|
| |
|
158 | Regulatory arrangements not prohibited by section 157 |
| |
(1) | Section 157 does not prohibit the regulatory arrangements of an approved |
| |
regulator from making provision requiring, or authorising the approved |
| |
regulator to require, a relevant authorised person— |
| |
(a) | to investigate whether there are any persons who may have a claim |
| 5 |
against the relevant authorised person in relation to a matter specified |
| |
by the approved regulator; |
| |
(b) | to provide the approved regulator with a report on the outcome of the |
| |
| |
(c) | to identify persons (“affected persons”) who may have such a claim; |
| 10 |
(d) | to notify affected persons that they may have such a claim; |
| |
(e) | to provide affected persons with information about the relevant |
| |
authorised person’s complaints procedures and the ombudsman |
| |
| |
(f) | to ensure that the relevant authorised person’s complaints procedures |
| 15 |
operate as if an affected person had made a complaint against the |
| |
relevant authorised person in respect of the act or omission to which the |
| |
| |
(2) | For the purposes of subsection (1) “claim”, in relation to a relevant authorised |
| |
person, means a claim for redress resulting from an act or omission of that |
| 20 |
| |
(3) | For the purposes of this section— |
| |
(a) | “relevant authorised person”, in relation to an approved regulator, |
| |
means a person authorised by that approved regulator to carry on an |
| |
activity which is a reserved legal activity, and |
| 25 |
(b) | a relevant authorised person’s complaints procedures are the |
| |
procedures established by that person, or which that person |
| |
participates in or is subject to, in accordance with regulatory |
| |
arrangements made in accordance with section 112. |
| |
(4) | This section applies in relation to the Board in its capacity as a licensing |
| 30 |
authority as it applies in relation to an approved regulator, and in relation to |
| |
the Board references to regulatory arrangements are to be read as references to |
| |
the Board’s licensing rules. |
| |
159 | Legal Services Complaints Commissioner and Legal Services Ombudsman |
| |
(1) | The offices of Legal Services Complaints Commissioner and Legal Services |
| 35 |
| |
| |
(a) | sections 51 and 52 of, and Schedule 8 to, the Access to Justice Act 1999 |
| |
| |
(b) | sections 21 to 26 of, and Schedule 3 to, the Courts and Legal Services |
| 40 |
| |
| |
|
| |
|
| |
|
| |
160 | Interpretation of Part 6 |
| |
| |
“complainant”, in relation to a complaint, means the person who makes |
| |
| 5 |
“relevant authorising body”, in relation to a person, means— |
| |
(a) | an approved regulator by which the person is authorised to |
| |
carry on an activity which is a reserved legal activity, or |
| |
(b) | where the person is authorised to carry on such an activity by |
| |
the Board in its capacity as a licensing authority, the Board; |
| 10 |
“respondent”, in relation to a complaint, is to be construed in accordance |
| |
with section 125 (except that, where scheme rules of the kind |
| |
mentioned in section 133(3)(c) have effect, references to the |
| |
“respondent” include a person treated as a co-respondent under those |
| |
| 15 |
Claims management services |
| |
161 | Extension of Part 6 to claims management services |
| |
(1) | For the purposes of this Part (and sections 1, 21 and 27 as they apply in relation |
| |
| |
(a) | the Claims Management Services Regulator is to be treated as an |
| 20 |
| |
(b) | regulated claims management services are to be treated as a reserved |
| |
| |
(c) | a person authorised by the Claims Management Services Regulator, |
| |
under Part 2 of the Compensation Act 2006 (c. 29), to provide regulated |
| 25 |
claims management services is to be treated as an authorised person in |
| |
relation to that activity; |
| |
(d) | the Claims Management Services Regulator is to be treated as a relevant |
| |
authorising body in relation to such a person; and |
| |
(e) | regulations under section 9 of, and the Schedule to, the Compensation |
| 30 |
Act 2006 (regulations about the functions of the Claims Management |
| |
Services Regulator etc) are to be treated as regulatory arrangements of |
| |
the Claims Management Services Regulator. |
| |
(2) | For the purposes of sections 112 and 145 (as extended by this section) a person |
| |
authorised by the Claims Management Services Regulator under Part 2 of the |
| 35 |
Compensation Act 2006 to provide regulated claims management services is to |
| |
be treated as a “relevant authorised person” in relation to the Regulator. |
| |
(3) | Section 9 of, and the Schedule to, the Compensation Act 2006 (regulations |
| |
about the functions of the Claims Management Regulator etc) are subject to any |
| |
requirements imposed by this Part in relation to the regulatory arrangements |
| 40 |
