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Legal Services Bill [HL]


SIXTH
MARSHALLED
LIST OF AMENDMENTS
TO BE MOVED
IN COMMITTEE

      The amendments have been marshalled in accordance with the Instruction of 11th December 2006, as follows—

Schedule 15
Clauses 112 to 170
Schedule 16
Clauses 171 to 174
Schedule 17
Clauses 175 to 178
Schedule 18
Clause 179
Schedule 19
Clauses 180 to 186
Schedule 20
Clauses 187 to 204
Schedules 21 to 24

[Amendments marked * are new or have been altered]

Amendment
No.

 

Schedule 15

111[Withdrawn]
 

LORD KINGSLAND

112Page 212, line 16, leave out sub-paragraph (2)
113Page 214, line 2, leave out "Secretary of State" and insert "Lord Chief Justice"
114[Withdrawn]
 

LORD WHITTY

114APage 214, line 28, at end insert "but, for the avoidance of doubt, such persons shall not include approved regulators"
115[Withdrawn]
 

LORD THOMAS OF GRESFORD
LORD MACLENNAN OF ROGART

115APage 216, line 3, leave out paragraphs 21 and 22
116[Withdrawn]
117[Withdrawn]
 

Clause 118

 

LORD WHITTY

117ZAPage 61, line 32, at end insert ", or
(   )  investigate the handling of complaints by the OLC (complaints under this subsection include those handled on behalf of the OLC and those referred to approved regulators by the OLC)."
117A[Withdrawn]
118[Withdrawn]
118A[Withdrawn]
118B[Withdrawn]
118C[Withdrawn]
 

After Clause 118

 

LORD THOMAS OF GRESFORD
LORD MACLENNAN OF ROGART

118DInsert the following new Clause—
  "Intervention directions
(1)  The Board may give the OLC an intervention direction in relation to any of its functions if the Board is satisfied—
(a)  that despite notice it has failed to handle complaints about authorised persons effectively and efficiently, and
(b)  that, in the circumstances of the case, it is appropriate to give the intervention direction.
(2)  An intervention direction, in relation to the function of the OLC, is a direction that—
(a)  the function is to be exercised by the Board or a person nominated by it, and
(b)  the OLC must comply with any instrument of the Board or its nominee in relation to the exercise of the function.
(3)  The Board may not determine that it is appropriate to give an intervention direction unless it is satisfied that the matter cannot be adequately addressed by the Board exercising the powers available to it under section (Board's functions in relation to complaints).
(4)  The Board must make rules as to the persons it may nominate for the purposes of subsection (2)(a)."
118EInsert the following new Clause—
  "Board's functions in relation to complaints
(1)  If it appears to the Board that complaints about any authorised person are not being handled effectively and efficiently by the OLC, the Board may exercise in relation to the OLC such of the powers in subsection (2) as it considers necessary.
(2)  Those powers are—
(a)  to investigate the handling of complaints about authorised persons;
(b)  to make recommendations in relation to the handling of complaints about authorised persons; and
(c)  to require the OLC to submit to the Board a plan for the handling of complaints about authorised persons.
(3)  Where the Board requires the OLC to submit to it a plan for the handling of complaints about authorised persons but the OLC—
(a)  fails to submit to the Board a plan which it considers adequate for securing that such complaints are handled effectively and efficiently, or
(b)  submits to the Board such a plan but fails to handle complaints in accordance with it,
  the Board may give directions to the OLC."
118FInsert the following new Clause—
  "Directions
(1)  This section applies if the Board is satisfied—
(a)  that the OLC has failed to meet the requirement of section (Board's functions in relation to complaints)(3)(a) or (b), or
(b)  that the OLC has failed to comply with any requirement imposed on it by or under this Act (including this section) or any other enactment.
(2)  If, in all the circumstances of the case, the Board is satisfied that it is appropriate to do so, it may direct the OLC to take in a case within subsection (1)(a) or (b) such steps as the Board considers will remedy the failure, mitigate its effect or prevent its recurrence.
(3)  A direction under subsection (2) may only require the OLC to take steps which it has the power to take.
(4)  For the purpose of this section, a direction to take steps includes a direction which requires the OLC to refrain from taking a particular course of action.
(5)  The power to give a direction under this section is subject to any provision made by or under any other enactment.
(6)  The Board may take such steps as it regards as appropriate to monitor and investigate the extent to which a direction under this section is being, or has been, complied with.
(7)  Where the Board revokes a direction under this section, it must—
(a)  give the OLC notice of the revocation, and
(b)  publish that notice."
 

Clause 122

 

LORD KINGSLAND

119Page 63, line 19, at end insert ", and
(d)  the activity is a legal activity."
 

LORD WHITTY

119APage 63, line 24, at end insert—
"(   )  Nothing in this Part prevents the ombudsman scheme providing—
(a)  for membership to be open to persons who are not subject to any duty to belong to the ombudsman scheme, and
(b)  for the investigation and determination of complaints other than those in relation to which such a duty applies, made against members who have voluntarily accepted the jurisdiction of the ombudsman scheme over such complaints."
 

