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| | Legal Services Bill [Lords], As Amended
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| | New Clauses RELATING TO PARTS 1 TO 4 |
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| | | Proportionate exercise of functions |
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| | To move the following Clause:— |
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| | | ‘(1) | In exercising its functions under sections 29 and 30, the Board shall pay particular |
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| | | regard to what is proportionate. |
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| | | (2) | Without prejudice to subsection (1), nothing in sections 29 or 30 shall exclude— |
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| | | (a) | the exercise of or involvement in regulatory and representative functions |
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| | | by the same persons or bodies within an approved regulator; |
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| | | (b) | the exercise of regulatory and representative functions from common |
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| | | Appeal against public censure |
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| | To move the following Clause:— |
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| | | ‘(1) | An approved regulator in respect of whom the Board decides to publish a |
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| | | statement under section 35 may appeal to the court on one or more of the appeal |
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| | | (2) | The appeal grounds are — |
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| | | (a) | that the decision was not within the power of the Board under section 35; |
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| | | (b) | that any of the requirements of section 36 have not been complied with |
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| | | in relation to the imposition of the penalty and the interests of the |
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| | | approved regulator have been substantially prejudiced by the non- |
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| | | (c) | that in all circumstances, the publication of a statement under section 35 |
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| | | is, or the terms of the statement published or to be published are (or |
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| | | would be), manifestly unreasonable or inappropriate; |
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| | | (d) | that the decision is unlawful on any ground that would give rise to a claim |
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| | | (3) | An appeal under subsection (1) must be made within the period of 42 days |
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| | | beginning with the day on which the notice was given to the approved regulator. |
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| | | (4) | Where an appeal is made before the expiry of the 7-day period the Board must not |
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| | | (unless the court otherwise orders) publish the statement until the appeal has been |
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| | | (5) | On an appeal under subsection (1), where the court considers it appropriate to do |
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| | | so in all the circumstances of the case and is satisfied of one or more of the appeal |
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| | | (a) | quash the decision to publish a statement, or |
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| | | (b) | vary the terms of the statement (and, where the statement has been |
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| | | published, direct the Board to publish to the same extent the statement as |
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| | | (6) | In this section “the court” means the High Court.’. |
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| | Page 2, line 9 [Clause 1], at end insert— |
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| | | ‘(ca) | that authorised persons should not act where there is a conflict between |
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| | | the interests of two or more of their clients, or between the authorised |
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| | | person and their client,’. |
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| | Page 2, line 27 [Clause 3], leave out ‘, so far as is reasonably practicable,’. |
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| | Page 2, line 28 [Clause 3], after ‘objectives’, insert— |
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| | | ‘(aa) | complies with the regulatory principles as set out in section 2 of the |
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| | | Legislative and Regulatory Reform Act 2006, and’. |
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| | Page 2, line 36 [Clause 3], at end insert— |
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| | | ‘(4) | In assessing what is proportionate in the regulation of approved regulators the |
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| | | Board shall have regard, inter alia, to— |
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| | | (a) | the regulator’s resources (including voluntary resources) and the effect |
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| | | on them of the Board’s acts; |
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| | | (b) | the effect on regulatory fees; |
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| | | (c) | the extent to which the Board’s acts might discourage entry to or |
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| | | retention in the regulated sector; |
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| | | (d) | the extent to which the number of persons regulated by a regulator might |
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| | | be reduced in consequence of the Board’s acts; |
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| | | (e) | the extent to which the regulator might be disadvantaged and another |
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| | | regulator might derive an advantage, in particular through the movement |
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| | | between regulators of regulated persons as a consequence of the Board’s |
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| | Page 2, line 36 [Clause 3], at end insert— |
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| | | ‘(4) | The role of the Board is to ensure that the approved regulators act in a way which |
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| | | is compatible with the regulatory objectives.’. |
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| | Page 2, line 36 [Clause 3], at end insert— |
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| | | ‘(4) | In considering what degree of protection may be appropriate for consumers, the |
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| | | Board must have regard to the differing degrees of experience and expertise that |
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| | | different consumers may have in relation to different kinds of regulated activity.’. |
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| | Page 3, line 33 [Clause 8], leave out subsection (2) and insert— |
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| | | ‘( ) | The Consumer Panel is to consist of such consumers, or persons representing the |
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| | | interests of consumers, as the Board may appoint with the approval of the Lord |
