Amendment text (15 May 2007)

House of Lords

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Legal Services Bill [HL]

MARSHALLED
LIST OF AMENDMENTS
TO BE MOVED
ON THIRD READING

[Amendments marked * are new or have been altered]

Amendment
No.

After Clause 11

LORD KINGSLAND
LORD HUNT OF WIRRAL

1*	Insert the following new Clause—

"Professional representations

Section 10 shall apply mutatis mutandis to representations by approved regulators whether in their regulatory or representative capacity."

Clause 64

BARONESS ASHTON OF UPHOLLAND

2	Page 36, line 30, leave out from "of" to "the" in line 31 and insert "giving effect to indemnification arrangements and compensation arrangements"

Clause 83

LORD KINGSLAND
LORD HUNT OF WIRRAL

3*	Page 48, line 35, at end insert—

"( )	appropriate provision requiring the licensing authority to consider the likely impact of a proposed application on access to justice when determining the application,"

Clause 106

BARONESS ASHTON OF UPHOLLAND

4	Page 58, leave out lines 6 to 8 and insert "the following paragraphs of Schedule 11—"

5	Page 58, line 22, leave out "the following paragraphs of Schedule 11"

6	Page 58, line 23, at end insert—

"( )	section 83(5)(a) to (f);"

7	Page 58, line 24, after "1" insert "of Schedule 11"

8	Page 58, line 25, after "4(3)" insert "of that Schedule"

9	Page 58, line 26, after "6" insert "of that Schedule"

10	Page 58, line 27, after "20" insert "of that Schedule"

11	Page 58, line 27, at end insert—

"( )	If the licensing authority's licensing rules, as they apply in relation to a body to which an order under subsection (3)(a) relates, make provision requiring the body to have—

(a)	a Head of Legal Practice approved by the licensing authority, or

(b)	a Head of Finance and Administration approved by the licensing authority,

they must also provide for a review by the licensing authority of any decision by it to refuse or withdraw that approval."

Clause 207

BARONESS ASHTON OF UPHOLLAND

12	Page 116, line 21, leave out paragraph (c)

Clause 212

LORD NEILL OF BLADEN

13	Page 120, line 5, at end insert "provided always that no order may be made by the Lord Chancellor bringing into force Part 5 of this Act and the related Schedules 10 to 14 until after—

(a)	consideration by both Houses of Parliament of a comprehensive report to be commissioned by the Lord Chancellor from an independent source analyzing—

(i)	the advantages or disadvantages (or both) which may be realistically expected to flow from the implementation of Part 5, including the benefits or risks (or both) to consumers;

(ii)	the potential enhancement or curtailment (or both) of access to justice; and

(iii)

the threats actual or internationally perceived to the independence of lawyers practising in England and Wales; and

(b)	the laying of the draft of a statutory instrument designed to bring into force the whole or part of Part 5 and the related Schedules before each House of Parliament and approval thereof by resolution of each House.

(3)	In this section an "independent source" means a source (such as a research organisation) which is independent of Government, free of connections with any political party and free of connections with any individual or body representing consumer interests or lawyers."

Schedule 1

LORD KINGSLAND
LORD HUNT OF WIRRAL

14*	Page 121, line 15, at end insert—

"(4)	An order made under sub-paragraph (3) is subject to affirmative resolution of both Houses of Parliament."

Schedule 3

BARONESS ASHTON OF UPHOLLAND

15	Page 132, line 4, leave out from "any" to end of line 5 and insert "condition subject to which its recognition under that section had effect, or"

Schedule 5

BARONESS ASHTON OF UPHOLLAND

16	Page 149, line 31, leave out from "any" to end of line 33 and insert "condition subject to which its recognition has effect, and"

17	Page 152, line 34, at end insert—

"17A (1) During the transitional period, a person ("P") is an exempt person in relation to the carrying on of an activity ("the relevant activity") which is a reserved legal activity within sub-paragraph (2), if—

(a)	P carries on the relevant activity by virtue of an employee of P ("E") carrying it on in E's capacity as such an employee, and

(b)	E is an authorised member of the Association of Law Costs Draftsmen (within the meaning of paragraph 17(2) of this Schedule).

