|
| |
|
(4) | The OFT or the Consumer Panel may, for the purposes of giving advice |
| |
under this paragraph, request any person to provide it with such |
| |
information as may be specified by it. |
| |
6 (1) | Before determining whether it is appropriate to hold a section 23 |
| |
investigation or a section 25 investigation in respect of an activity the Board |
| 5 |
may also seek the advice of the Lord Chief Justice. |
| |
(2) | If the Board has sought advice under paragraph 5, the Board may not seek |
| |
advice from the Lord Chief Justice until— |
| |
(a) | the period for giving advice under paragraph 5 has ended, and |
| |
(b) | it has given the Lord Chief Justice a copy of any advice duly given |
| 10 |
| |
(3) | If advice is sought under sub-paragraph (1), the Lord Chief Justice— |
| |
(a) | must give the Board such advice as the Lord Chief Justice thinks fit, |
| |
within such reasonable period as may be specified by the Board, and |
| |
(b) | may, for the purposes of giving that advice, request any person to |
| 15 |
provide the Lord Chief Justice with such information as may be |
| |
specified by the Lord Chief Justice. |
| |
(4) | In deciding what advice to give, the Lord Chief Justice must, in particular, |
| |
have regard to the likely impact on the courts in England and Wales of the |
| |
making of an order under section 23 or (as the case may be) provision in |
| 20 |
accordance with a recommendation under section 25, in respect of the |
| |
| |
7 (1) | The Board must consider, and publish, any advice given under paragraph 5 |
| |
| |
(2) | Nothing in this paragraph operates to prevent a person who gives such |
| 25 |
advice from publishing it. |
| |
Restrictions on refusing a paragraph 2 request |
| |
8 (1) | This paragraph applies where— |
| |
(a) | a request has been made under paragraph 2, and |
| |
(b) | paragraph 3 applies to that request. |
| 30 |
(2) | The Board may refuse the request only if— |
| |
(a) | the consultation requirements are satisfied, and |
| |
(b) | either the consent requirement is satisfied or the request was made |
| |
by the Secretary of State. |
| |
(3) | The consultation requirements are— |
| 35 |
(a) | that the Board has consulted the OFT, the Consumer Panel and the |
| |
Lord Chief Justice under paragraphs 5 and 6, and |
| |
| |
(i) | the Board has obtained advice from the OFT and the |
| |
Consumer Panel or the period within which that advice is |
| 40 |
required to be given has expired, and |
| |
(ii) | the Board has obtained advice from the Lord Chief Justice or |
| |
the period within which that advice is required to be given |
| |
| |
(4) | The consent requirement is that— |
| 45 |
|
| |
|
| |
|
(a) | the Board has given the Secretary of State a copy of any advice given |
| |
under paragraph 5 or 6, and |
| |
(b) | the Secretary of State has consented to the Board’s refusal of the |
| |
| |
Decision to hold investigation |
| 5 |
9 (1) | This paragraph applies where the Board has decided, following inquiries |
| |
under paragraph 3 or 4, to hold a section 23 investigation or a section 25 |
| |
investigation in respect of an activity. |
| |
(2) | The Board must, as soon as reasonably practicable, give notice of its decision |
| |
| 10 |
(a) | the Secretary of State, |
| |
| |
(c) | the Consumer Panel, and |
| |
(d) | the Lord Chief Justice, |
| |
| 15 |
| |
(a) | state the Board’s reasons for its decision to hold the investigation, |
| |
| |
(b) | contain a description (in general terms) of the procedure set out in |
| |
paragraphs 10 to 17 and in rules under this Schedule, including any |
| 20 |
| |
Duty to investigate and produce a provisional report within the investigation period |
| |
10 (1) | This paragraph applies where the Board has given notice under paragraph |
| |
| |
(a) | a decision to hold a section 23 investigation, or |
| 25 |
(b) | a decision to hold a section 25 investigation, |
| |
| in respect of an activity. |
| |
(2) | The Board must within the investigation period— |
| |
(a) | carry out such investigations as it considers appropriate for the |
| |