of the Claims Management Regulator. |
| |
| |
“Claims Management Services Regulator” means— |
| |
(a) | the person designated under section 5(1) of the Compensation |
| |
| 45 |
|
| |
|
| |
|
(b) | at a time when no person is so designated, the Board; |
| |
“regulated claims management services” has the same meaning as in Part |
| |
2 of the Compensation Act 2006 (c. 29). |
| |
| |
Further provisions relating to the Board and the OLC |
| 5 |
| |
| |
(1) | The Board may give guidance— |
| |
(a) | about the operation of this Act and of any order made under it; |
| |
(b) | about the operation of any rules made by the Board under this Act; |
| 10 |
(c) | about any matter relating to the Board’s functions; |
| |
(d) | for the purpose of meeting the regulatory objectives; |
| |
(e) | about the content of licensing rules; |
| |
(f) | about any other matters about which it appears to the Board to be |
| |
desirable to give guidance. |
| 15 |
(2) | Guidance under this section may consist of such information and advice as the |
| |
Board considers appropriate. |
| |
(3) | The Board may give financial or other assistance to persons giving information |
| |
or advice of a kind which the Board could give under this section. |
| |
| 20 |
(a) | publish its guidance, |
| |
(b) | offer copies of its published guidance for sale at a reasonable price, and |
| |
(c) | if it gives guidance in response to a request made by any person, make |
| |
a reasonable charge for that guidance. |
| |
(5) | When exercising its functions, the Board may have regard to the extent to |
| 25 |
which an approved regulator has complied with any guidance issued under |
| |
this section which is applicable to the approved regulator. |
| |
(6) | When exercising its functions— |
| |
(a) | in its capacity as an approved regulator by virtue of an order under |
| |
| 30 |
(b) | in its capacity as a licensing authority under Part 5, |
| |
| the Board must have regard to any guidance it has issued under this section. |
| |
| |
163 | Voluntary arrangements |
| |
(1) | The Board may enter into arrangements with any person under which the |
| 35 |
Board is to provide assistance for the purpose of improving standards of |
| |
service and promoting best practice in connection with the carrying on of any |
| |
| |
(2) | These arrangements may (among other things) provide for the Board to give |
| |
| 40 |
|
| |
|
| |
|
(a) | the best regulatory practice, or |
| |
(b) | the contents of codes of practice or other voluntary arrangements. |
| |
(3) | Arrangements under this section may include provision as to the terms on |
| |
which assistance is to be provided by the Board (including provision as to |
| |
| 5 |
(4) | Where the Board enters into arrangements under this section, it must publish |
| |
a statement giving details of the arrangements and explaining what they are |
| |
| |
164 | Power to establish voluntary scheme for resolving complaints |
| |
(1) | This section and section 166 provide for a scheme under which legal services |
| 10 |
complaints may be resolved quickly and with minimum formality by an |
| |
| |
(2) | The OLC may make rules (“voluntary scheme rules”) establishing such a |
| |
scheme (“the voluntary scheme”), but only in relation to such kinds of legal |
| |
services complaints as may be specified by order made by the Lord Chancellor |
| 15 |
for the purposes of this section. |
| |
(3) | An order under subsection (2) may in particular specify a kind of legal services |
| |
complaint by reference to the description of the complainant, of the |
| |
respondent, or of the legal services to which the complaint relates. |
| |
(4) | “Legal services complaint” means a complaint which relates to an act or |
| 20 |
omission of an eligible person (“the respondent”) in the course of that person |
| |
providing legal services. |
| |
(5) | For that purpose a person is eligible if at the time the act or omission took place |
| |
there was no activity in relation to which the person— |
| |
(a) | was an authorised person, or |
| 25 |
(b) | is to be regarded as having been such a person by virtue of section 129. |
| |
(6) | Under the voluntary scheme— |
| |
(a) | redress may be provided to the complainant, but |
| |
(b) | no disciplinary action may be taken against the respondent. |
| |
(7) | Voluntary scheme rules may confer functions on ombudsmen for the purposes |
| 30 |
| |
(8) | Section 131 applies for the purposes of the voluntary scheme as it applies for |
| |
the purposes of the ombudsman scheme. |
| |
(9) | Sections 155 and 156 apply in relation to voluntary scheme rules as they apply |
| |
in relation to scheme rules. |
| 35 |
| |
“legal services” means services provided by a person which consist of or |
| |
include legal activities carried on by, or on behalf of, that person; |
| |
“the voluntary scheme” and “voluntary scheme rules” have the meaning |
| |
| 40 |
|
| |
|