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Legal Services Bill [HL]


Legal Services Bill [HL]
Schedule 7 — Directions: procedure

152

 

(b)   

such longer period as the Board may specify in a particular case.

      (5)  

Where oral representations are made, the Board must prepare a report of

those representations.

      (6)  

Before preparing that report, the Board must—

(a)   

give the approved regulator a reasonable opportunity to comment

5

on a draft of the report, and

(b)   

have regard to any comments duly made.

Publication of advice etc

11    (1)  

The Board must, as soon as practicable after the end of the period within

which representations under paragraph 10 may be made, publish—

10

(a)   

any advice duly given under paragraphs 4 to 8, and

(b)   

any written representations duly made under paragraph 10 and the

report (if any) prepared under that paragraph.

      (2)  

Nothing in sub-paragraph (1) operates—

(a)   

to prevent a person who gives advice under paragraphs 4 to 8 from

15

publishing that advice, or

(b)   

to prevent a person who makes representations under paragraph 10

from publishing those representations.

      (3)  

A person (“the publisher”) publishing any such material (whether under

sub-paragraph (1) or otherwise) must, so far as practicable, exclude any

20

matter which relates to the private affairs of a particular individual the

publication of which, in the opinion of the publisher, would or might

seriously and prejudicially affect the interests of that individual.

Decision by the Board

12    (1)  

After considering—

25

(a)   

any advice duly given under paragraphs 4 to 8,

(b)   

any representations duly made under paragraph 10, and

(c)   

any other information which the Board considers relevant,

           

the Board must decide whether to give the approved regulator the proposed

direction.

30

      (2)  

The Board must give notice of its decision (“the decision notice”) to the

approved regulator.

      (3)  

Where the Board decides to give the proposed direction, the decision notice

must—

(a)   

contain the direction,

35

(b)   

state the time at which the direction is to take effect, and

(c)   

specify the Board’s reasons for the decision to give the direction.

      (4)  

The Board must publish the decision notice.

 

 

Legal Services Bill [HL]
Schedule 8 — Intervention directions: procedure
Part 1 — Giving intervention directions

153

 

Schedule 8

Sections 40 and 43

 

Intervention directions: procedure

Part 1

Giving intervention directions

Introductory

5

1     (1)  

This Part of this Schedule applies where the Board proposes giving an

intervention direction to an approved regulator in respect of a regulatory

function.

      (2)  

In this Schedule “intervention condition” has the same meaning as in section

40.

10

Notification of the approved regulator

2     (1)  

The Board must give the approved regulator a notice (“a warning notice”)

accompanied by a draft of the proposed intervention direction.

      (2)  

The warning notice must—

(a)   

state that the Board proposes to give the approved regulator an

15

intervention direction in the form of the accompanying draft and the

time when it is proposed that direction should take effect, and

(b)   

state the reasons why the Board is satisfied of the matters mentioned

in section 40(1)(a) and (b).

      (3)  

The Board must publish a copy of the warning notice.

20

      (4)  

The approved regulator may make to the Board—

(a)   

written representations, and

(b)   

if the Board authorises it to do so, oral representations,

           

about the proposed intervention direction.

      (5)  

The Board must make rules governing the making of written and oral

25

representations.

      (6)  

Any representations under sub-paragraph (4) must be made before the end

of—

(a)   

the period of 28 days beginning with the day on which the warning

notice is given to the approved regulator, or

30

(b)   

such longer period as the Board may specify in a particular case.

      (7)  

Where oral representations are duly made under this paragraph, 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

35

on a draft of the report, and

(b)   

have regard to any comments duly made.

 

 

Legal Services Bill [HL]
Schedule 8 — Intervention directions: procedure
Part 1 — Giving intervention directions

154

 

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)—

(a)   

a copy of the warning notice and the accompanying draft,

(b)   

a copy of any written representations duly made under paragraph 2

5

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.

      (2)  

Those persons are—

(a)   

the Secretary of State,

10

(b)   

the OFT,

(c)   

the Consumer Panel,

(d)   

the Lord Chief Justice, and

(e)   

such other persons as the Board considers it reasonable to consult in

respect of the proposed intervention direction.

15

      (3)  

In this Part of this Schedule, in relation to a proposed intervention direction,

“selected consultee” means a person within sub-paragraph (2)(e).

Advice of the Secretary of State

4          

The Secretary of State must give the Board such advice as the Secretary of

State thinks fit in respect of the proposed intervention direction.

