this purpose “practising address”, in relation to a licensed body, means |
| |
an address from which the body provides services which consist of or |
| 40 |
include the carrying on of reserved legal activities. |
| |
(3) | This sub-paragraph applies to a licensed body— |
| |
(a) | which is a company or limited liability partnership, and |
| |
(b) | the registered office of which is situated in England and Wales (or in |
| |
| 45 |
|
| |
|
| |
|
| |
16 | Licensing rules must provide that a licensed body may carry on a licensed |
| |
activity only through a person who is entitled to carry on the activity. |
| |
Compliance with regulatory arrangements etc |
| |
17 (1) | Licensing rules must include the following provision. |
| 5 |
(2) | A licensed body must at all times have suitable arrangements in place to |
| |
| |
(a) | it, and its managers and employees, comply with the duties imposed |
| |
| |
(b) | it, and any person to whom sub-paragraph (3) applies, maintain the |
| 10 |
professional principles set out in section 1(3). |
| |
(3) | This sub-paragraph applies to any manager or employee of the licensed |
| |
body who is an authorised person in relation to an activity which is a |
| |
| |
(4) | A licensed body must at all times have suitable arrangements in place to |
| 15 |
ensure that non-authorised persons subject to the duty imposed by section |
| |
90 in relation to the licensed body comply with that duty. |
| |
(5) | Licensing rules may make provision as to the arrangements which are |
| |
suitable for the purposes of rules made under sub-paragraphs (2) and (4). |
| |
| 20 |
18 (1) | Licensing rules must include the following requirement. |
| |
(2) | A licensed body may not employ a person who under this Part of this Act is |
| |
disqualified from being an employee of a licensed body. |
| |
Indemnification arrangements and compensation arrangements |
| |
19 (1) | For the purpose of giving effect to indemnification arrangements and |
| 25 |
compensation arrangements, licensing rules may— |
| |
(a) | authorise or require the licensing authority to establish and maintain |
| |
| |
(b) | authorise or require the licensing authority to take out and maintain |
| |
insurance with authorised insurers; |
| 30 |
(c) | require licensed bodies or licensed bodies of any specific description |
| |
to take out and maintain insurance with authorised insurers. |
| |
(2) | In this paragraph “authorised insurer” has the same meaning as in section |
| |
| |
| 35 |
20 (1) | The licensing rules must make provision as to the treatment of money within |
| |
sub-paragraph (2), and the keeping of accounts in respect of such money. |
| |
(2) | The money referred to in sub-paragraph (1) is money (including money held |
| |
on trust) which is received, held or dealt with by the licensed body, its |
| |
managers and employees for clients or other persons. |
| 40 |
|
| |
|