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Session 2006 - 07
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Legal Services Bill [HL]


 

Legal Services Bill [HL]

 
 

EXPLANATORY NOTES

Explanatory notes to the Bill, prepared by the Department for Constitutional Affairs,

are published separately as HL Bill 9—EN.

EUROPEAN CONVENTION ON HUMAN RIGHTS

The Lord Falconer of Thoroton has made the following statement under section

19(1)(a) of the Human Rights Act 1998:

In my view the provisions of the Legal Services Bill [HL] are compatible with the

Convention rights.

 

HL Bill 9                                                                                               

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Legal Services Bill [HL]

 
   

 
 

The Bill is divided into two Volumes. Volume I contains the Clauses. Volume II

contains the Schedules to the Bill.

Contents

Part 1

The regulatory objectives

1   

The regulatory objectives

Part 2

The Legal Services Board

Constitution

2   

The Legal Services Board

General functions

3   

The Board’s duty to promote the regulatory objectives etc

4   

Standards of regulation, education and training

5   

Corporate governance

6   

Annual report

7   

Supplementary powers

Consumer Panel

8   

The Consumer Panel

9   

Committees and the procedure of the Consumer Panel

10   

Representations by the Consumer Panel

11   

Advice and research functions of the Consumer Panel

Part 3

Reserved legal activities

Reserved legal activities

12   

Meaning of “reserved legal activity” and “legal activity”

 

HL Bill 9                                                                                               

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Legal Services Bill [HL]

ii

 

Carrying on the activities

13   

Entitlement to carry on a reserved legal activity

Offences

14   

Offence to carry on a reserved legal activity if not entitled

15   

Carrying on of a reserved legal activity: employers and employees etc

16   

Offence to pretend to be entitled

Interpretation

17   

Authorised persons

18   

Exempt persons

19   

Approved regulators and relevant approved regulators

20   

Regulatory arrangements

Continuity of existing rights and transitional protection

21   

Continuity of existing rights to carry on reserved legal activities

22   

Transitional protection for non-commercial bodies

Alteration of reserved legal activities

23   

Extension of the reserved legal activities

24   

Provisional designation as approved regulators and licensing authorities

25   

Recommendations that activities should cease to be reserved legal activities

Part 4

Regulation of approved regulators

Introductory

26   

Regulatory and representative functions of approved regulators

General duties of approved regulators

27   

Approved regulator’s duty to promote the regulatory objectives etc

Separation of regulatory and representative functions

28   

Prohibition on the Board interfering with representative functions

29   

Rules relating to the exercise of regulatory functions

Performance targets

30   

Performance targets and monitoring

Directions

31   

Directions

32   

Directions: procedure

33   

Enforcement of directions

 
 

Legal Services Bill [HL]

iii

 

Censure

34   

Public censure

35   

Public censure: procedure

Financial penalties

36   

Financial penalties

37   

Financial penalties: procedure

38   

Appeals against financial penalties

39   

Recovery of financial penalties

Intervention

40   

Intervention directions

41   

Intervention directions: further provision

42   

Intervention directions: enforcement

43   

Revocation of intervention directions

Cancellation of approval

44   

Cancellation of designation as approved regulator

45   

Cancellation of designation: further provision

46   

The Board’s power to recommend orders made under section 45

47   

Cancellation of designation: powers of entry etc

Policy statements

48   

The Board’s policy statements

49   

Policy statements: procedure

Practising fees

50   

Control of practising fees charged by approved regulators

Regulatory conflict

51   

Regulatory conflict with approved regulators

52   

Modification of provision made about regulatory conflict

53   

Regulatory conflict with other regulatory regimes

Information

54   

Provision of information to the Board

55   

Enforcement of notices under section 54

Competition

56   

Reports by the OFT

57   

The Board’s response to OFT report

58   

Referral of report by the Secretary of State to the Competition Commission

59   

Duties of the Competition Commission

60   

Secretary of State’s power to give directions

 
 

Legal Services Bill [HL]

iv

 

The Board as approved regulator

61   

The Board as an approved regulator

62   

The Board’s designation under section 61(1)(a)

63   

Modification of the Board’s functions under section 61(1)(b)

64   

Cancellation of the Board’s designation under section 61(1)(c)

65   

The Board’s power to recommend orders made under section 61

66   

Effect of the Board’s designation as an approved regulator

67   

Regulatory conflict and the Board as approved regulator

Functions of approved regulators etc

68   

Modification of the functions of approved regulators etc

69   

Procedural requirements relating to recommendations under section 68

Part 5

Alternative business structures

Introductory

70   

Carrying on of activities by licensed bodies

71   

“Licensable body”

Licensing authorities

72   

Licensing authorities and relevant licensing authorities

73   

Designation of approved regulator as licensing authority

74   

Automatic cancellation of designation as licensing authority

75   

Cancellation of designation as licensing authority by order

76   

Cancellation of designation: further provision

77   

The Board’s power to recommend orders made under section 76

78   

Cancellation of designation: powers of entry etc

Appeals

79   

Functions of appellate bodies

80   

Procedural requirements relating to recommendations under section 79

Licensing rules

81   

Licensing rules

Licensing

82   

Application for licence

83   

Terms of licence

84   

Modification of licence

85   

Registers of licensed bodies

86   

Evidence of status

Ownership of licensed bodies

87   

Ownership of licensed bodies

 
 

Legal Services Bill [HL]

v

 

Regulation of licensed bodies

88   

Duties of non-authorised persons

89   

Duties of Head of Legal Practice

90   

Duties of Head of Finance and Administration

91   

Information

92   

Enforcement of notices under section 91

93   

Financial penalties

94   

Appeals against financial penalties

95   

Recovery of financial penalties

96   

Referral of employees etc to appropriate regulator

97   

Disqualification

98   

Lists of disqualified persons

99   

Suspension and revocation of licence

100   

Intervention

101   

Regulatory conflict and the Board as licensing authority

102   

Prevention of regulatory conflict: accounts rules

Special kinds of body

103   

Trade union exemptions

104   

Power to modify application of licensing rules etc to special bodies

105   

Modifications under section 104: supplementary

106   

“Low risk body”

107   

Foreign bodies

Interpretation

108   

Interpretation of Part 5

Part 6

Legal Complaints

Complaints procedures of authorised persons

109   

Complaints procedures of authorised persons

Overview of the scheme

110   

Overview of the scheme

The Office for Legal Complaints

111   

The Office for Legal Complaints

112   

The ombudsman scheme

113   

General obligations

114   

Corporate governance

115   

Annual report

116   

Supplementary powers

117   

Reporting to the Board

118   

Performance targets and monitoring

 
 

 
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Revised 24 November 2006