20

Advice of Office of Fair Trading

5     (1)  

The OFT must give the Board such advice as it thinks fit regarding whether

the proposed intervention direction should be given.

      (2)  

In deciding what advice to give, the OFT must, in particular, have regard to

whether giving the proposed intervention direction would (or would be

25

likely to) prevent, restrict or distort competition within the market for

reserved legal services to any significant extent.

Advice of the Consumer Panel

6     (1)  

The Consumer Panel must give the Board such advice as it thinks fit

regarding whether the proposed intervention direction should be given.

30

      (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

7          

A selected consultee may give the Board such advice as the selected

consultee thinks fit in respect of the proposed intervention direction.

35

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

(b)   

a notice specifying a period within which any advice under this

paragraph must be given.

40

 

 

Legal Services Bill [HL]
Schedule 8 — Intervention directions: procedure
Part 1 — Giving intervention directions

155

 

      (2)  

The Lord Chief Justice must then give such advice as the Lord Chief Justice

thinks fit regarding whether the proposed intervention direction should be

given.

      (3)  

In deciding what advice to give, the Lord Chief Justice must, in particular,

have regard to the likely impact of the proposed intervention direction on

5

the courts in England and Wales.

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

paragraphs 4 to 8, request the approved regulator or any other person to

10

provide the consultee with such additional information as may be specified

by the consultee.

Representations by the approved regulator etc

10    (1)  

The Board must—

(a)   

give the approved regulator a copy of any advice duly given under

15

paragraphs 4 to 8, and

(b)   

publish that advice together with any written representations duly

made by the approved regulator under paragraph 2 and the report

(if any) prepared under that paragraph.

      (2)  

The approved regulator and any body within sub-paragraph (3) may make

20

to the Board—

(a)   

written representations, and

(b)   

if the Board authorises it to do so, oral representations,

           

about the advice.

      (3)  

A body is within this sub-paragraph if it represents persons authorised by

25

the approved regulator to carry on activities which are reserved legal

activities.

      (4)  

The Board may allow any other person to make written or oral

representations about the advice.

      (5)  

The Board must make rules governing the making of oral and written

30

representations.

      (6)  

Representations under this paragraph must be made within—

(a)   

the period of 28 days beginning with the day on which the

representations and advice are published under sub-paragraph

(1)(b), or

35

(b)   

such longer period as the Board may specify in a particular case.

      (7)  

Where oral representations are made, the Board must prepare a report of

those representations.

      (8)  

Before preparing that report, the Board must—

(a)   

give each person who made oral representations a reasonable

40

opportunity to comment on a draft of the report of those

representations, and

(b)   

have regard to any comments duly made.

 

 

Legal Services Bill [HL]
Schedule 8 — Intervention directions: procedure
Part 1 — Giving intervention directions

156

 

      (9)  

The Board must, as soon as reasonably practicable after the end of the period

within which representations may be made under this paragraph, publish

any written representations duly made and the report (if any) prepared

under sub-paragraph (7).

Further provision about publishing of advice and representations

5

11    (1)  

Nothing in paragraph 10 operates—

(a)   

to prevent a person who gives advice under paragraphs 4 to 8 from

publishing that advice, or

(b)   

to prevent a person who makes representations under paragraph 2

or 10 from publishing those representations.

10

      (2)  

A person (“the publisher”) publishing any such material (whether under

paragraph 10 or otherwise) must, so far as practicable, exclude any matter

which relates to the private affairs of a particular individual the publication

of which, in the opinion of the publisher, would or might seriously and

prejudicially affect the interests of that individual.

15

Decision by the Board

12    (1)  

After considering—

(a)   

any advice duly given under paragraphs 4 to 8,

(b)   

any representations duly made under paragraph 2 or 10, and

(c)   

any other information which the Board considers relevant,

20

           

the Board must decide whether to give an intervention direction.

      (2)  

Where it decides to give an intervention direction, it may decide—

(a)   

to give an intervention direction in the form of the proposed

intervention direction, or

(b)   

to amend the form of the proposed intervention direction and give

25

an intervention direction in that amended form.

      (3)  

The Board must give notice of its decision (“the decision notice”) to the

approved regulator.

