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50 | Policy statements: procedure |
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(1) | Before issuing a statement under section 49, the Board must publish a draft of |
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(2) | The draft must be accompanied by a notice which states that representations |
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about the proposals may be made to the Board within a specified period. |
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(3) | Before issuing the statement, the Board must have regard to any |
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representations duly made. |
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(4) | If the statement differs from the draft published under subsection (1) in a way |
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which is, in the opinion of the Board, material, the Board must publish details |
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(5) | The Board may make a reasonable charge for providing a person with a copy |
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of a draft published under subsection (1). |
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51 | Control of practising fees charged by approved regulators |
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(1) | In this section “practising fee”, in relation to an approved regulator, means a |
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fee payable by a person under the approved regulator’s regulatory |
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arrangements in circumstances where the payment of the fee is a condition |
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which must be satisfied for that person to be authorised by the approved |
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regulator to carry on one or more activities which are reserved legal activities. |
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(2) | An approved regulator may only apply amounts raised by practising fees for |
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one or more of the permitted purposes. |
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(3) | The Board must make rules specifying the permitted purposes. |
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(4) | Those rules must, in particular, provide that the following are permitted |
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(a) | the regulation, accreditation, education and training of relevant |
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authorised persons and those wishing to become such persons, |
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(i) | the maintaining and raising of their professional standards, and |
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(ii) | the giving of practical support, and advice about practice |
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management, in relation to practices carried on by such |
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(b) | the payment of a levy imposed on the approved regulator under |
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(c) | the participation by the approved regulator in law reform and the |
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(d) | the provision by relevant authorised persons, and those wishing to |
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become relevant authorised persons, of reserved legal services, |
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immigration advice or immigration services to the public free of charge; |
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(e) | the promotion of the protection by law of human rights and |
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(f) | the promotion of relations between the approved regulator and |
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relevant national or international bodies, governments or the legal |
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professions of other jurisdictions. |
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(5) | A practising fee is payable under the regulatory arrangements of an approved |
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regulator only if the Board has approved the level of the fee. |
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(6) | The Board must make rules containing provision— |
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(a) | about the form and manner in which applications for approval for the |
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purposes of subsection (5) must be made and the material which must |
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accompany such applications; |
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(b) | requiring applicants to have consulted such persons as may be |
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prescribed by the rules in such manner as may be so prescribed before |
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such an application is made; |
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(c) | about the procedures and criteria that will be applied by the Board |
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when determining whether to approve the level of a fee for the |
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purposes of subsection (5). |
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(7) | Rules under subsection (6)(c) must, in particular, contain— |
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(a) | provision requiring the Board, before it determines an application for |
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approval of the level of a fee, to consult such persons as it considers |
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appropriate about the impact of the proposed fee on persons providing |
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non-commercial legal services; |
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(b) | provision about the time limit for the determining of an application. |
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(8) | In this section “relevant authorised persons”, in relation to an approved |
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regulator, means persons who are authorised by the approved regulator to |
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carry on activities which are reserved legal activities. |
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52 | Regulatory conflict with approved regulators |
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(1) | The regulatory arrangements of an approved regulator must make such |
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provision as is reasonably practicable to prevent regulatory conflicts. |
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(2) | For the purposes of this section and section 53, a regulatory conflict is a conflict |
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(a) | a requirement of the approved regulator’s regulatory arrangements, |
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(b) | a requirement of the regulatory arrangements of another approved |
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(3) | Subsection (4) applies where a body is authorised by an approved regulator |
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(“the entity regulator”) to carry on an activity which is a reserved legal activity. |
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(4) | If a conflict arises between— |
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(a) | a requirement of the regulatory arrangements of the entity regulator, in |
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relation to the body authorised by the entity regulator or an employee |
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or manager of the body (“an entity requirement”), and |
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(b) | a requirement of the regulatory arrangements of another approved |
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regulator in relation to an employee or manager of the body who is |
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authorised by it to carry on a reserved legal activity (“an individual |
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| the entity requirement prevails over the individual requirement. |