Clause 123

 

LORD KINGSLAND

120Page 63, line 33, leave out "does not apply in specified circumstances" and insert "is subject to the discretion of the Chief Ombudsman or an assistant ombudsman"
 

Clause 125

 

LORD KINGSLAND

120APage 64, line 6, at end insert ", or was a person giving legal advice or assistance in the course of business but who is not otherwise covered by the provisions of this Act"
121[Withdrawn]
121A[Withdrawn]
 

Clause 129

 

LORD KINGSLAND

122Page 66, line 21, leave out "may" and insert "must"
123Page 66, line 23, at end insert "and to ensure that any rights to redress are preserved"
 

Clause 130

124[Withdrawn]
124A[Withdrawn]
 

LORD KINGSLAND

125Page 66, line 34, leave out first "may" and insert "must"
126Page 66, line 35, leave out "specified"
127Page 66, line 35, at end insert "in which he considers it reasonable to do so"
128Page 66, line 39, at end insert "only by the Chief Ombudsman or an assistant ombudsman"
129[Withdrawn]
 

LORD WHITTY

129APage 66, line 42, at end insert "but not, for the avoidance of doubt, to an approved regulator"
130[Withdrawn]
 

LORD WHITTY

130APage 67, line 13, leave out "the complainant or"
 

Clause 131

 

LORD KINGSLAND

131Page 68, line 14, leave out "any function" and insert "only those functions"
132Page 68, line 15, at end insert "as permitted by the scheme rules"
 

Clause 133

 

LORD KINGSLAND

133Page 68, line 40, after "scheme" insert "which are determined in favour (or substantially in favour) of the complainant"
 

Clause 134

 

LORD KINGSLAND

133APage 69, line 14, at end insert—
"(   )  In considering what is fair and reasonable in the circumstances, the ombudsman shall take into account the relevant law (including levels of damages awarded by courts in similar circumstances) and relevant codes of practice, professional rules, standards and guidance."
133BPage 70, line 5, at end insert—
"(   )  For the purposes of subsection (2)(d) and (e), in the event of a respondent's failure to act on a determination within a reasonable period, the ombudsman may order, at the expense of the respondent, the necessary rectification to be secured or action to be taken by an alternative authorised person."
134[Withdrawn]
 

Clause 135

 

LORD HUNT OF WIRRAL
LORD KINGSLAND

134APage 70, line 12, leave out "£20,000" and insert "£25,000"
 

LORD WHITTY

134AAPage 70, line 12, leave out "£20,000" and insert "£50,000"
134ABPage 70, line 12, at end insert "excluding complainants' expenses"
 

Clause 136

 

LORD HUNT OF WIRRAL
LORD KINGSLAND

134BPage 70, line 24, at end insert—
"(   )  Two years after this Part of the Act takes effect, and at regular intervals thereafter, the OLC must consult with such persons as it considers appropriate and consider whether to make a recommendation under subsection (2)."
 

Clause 137

 

LORD KINGSLAND

134CPage 71, line 40, at end insert—
"(10A)  Where a determination has become final and binding in accordance with this section, the respondent may appeal to the High Court against the determination or any direction made under section 134(2)."
135[Withdrawn]
 

LORD KINGSLAND

135APage 71, line 40, at end insert—
"(10B)  Where a determination has become final and binding in accordance with this section, the complainant may appeal to the High Court against the determination, the terms of any direction made under section 134(2), or any omission to make such a direction."
135BPage 71, line 41, at beginning insert "Subject to subsections (10A) and (10B),"
136[Withdrawn]
136A[Withdrawn]
 

Clause 138

 

LORD WHITTY

136AAPage 72, line 14, at end insert—
"(   )  The scheme rules should provide that an ombudsman may take proceedings on behalf of a complainant in such circumstances as the rules may specify."
 

LORD KINGSLAND

136BPage 72, line 16, at end insert—
"(   )  The OLC shall be entitled to make applications on behalf of the complainant under subsection (2) or (3) where the complainant requests it to do so."
 

After Clause 139

 

LORD KINGSLAND
LORD HUNT OF WIRRAL

137Insert the following new Clause—
  "Handling of complaints by approved regulator
(1)  The Board may direct that complaints within the jurisdiction of the ombudsman scheme and of such description as are specified in the direction shall be determined by an approved regulator instead of an ombudsman.
(2)  The Board may by further direction vary or withdraw a direction given under subsection (1).
(3)  Before giving a direction under this section the Board must consult—
(a)  the OLC,
(b)  the approved regulator concerned, and
(c)  such other persons as the Board considers it reasonable to consult.
(4)  If the Board gives a direction under this section, it must—
(a)  give a copy to the OLC, the Secretary of State, the approved regulator concerned, and any person consulted under subsection (3)(c), and
(b)  publish the direction in the way it thinks fit.
(5)  A direction under this section may include—
(a)  transitional provision in relation to complaints already being dealt with under the ombudsman scheme or by an approved regulator, and
(b)  incidental, supplemental or consequential provision, including provision applying a provision of or made under this Part, with or without modifications, to the determination of a complaint by an approved regulator."

 
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5 March 2007