      (4)  

Where the Board decides to give an intervention direction, the decision

notice must—

30

(a)   

contain the intervention direction,

(b)   

state the time at which the intervention direction is to take effect,

(c)   

specify the reasons why the Board is satisfied of the matters

mentioned in section 40(1)(a) and (b), and

(d)   

if the decision is under sub-paragraph (2)(b), set out the nature of any

35

amendments made and the reasons for them.

      (5)  

The time specified under sub-paragraph (4)(b) must not be before—

(a)   

the time specified in the warning notice in accordance with

paragraph 2(2)(a), or

(b)   

the time the decision notice is given to the approved regulator.

40

      (6)  

The Board must publish the decision notice.

 

 

Legal Services Bill [HL]
Schedule 8 — Intervention directions: procedure
Part 2 — Revoking intervention directions

157

 

Part 2

Revoking intervention directions

Introductory

13    (1)  

Where an intervention direction has effect in respect of a regulatory function

of an approved regulator—

5

(a)   

the approved regulator may apply to the Board for the Board to

revoke the direction, or

(b)   

the Board may give the approved regulator a notice stating the

Board’s intention to revoke the direction.

      (2)  

An application under sub-paragraph (1)(a) must—

10

(a)   

be made in the form and manner specified by the Board, and

(b)   

be accompanied by such material as the applicant considers is likely

to be needed for the purposes of this Part of this Schedule.

Board’s duty to seek advice

14    (1)  

Where the Board has received an application under paragraph 13(1)(a), it

15

must give each of the persons listed in sub-paragraph (3)—

(a)   

a copy of the application,

(b)   

a copy of any material which accompanied it, and

(c)   

a notice specifying a period within which any advice under

paragraphs 15 to 18 must be given.

20

      (2)  

Where the Board has given a notice under paragraph 13(1)(b), it must give

each of the persons listed in sub-paragraph (3)—

(a)   

a copy of the notice, and

(b)   

a notice specifying a period within which any advice under

paragraphs 15 to 18 must be given.

25

      (3)  

The persons are—

(a)   

the Secretary of State,

(b)   

the OFT,

(c)   

the Consumer Panel,

(d)   

the Lord Chief Justice, and

30

(e)   

such other persons as the Board considers it reasonable to consult in

respect of the proposed revocation.

      (4)  

In this Part of this Schedule, in relation to an application or notice, “selected

consultee” means a person within sub-paragraph (3)(e).

Advice of the Secretary of State

35

15         

The Secretary of State must give the Board such advice as the Secretary of

State thinks fit in respect of the proposed revocation.

Advice of Office of Fair Trading

16    (1)  

The OFT must give the Board such advice as it thinks fit regarding the

proposed revocation.

40

 

 

Legal Services Bill [HL]
Schedule 8 — Intervention directions: procedure
Part 2 — Revoking intervention directions

158

 

      (2)  

In deciding what advice to give, the OFT must, in particular, have regard to

whether revoking the intervention 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

17    (1)  

The Consumer Panel must give the Board such advice as it thinks fit

regarding the proposed revocation.

      (2)  

In deciding what advice to give, the Consumer Panel must, in particular,

have regard to the likely impact which revoking the intervention direction

would have on consumers.

10

Advice of the selected consultees

18         

A selected consultee may give the Board such advice as the selected

consultee thinks fit in respect of the proposed revocation.

Advice of the Lord Chief Justice

19    (1)  

The Board must give the Lord Chief Justice—

15

(a)   

a copy of any advice duly given under paragraphs 15 to 18, and

(b)   

a notice specifying a period within which any advice under this

paragraph must be given.

      (2)  

The Lord Chief Justice must then give the Board such advice as the Lord

Chief Justice thinks fit in respect of the proposed revocation.

20

      (3)  

In deciding what advice to give, the Lord Chief Justice must, in particular,

have regard to the likely impact which revoking the intervention direction

would have on the courts in England and Wales.

Information obtained by consultees

20         

A person to whom a copy of the application or notice is given under

25

paragraph 14(1) or (2) may, for the purposes of giving advice under

paragraphs 15 to 19, request the approved regulator or any other person to

provide that person with such additional information as may be specified by

that person.

Representations by approved regulator etc

30

21    (1)  

The Board must—

(a)   

give the approved regulator a copy of any advice duly given under

paragraphs 15 to 19, and

(b)   

publish that advice.

      (2)  

The approved regulator and any body within sub-paragraph (3) may make

35

to the Board—

(a)   

written representations, and

(b)   

if the Board authorises it to do so, oral representations,

           

about the advice.

 

 

 
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