purposes of enabling it to produce a provisional report in respect of |
| 30 |
| |
(b) | produce and publish such a report. |
| |
(3) | A provisional report is a report stating— |
| |
(a) | in a case within sub-paragraph (1)(a), whether or not the Board is |
| |
minded to make a recommendation for the purposes of section 23 |
| 35 |
(recommendation that activity should become a reserved legal |
| |
| |
(b) | in a case within sub-paragraph (1)(b), whether or not the Board is |
| |
minded to make a recommendation for the purposes of section 25 |
| |
(recommendation that activity should cease to be a reserved legal |
| 40 |
| |
(4) | A provisional report must also state the Board’s reasons for it being, or not |
| |
being, minded to make the recommendation in question. |
| |
|
| |
|
| |
|
“The investigation period” |
| |
11 (1) | “The investigation period” means the period of 12 months beginning with |
| |
the day on which the notice was given under paragraph 9(2). |
| |
(2) | The Board may, before the end of the investigation period, issue a notice |
| |
extending that period by a period specified in the notice. |
| 5 |
(3) | More than one notice may be issued under sub-paragraph (2) but the total |
| |
investigation period must not exceed 16 months. |
| |
(4) | The Board may issue a notice under sub-paragraph (2) only after it has |
| |
| |
| 10 |
(b) | the Consumer Panel, and |
| |
(c) | the Lord Chief Justice. |
| |
(5) | A notice under sub-paragraph (2) must state the Board’s reasons for |
| |
extending the investigation period. |
| |
(6) | The Board must publish any notice issued under sub-paragraph (2). |
| 15 |
Supplementary provisions about the investigation |
| |
12 (1) | This paragraph applies for the purposes of investigations under paragraph |
| |
| |
(2) | The Board may make rules governing the making of oral and written |
| |
representations, and the giving of oral and written evidence, to the Board. |
| 20 |
(3) | Rules under sub-paragraph (2) may (among other things) include— |
| |
(a) | provision about the time and place at which any oral evidence is to |
| |
be given or oral representations are to be heard; |
| |
(b) | provision about the period within which any written evidence is to |
| |
be given or written representations are to be made. |
| 25 |
(4) | In relation to each investigation, the Board must determine if, and to what |
| |
| |
(a) | oral evidence or representations should be heard, and |
| |
(b) | written evidence or representations should be received. |
| |
(5) | The Board must, so far as is reasonably practicable, consider any written or |
| 30 |
oral representations duly made under this paragraph. |
| |
Consideration of the provisional report |
| |
13 (1) | The Board may make rules governing the making to the Board of oral and |
| |
written representations in respect of provisional reports. |
| |
(2) | Rules under sub-paragraph (1) may (among other things) include— |
| 35 |
(a) | provision about the time and place at which any oral representations |
| |
| |
(b) | provision about the period within which any written representations |
| |
| |
(3) | The Board must exercise the power conferred by sub-paragraph (1) to make |
| 40 |
| |
|
| |
|
| |
|
(a) | enabling written representations and, so far as is reasonably |
| |
practicable, oral representations to be made by affected practitioners, |
| |
| |
(b) | enabling written or oral representations to be made by bodies which |
| |
represent affected practitioners. |
| 5 |
(4) | An “affected practitioner” is a person carrying on the activity in respect of |
| |
which the investigation is being held. |
| |
14 (1) | For the purpose of making a decision under paragraph 16(1)(a) or (b), the |
| |
Board must, after publication of a provisional report, determine if and to |
| |
what extent further evidence should be heard or received. |
| 10 |
(2) | The Board may make rules governing the giving of such evidence. |
| |
(3) | Rules under sub-paragraph (2) may (among other things) include— |
| |
(a) | provision about the time and place at which any oral evidence is to |
| |
| |