(2)	The reserved legal activities mentioned in sub-paragraph (1) are—

(a)	the exercise of a right of audience;

(b)	the conduct of litigation;

(c)	the administration of oaths.

(3)	If P is a body, in this paragraph references to an employee of P include references to a manager of P."

Schedule 13

BARONESS ASHTON OF UPHOLLAND

18	Page 195, line 17, leave out "or partner"

19	Page 195, line 17, at end insert—

"( )	a partner of A (except, where S or V is a partnership in which A is a partner, another partner in S or V),"

Schedule 16

BARONESS ASHTON OF UPHOLLAND

20	Page 244, line 35, leave out paragraph 40 and insert—

"40 For section 44B (examination of files) substitute—

"44B Provision of information and documents by solicitors etc

(1)	The Society may by notice require a person to whom this section applies—

(a)	to provide information, or information of a description, specified in the notice, or

(b)	produce documents, or documents of a description, specified in the notice.

(2)	This section applies to—

(a)	a solicitor;

(b)	an employee of a solicitor;

(c)	a recognised body;

(d)	an employee or manager of, or a person with an interest in shares in, a recognised body.

(3)	The Society may give a notice under this section only if it is satisfied that it is necessary to do so for the purpose of investigating—

(a)	whether there has been professional misconduct by a solicitor;

(b)	whether a solicitor has failed to comply with any requirements imposed by or by virtue of this Act or any rules made by the Society;

(c)	whether a recognised body, or any of its managers or employees has failed to comply with any requirement imposed by or by virtue of the Administration of Justice Act 1985 or any rules made by the Society and applicable to the body, manager or employee by virtue of section 9 of that Act;

(d)	whether there are grounds for making, or making an application to the Tribunal for it to make, an order under section 43(2) with respect to a person who is or was involved in a legal practice (within the meaning of section 43(1A)).

(4)	A notice under this section—

(a)	may specify the time and place at which, and manner and form in which, the information is to be provided or document is to be produced;

(b)	must specify the period within which the information is to be provided or the document produced;

(c)	may require the information to be provided or document to be produced to the Society or to a person specified in the notice.

(5)	The Society may pay to any person such reasonable costs as may be incurred by that person in connection with the provision of any information, or production of any document, by that person pursuant to a notice under this section.

(6)	Paragraphs 9(3) and (4) and 13, 15 and 16 of Schedule 1 apply in relation to the powers to obtain information conferred by this section, but for this purpose paragraph 9 of that Schedule has effect as if—

(a)	in sub-paragraph (3) for "such documents" there were substituted "information to which a notice given to him under section 44B applies",

(b)	in that sub-paragraph for "sub-paragraph (1)" there were substituted "the notice", and

(c)	in sub-paragraph (4) for "produce" (in the first place) to the end there were substituted "provide information pursuant to a notice under section 44B to provide the information to any person appointed by the Society at such time and place as may be specified in the order."

(7)	Paragraphs 9 (other than sub-paragraphs (1) and (3)), 12, 13, 15 and 16 of Schedule 1 apply in relation to the powers to obtain documents conferred by this section as they apply in relation to the powers conferred by paragraph 9(1) of that Schedule, except that for this purpose—

(a)	any reference in paragraph 9 of that Schedule to a person appointed, or to a requirement, under sub-paragraph (1) of that paragraph is to be construed as a reference to a person appointed, or to a requirement to produce documents, under this section,

(b)	any reference in that paragraph to any such documents as are mentioned in paragraph 9(1) of that Schedule is to be construed as a reference to any documents to which a notice under this section applies,

(c)	the reference to the solicitor or his firm in paragraph 9(5) of that Schedule, and the reference to the solicitor or personal representative in paragraph 9(7) of that Schedule, are to be construed as references to the person to whom the notice was given under this section, and

(d)	the reference in paragraph 9(12) of that Schedule to the Society is to be construed as including a reference to a person specified under subsection (4)(c).

(8)	In this section—

"manager" has the same meaning as in the Legal Services Act 2007 (see section 208 of that Act);

"recognised body" means a body recognised under section 9 of the Administration of Justice Act 1985;

and the reference to a person who has an interest in shares in a recognised body is to be construed in accordance with sections 72 and 109 of the Legal Services Act 2007.

