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| Wednesday 10th October 2007 |
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| For other Amendment(s) see the following page(s) of Supplement to Votes:
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| 1581-94, 1613, 1637-38, 1671-72, 1673, 1675-86 and 1701-02 |
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| Legal Services Bill [Lords], As Amended |
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| Page 59, line 21 [Clause 108], leave out subsection (2) and insert— |
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| | ‘(2) | The management condition is that— |
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| | (a) | the number of managers of the body who are non-authorised persons is |
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| | less than 25 per cent. of the total number of managers; or |
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| | (b) | the managers who are non-authorised individuals who provide services |
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| | directly or indirectly to clients within their own professional training, are |
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| | members of one or more recognised professional bodies and do not |
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| | account for more than 50 per cent. on a headcount of managers.’. |
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| Page 59, line 23 [Clause 108], leave out subsection (3) and insert— |
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| | ‘(3) | The ownership condition for B satisfying the management condition set out in |
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| | (a) | only managers of B can hold shares or exercise voting rights or control |
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| | unless they are authorised persons, and |
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| | (b) | the proportion of shares in B held by persons who are non-authorised |
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| | managers is less than 25 per cent., and |
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| | (c) | the proportion of the voting rights in B which persons who are non- |
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| | authorised managers are entitled to exercise, or control the exercise of, is |
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| | (d) | if B has a parent undertaking (“P”)— |
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| | (i) | the proportion of shares in P held by persons who are non- |
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| | authorised managers is less than 25 per cent., and |
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| | (ii) | the proportion of the voting rights in P which non-authorised non |
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| | managers are entitled to exercise, or control the exercise of, is |
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| Page 59, line 33 [Clause 108], at end insert— |
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| | ‘(3A) | The ownership condition for B satisfying the management condition set out in |
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| | subsection 2(b) is that shares and voting rights in B— |
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| | (a) | are only held by authorised persons, or managers who are members of |
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| | recognised professional bodies, and |
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| | (b) | the percentage of shares held or proportion of voting rights exercised by |
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| | non-authorised managers does not account for more than 50 per cent.’. |
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| Page 59, line 36 [Clause 108], at end insert— |
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| | ‘(4A) | For the purposes of this section “recognised professional body” means a body |
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| | (other than an approved regulator), incorporated by Royal Charter, and which |
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| | (a) | testing the competence of those seeking admission to membership of the |
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| | body as a condition for such admission; and |
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| | (b) | imposing and maintaining professional and ethical standards for its |
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| | members, as well as imposing sanctions for non-compliance with those |
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| | | “member” of a recognised professional body means a member or member firm as |
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| | defined by the appropriate rules of such a body.’. |
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| To move the following Clause:— |
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| | ‘(1) | A licensing authority may apply to the Board to determine the status of a |
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| | recognised professional body if it is in any doubt as to whether that professional |
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| | body meets the criteria set down in this Act. |
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| | (2) | A licensing authority may determine that a body “B”, which is prima facie “low |
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| | risk” under section 108(2)(b) (non-authorised managers are all members of |
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| | recognised professional bodies), should not be treated as low risk if it considers |
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| | the services to be offered by B are inconsistent with the “professional principles” |
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| | (3) | Any decision under subsection (2) will follow the procedural requirements set out |
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| | in Schedule 11(2) and (3).’. |
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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 68, line 37 [Clause 133], leave out ‘may’ and insert ‘must’. |
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| Page 68, line 41 [Clause 133], leave out from ‘circumstances’ to end of line 43 and |
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| insert ‘to another body with a view to it being determined by that body instead of by an |
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| ombudsman, with particular regard to— |
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| | (i) | mixed complaints provided by authorised persons under any part |
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| | (ii) | whether determination of the complaint by a body other than the |
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| | ombudsman will be unduly prejudicial to the complainant or |
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| | (iii) | provisions for managing a complainant’s dissatisfaction |
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| | regarding the determination of the complaint referred to another |
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| | body under this subsection.’. |
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| Page 224, line 22 [Schedule 15], at end insert— |
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| | ‘(3) | The persons with whom the OLC may make arrangements under subparagraph |
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| | (1) above include approved regulators and external regulators. |
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| | (4) | The arrangements that the OLC may make include arrangements for assistance to |
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| | be provided to an ombudsman in relation to the investigation and consideration |
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| | Offence of pretending to be a legal executive |
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| To move the following Clause:— |
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| | ‘(1) | It is an offence for a person who is not a legal executive— |
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| | (a) | wilfully to pretend to be a legal executive, or |
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| | (b) | with the intention of implying falsely that that person is a legal executive, |
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| | to take or use any name, title or description. |
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| | (2) | A person who is guilty of an offence under subsection (1) is liable— |
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| | (a) | on summary conviction, to imprisonment for a term not exceeding 12 |
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| | months or a fine not exceeding the statutory maximum (or both), and |
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| | (b) | on conviction on indictment, to imprisonment for a term not exceeding 2 |
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| | years or a fine (or both). |
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| | (3) | In relation to an offence under subsection (1) committed before the |
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| | commencement of section 154(1) of the Criminal Justice Act 2003 (c. 44), the |
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| | reference in subsection (2)(a) to 12 months is to be read as a reference to 6 |
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| | (4) | In this section “Legal Executive” means a Fellow of the Institute of Legal |
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| Page 49, line 13 [Clause 83], at end insert— |
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| | ‘(da) | appropriate provisions reinforcing the independence and integrity of the |
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| | legal professionals concerned,’. |
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