(b) | provision about the period within which any written evidence is to |
| 15 |
| |
15 | The Board must, so far as is reasonably practicable, consider— |
| |
(a) | any written or oral representations made in accordance with rules to |
| |
which paragraph 13(3) applies, and |
| |
(b) | any other representations made in accordance with rules under |
| 20 |
paragraph 13(1), and any written or oral evidence given in |
| |
accordance with rules under paragraph 14(2), which the Board |
| |
| |
Duty to prepare final report within the final reporting period |
| |
16 (1) | After complying with paragraph 15, the Board must decide— |
| 25 |
(a) | in the case of a section 23 investigation, whether or not to make a |
| |
recommendation for the purposes of that section, and |
| |
(b) | in the case of a section 25 investigation, whether or not to make a |
| |
recommendation for the purposes of that section. |
| |
(2) | The Board must prepare a report (“the final report”) which sets out— |
| 30 |
(a) | its decision and the reasons for it, |
| |
(b) | where it decides to make a recommendation for the purposes of |
| |
section 23 or 25, that recommendation, and |
| |
(c) | where it decides to make a recommendation for the purposes of |
| |
section 23, a statement of the provision which, in the Board’s |
| 35 |
opinion, will need to be made by virtue of section 194(2) or in an |
| |
order under section 198 (power to make consequential provision, |
| |
transitional provision etc) if an order is made under section 23 in |
| |
accordance with that recommendation. |
| |
| 40 |
(a) | give a copy of the final report to the Secretary of State, and |
| |
| |
(4) | The Board must comply with the obligations imposed by this paragraph |
| |
within the final reporting period. |
| |
|
| |
|
| |
|
“The final reporting period” |
| |
17 (1) | “The final reporting period” means the period of 3 months beginning with |
| |
the date on which the provisional report was published under paragraph |
| |
| |
(2) | The Board may, before the end of the final reporting period, issue a notice |
| 5 |
extending that period by a period specified in the notice. |
| |
(3) | More than one notice may be issued under sub-paragraph (2), but the total |
| |
final reporting period must not exceed 5 months. |
| |
(4) | The Board may issue a notice under sub-paragraph (2) only after it has |
| |
| 10 |
| |
(b) | the Consumer Panel, and |
| |
(c) | the Lord Chief Justice. |
| |
(5) | A notice under sub-paragraph (2) must state the Board’s reasons for |
| |
extending the final reporting period. |
| 15 |
(6) | The Board must publish a notice issued under sub-paragraph (2). |
| |
| |
18 | The Board may pay such costs of a person as the Board considers reasonable |
| |
for the purpose of facilitating the giving of oral evidence or the making of |
| |
oral representations, by or on behalf of that person, in accordance with rules |
| 20 |
made under this Schedule. |
| |
| |
| |
| |
| |
1 | This Schedule applies where the Board proposes giving a direction to an |
| 25 |
approved regulator under section 31. |
| |
Notification of the approved regulator |
| |
2 (1) | The Board must give the approved regulator a notice (“a warning notice”) |
| |
accompanied by a copy of the proposed direction. |
| |
(2) | The warning notice must— |
| 30 |
(a) | state that the Board proposes to give the approved regulator a |
| |
direction in the form of the accompanying draft, |
| |
(b) | specify why the Board is satisfied as mentioned in section 31(1) and |
| |
| |
(c) | specify a period within which the approved regulator may make |
| 35 |
representations with respect to the proposal. |
| |
(3) | The period specified under sub-paragraph (2)(c)— |
| |
|
| |
|
| |
|
(a) | must begin with the date on which the warning notice is given to the |
| |
| |
(b) | must not be less than 14 days. |
| |
(4) | The approved regulator may make to the Board— |
| |
(a) | written representations, and |
| 5 |
(b) | if the Board authorises it to do so, oral representations, |
| |
| about the proposed direction. |
| |