44BA Power to require explanation of document or information

(1)	The Society may, by notice, require a person to whom a notice is given under section 44B (or a representative of the person) to attend at a time and place specified in the notice to provide an explanation of any information provided or document produced pursuant to the notice.

(2)	The Society may pay to any person such reasonable costs as may be incurred by that person in connection with that person's compliance with a requirement imposed under subsection (1).

(3)	Paragraphs 9(3) and (4) and 13, 15 and 16 of Schedule 1 apply in relation to a notice under this section, except that for this purpose paragraph 9 of that Schedule has effect as if—

(a)	in sub-paragraph (3) for "having" to "sub-paragraph (1)" there were substituted "refuses, neglects or otherwise fails to comply with a requirement under section 44BA(1)", and

(b)

in sub-paragraph (4) for "produce" (in the first place) to the end there were substituted "provide an explanation of any information provided or document produced pursuant to a notice under section 44B (or a representative of such a person) to attend at a time and place specified in the order to provide an explanation of any information so provided or document so produced."

44BB Provision of information and documents by other persons

(1)	The High Court, on the application of the Society, may order a person to whom section 44B does not apply—

(a)	to provide information, or information of a description, specified in the notice, or

(b)	to produce documents, or documents of a description, specified in the notice.

(2)	The High Court may make an order under this section only if it is satisfied—

(a)	that it is likely that the information or document is in the possession or custody of, or under the control of, the person, and

(b)	that there is reasonable cause to believe that the information or document is likely to be of material significance to an investigation into any of the matters mentioned in section 44B(3)(a) to (d).

(3)	An order under this section may direct the Society to pay to a person specified in the order such reasonable costs as may be incurred by that person in connection with the provision of any information, or production of any document, by that person pursuant to the order.

(4)	Section 44B(4) applies in relation to an order under this section as it applies in relation to a notice under section 44B.

(5)	Paragraphs 9(5A) and (7) to (12), 12, 13, 15 and 16 of Schedule 1 apply in relation to an order under this section as they apply in relation to an order under paragraph 9(4) of that Schedule, except that for this purpose—

(a)	the reference to the solicitor or personal representative in paragraph 9(7) of that Schedule is to be construed as a reference to the person in respect of whom the order under this section is made, and

(b)	the reference in paragraph 9(12) of that Schedule to the Society is to be read as including a reference to a person specified under section 44B(4)(c) (as applied by subsection (4) of this section).

44BC Information offences

(1)	It is an offence for a person who knows or suspects an investigation into any of the matters mentioned in section 44B(3)(a) to (d) is being or is likely to be conducted—

(a)	to falsify, conceal, destroy or otherwise dispose of a document which the person knows or suspects is or would be relevant to the investigation, or

(b)	to cause or permit the falsification, concealment, destruction or disposal of such a document.

(2)	In proceedings for an offence under subsection (1) it is a defence for the accused to show that the accused had no intention of concealing facts disclosed by the documents from the person conducting the investigation.

(3)	It is an offence for a person, in purported compliance with a requirement imposed on the person under section 44B, 44BA or 44BB—

(a)	to provide information which the person knows to be false or misleading in a material particular, or

(b)	recklessly to provide information which is false or misleading in a material particular.

(4)	A person who is guilty of an offence under subsection (1) or (3) is liable—

(a)	on summary conviction, to imprisonment for a term not exceeding 12 months or a fine not exceeding the statutory maximum, or both;

(b)	on conviction on indictment, to imprisonment for term not exceeding 2 years or a fine, or both.

(5)	In relation to an offence under subsection (1) or (3) committed before the commencement of section 154(1) of the Criminal Justice Act 2003 the reference in subsection (4)(a) to 12 months is to be read as a reference to 6 months.""

21	Page 256, line 6, leave out "the Compensation Fund" and insert "compensation funds (within the meaning of section 36A)"

22	Page 268, line 41, leave out paragraph 96 and insert—

"96 For paragraph 14 (examination of files) substitute—




©Parliamentary copyright 2007	15 May 2007