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| | Page 3, line 36 [Clause 8], at end insert— |
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| | | ‘( ) | The approval of the Lord Chancellor is required for the appointment of a person |
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| | | to be the chairman or to be another member of the Panel.’. |
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| | Page 4, line 25 [Clause 8], after ‘appointed’, insert ‘by the Board following public |
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| | advertisement and selection by the prevailing standards for selection of members of |
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| | Page 4, line 25 [Clause 8], leave out ‘on terms and conditions’ and insert ‘for a |
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| | fixed period, and on other terms and conditions,’. |
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| | Page 4, line 27 [Clause 8], at end insert— |
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| | | ‘( ) | But a person may be removed from office in accordance with those terms and |
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| | | conditions only with the approval of the Lord Chancellor. |
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| | | ( ) | A person who ceases to be chairman or another member of the Consumer Panel |
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| | Page 5, line 19 [Clause 11], at end insert— |
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| | | ‘(4) | It shall be the duty of the Board (subject to subsection (5))— |
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| | | (a) | to provide the Consumer Panel with all such information as, having |
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| | | regard, in particular, to the need to preserve commercial confidentiality, |
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| | | the Board considers appropriate to disclose to the Panel for the purpose |
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| | | of enabling the Panel to carry out their functions; and |
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| | | (b) | to provide the Panel with all such further information as the Panel may |
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| | | (5) | The Board is not required to provide information by virtue of subsection (4)(b) if, |
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| | | (a) | the need to preserve commercial confidentiality, and |
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| | | (b) | any other matters that appear to the Board to be relevant, |
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| | | | it is reasonable for the Board to refuse to disclose it to the Panel.’. |
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| | Page 7, line 13 [Clause 15], at end insert— |
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| | | ‘(3A) | Where “B” is an organisation whose members are carrying on a particular trade |
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| | | or profession for the purposes of which that organisation exists, the provision of |
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| | | relevant services to members for no charge (or by providing an indemnity in |
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| | | respect of unrecovered costs) shall not constitute the provision of relevant |
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| | | services to the public or a section of the public.’. |
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| | Page 7, line 20 [Clause 15], leave out subsection (6). |
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| | Page 7, line 25 [Clause 15], leave out ‘Subject to that’. |
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| | Page 9, line 28 [Clause 19], leave out from ‘who’ to end of line 29 and insert ‘, for |
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| | the purposes of carrying on the relevant activity, is an exempt person by virtue of— |
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| | | (a) | Schedule 3 (exempt persons), or |
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| | | (b) | paragraph 13 or 18 of Schedule 5 (additional categories of exempt |
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| | | persons during transitional period).’. |
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| | Page 11, line 42 [Clause 21], leave out ‘(other than an individual)’. |
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| | Page 12, line 12 [Clause 23], leave out ‘an independent’ and insert ‘a’. |
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| | Page 14, line 20 [Clause 28], leave out ‘, so far as is reasonably practicable,’. |
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| | Page 14, line 37 [Clause 29], leave out ‘and’ and insert ‘or’. |
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| | Page 15, line 31 [Clause 30], at end insert— |
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| | | ‘(3A) | When making rules under subsections (1) to (3), the Board must satisfy itself that |
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| | | approved regulators have established organisational structures and procedural |
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| | | practices which distinguish sufficiently clearly between their regulatory and |
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| | | representative functions.’.
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| | Page 16, line 3 [Clause 31], leave out ‘one or more of the regulatory objectives’ |
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| | and insert ‘the regulatory objectives taken as a whole’. |
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| | Page 16, line 32 [Clause 32], leave out from ‘have’ to end of line 33 and insert ‘, a |
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| | significant adverse impact on the regulatory objectives taken as a whole,’. |
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| | Page 18, line 5 [Clause 35], leave out from ‘have’ to end of line 6 and insert ‘a |
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| | significant adverse impact on the regulatory objectives taken as a whole, and’. |
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| | Page 18, line 32 [Clause 36], at end add— |
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| | | ‘(4A) | As soon as practicable after deciding to publish a statement, the Board must give |
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| | | notice to the approved regulator stating that it has reached that decision and |
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| | | setting out the terms in which the statement is to be published; and the Board must |
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| | | not publish the statement until after the expiry of seven days beginning with the |
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| | | day on which notice is given under this subsection.’. |
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| | Page 20, line 21 [Clause 39], at end insert— |
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| | | ‘(e) | that the imposition of the penalty on any ground would give rise to a |
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| | | claim for judicial review.’. |
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| | Page 20, line 45 [Clause 39], leave out subsection (7). |
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| | Page 21, line 27 [Clause 41], leave out from ‘have’ to ‘and’ in line 28 and insert ‘a |
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