(5) | The Board must make rules governing the making of oral and written |
| |
| |
(6) | The Board must consider any representations duly made by the approved |
| 10 |
| |
(7) | Where oral representations are duly made, the Board must prepare a report |
| |
of those representations. |
| |
(8) | Before preparing that report, the Board must— |
| |
(a) | give the approved regulator a reasonable opportunity to comment |
| 15 |
on a draft of the report, and |
| |
(b) | have regard to any comments duly made. |
| |
Board’s duty to seek advice |
| |
3 (1) | After complying with paragraph 2, the Board must give each of the persons |
| |
listed in sub-paragraph (2)— |
| 20 |
(a) | a copy of the warning notice and the accompanying draft direction, |
| |
(b) | a copy of any written representations duly made under paragraph 2 |
| |
and a copy of the report (if any) prepared under that paragraph, and |
| |
(c) | a notice specifying a period within which any advice under |
| |
paragraphs 4 to 7 must be given. |
| 25 |
| |
(a) | the Secretary of State, |
| |
| |
| |
(d) | the Lord Chief Justice, and |
| 30 |
(e) | such other persons as the Board considers it reasonable to consult in |
| |
respect of the proposed direction. |
| |
(3) | In this Schedule, in relation to a proposed direction, “selected consultee” |
| |
means a person within sub-paragraph (2)(e). |
| |
Advice of the Secretary of State |
| 35 |
4 | The Secretary of State must give the Board such advice as the Secretary of |
| |
State thinks fit in respect of the proposed direction. |
| |
Advice of Office of Fair Trading |
| |
5 (1) | The OFT must give the Board such advice as it thinks fit regarding whether |
| |
the proposed direction should be given. |
| 40 |
|
| |
|
| |
|
(2) | In deciding what advice to give, the OFT must, in particular, have regard to |
| |
whether giving the proposed direction would (or would be likely to) |
| |
prevent, restrict or distort competition within the market for reserved legal |
| |
services to any significant extent. |
| |
Advice of the Consumer Panel |
| 5 |
6 (1) | The Consumer Panel must give the Board such advice as it thinks fit |
| |
regarding whether the proposed direction should be given. |
| |
(2) | In deciding what advice to give, the Consumer Panel must, in particular, |
| |
have regard to the likely impact of the proposed direction on consumers. |
| |
Advice of selected consultees |
| 10 |
7 | A selected consultee may give the Board such advice as the selected |
| |
consultee thinks fit in respect of the proposed direction. |
| |
Advice of the Lord Chief Justice |
| |
8 (1) | The Board must give the Lord Chief Justice— |
| |
(a) | a copy of any advice duly given under paragraphs 4 to 7, and |
| 15 |
(b) | a notice specifying a period within which any advice under this |
| |
| |
(2) | The Lord Chief Justice must then give such advice as the Lord Chief Justice |
| |
thinks fit regarding whether the proposed direction should be given. |
| |
(3) | In deciding what advice to give, the Lord Chief Justice must, in particular, |
| 20 |
have regard to the likely impact of the proposed direction on the courts in |
| |
| |
Consultees’ powers to request information |
| |
9 | A person (“the consultee”) to whom a copy of the warning notice is given |
| |
under paragraph 3(1) may, for the purposes of giving advice under |
| 25 |
paragraphs 4 to 8, request the approved regulator or any other person to |
| |
provide the consultee with such additional information as may be specified |
| |
| |
Representations by approved regulator |
| |
10 (1) | The Board must give the approved regulator a copy of any advice duly given |
| 30 |
| |
(2) | The approved regulator may make to the Board— |
| |
(a) | written representations, and |
| |
(b) | if the Board authorises it to do so, oral representations, |
| |
| 35 |
(3) | The Board must make rules governing the making of oral and written |
| |
| |
(4) | Representations under this paragraph must be made within— |
| |
(a) | the period of 28 days beginning with the day on which the copy of |
| |
the advice is given to the approved regulator, or |
| 40 |
|
| |
|