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53 | Modification of provision made about regulatory conflict |
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(1) | An approved regulator (“the applicant regulator”) may make an application |
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under this section if it considers that the regulatory arrangements of another |
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approved regulator (“the conflicting regulator”) do not make appropriate |
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provision to prevent a regulatory conflict with the applicant regulator. |
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(2) | An application under this section is an application made to the Board for the |
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Board to exercise its powers under section 32 to direct the conflicting |
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(a) | to take steps to modify, in such manner as may be specified in the |
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direction, the provision made by its regulatory arrangements to |
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prevent a regulatory conflict with the applicant regulator, or |
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(b) | if its regulatory arrangements do not make any such provision, to make |
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such provision as may be specified in the direction to prevent such a |
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(3) | An approved regulator must consider any request made by an affected |
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(a) | for the approved regulator to reconsider the provision made by its |
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regulatory arrangements to prevent a regulatory conflict with another |
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(b) | for the approved regulator to make an application under this section. |
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(4) | An “affected person”, in relation to an approved regulator, means— |
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(a) | a person authorised by the approved regulator to carry on a reserved |
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(b) | an employee or manager of such a person. |
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(5) | Where an application is made under this section, the Board— |
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(a) | must give the applicant regulator and the conflicting regulator an |
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opportunity to make representations, and |
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(b) | may consult any persons it considers appropriate. |
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(6) | The Board must decide whether or not to give a warning notice in response to |
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(7) | The Board must make that decision before the end of the period of 6 months |
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beginning with the day on which the application is received by it. |
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(8) | The Board must give notice of its decision, and the reasons for it, to the |
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applicant regulator and the conflicting regulator. |
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(9) | For the purposes of this section “warning notice” means a notice given under |
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paragraph 2(1) of Schedule 7 (warning of proposed direction under section 32). |
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54 | Regulatory conflict with other regulatory regimes |
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(1) | The regulatory arrangements of an approved regulator must make such |
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provision as is reasonably practicable and, in all the circumstances, |
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(a) | to prevent external regulatory conflicts, |
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(b) | to provide for the resolution of any external regulatory conflicts which |
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(c) | to prevent unnecessary duplication of regulatory provisions made by |
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an external regulatory body. |
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(2) | For the purposes of this section, an external regulatory conflict is a conflict |
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(a) | a requirement of the regulatory arrangements of the approved |
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(b) | a requirement of any regulatory provision made by an external |
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(3) | For this purpose “external regulatory body” means a person (other than an |
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approved regulator) who exercises regulatory functions in relation to a |
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particular description of persons with a view to ensuring compliance with |
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rules (whether statutory or non-statutory) by those persons. |
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(4) | Regulatory arrangements made for the purposes of subsection (1)(b) may, with |
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the consent of the Board, provide for the Board to exercise functions in |
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connection with the resolution of conflicts. |
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55 | Provision of information to the Board |
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(1) | The Board may, by notice, require an approved regulator— |
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(a) | to provide any information, or information of a description, specified in |
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(b) | to produce documents, or documents of a description, specified in the |
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(2) | A notice under subsection (1)— |
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(a) | may specify the manner and form in which any information is to be |
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(b) | must specify the period within which any information is to be provided |
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or document is to be produced; |
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(c) | may require any information to be provided, or document to be |
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produced, to the Board or to a person specified in the notice. |
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(3) | The Board may, by notice, require a person representing the approved |
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regulator to attend at a time and place specified in the notice to provide an |
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explanation of any information provided or document produced under this |
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(4) | The Board may pay to any person such reasonable costs as may be incurred by |
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that person in connection with— |
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(a) | the provision of any information, or the production of any document, |
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by that person pursuant to a notice under subsection (1), or |
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(b) | that person’s compliance with a requirement imposed under |
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(5) | The Board, or a person specified under subsection (2)(c), may take copies of or |
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extracts from a document produced pursuant to a notice under subsection (1). |
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(6) | For the purposes of this section and section 56, references to an approved |
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regulator include a body which was, but is no longer, an approved regulator. |
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