House of Lords Amendments

House of Lords

Session 2006 - 07
Internet Publications
Other Bills before Parliament

Legal Services Bill [HL]

Legal Services Bill [HL]
MARSHALLED LIST FOR CONSIDERATION OF COMMONS AMENDMENTS
[The page and line references are to Bill 108, the bill as first printed for the Lords]
Clause 8
1
Page 3, line 28, leave out subsection (2) and insert—

“( )
The Consumer Panel is to consist of such consumers, or persons representing the

interests of consumers, as the Board may appoint with the approval of the Lord

Chancellor.”
2
Page 4, line 21, leave out “on terms and conditions” and insert “for a fixed period, and on

other terms and conditions,”
3
Page 4, line 23, at end insert—

“( )
But a person may be removed from office in accordance with those terms and

conditions only with the approval of the Lord Chancellor.

( )
A person who ceases to be chairman or another member of the Consumer Panel

may be re-appointed.”
Clause 15
4
Page 7, line 15, at end insert—

“( )
Where P is an independent trade union, persons provided with relevant services by

virtue of—

(a)
their membership or former membership of P, or

(b)
another person’s membership or former membership of P,


do not constitute the public or a section of the public.”

Lord Kingsland to move, as an amendment to the motion that this House do agree

with the Lords in their Amendment 4, leave out from “House” to end and insert

“do disagree with the Lords in their Amendment 4 but do propose Amendment

4A in lieu—
4A
Page 7, line 15, at end insert—

HL Bill 105—I 54/2

(  2  )

“(5A)
Where P is an independent trade union, persons provided with relevant services do

not constitute the public or a section of the public in the circumstances specified in

subsection (5B).

(5B)
The circumstances are—

(a)
the persons are provided with the services by virtue of—

(i)
their membership or former membership of P, or

(ii)
another person’s membership or former membership of P,

(b)
the services are provided to the persons in connection with any matter

which arises out of the terms and conditions of their employment, their

treatment by their employers, their workplace relationships or their

workplace or other working conditions, and

(c)
any such employment, employer or workplace is one in respect of which P

represents, or seeks to represent, workers as a trade union.”
5
Page 7, line 16, after “(6)” insert “Subject to that,”
Clause 19
6
Page 9, line 17, leave out from “who” to end of line 18 and insert “, for the purposes of

carrying on the relevant activity, is an exempt person by virtue of—

(a)
Schedule 3 (exempt persons), or

(b)
paragraph 13 or 18 of Schedule 5 (additional categories of exempt persons

during transitional period).”
Clause 21
7
Page 11, line 29, leave out “(other than an individual)”
Clause 23
8
Page 12, line 1, leave out “a” and insert “an independent”
Clause 29
9
Page 14, line 26, leave out “and” and insert “or”
Clause 31
10
Page 15, line 30, leave out from “on” to “and” in line 31 and insert “one or more of the

regulatory objectives,”

Lord Hunt of Kings Heath to move, That this House do disagree with the Lords

in their Amendment 10 but do propose Amendment 10A in lieu—
10A
Page 15, line 30, leave out from “impact” to end of line 33 and insert “on one or more of

the regulatory objectives, and

(b)
that it is appropriate to take the action proposed under subsection (1) in all

the circumstances of the case (including in particular the impact of taking

the action on the other regulatory objectives).”
Clause 32
11
Page 16, line 14, leave out from “have,” to end of line 15 and insert “an adverse impact on

one or more of the regulatory objectives,”

(  3  )
Lord Hunt of Kings Heath to move, That this House do disagree with the Lords

in their Amendment 11 but do propose Amendments 11A and 11B in lieu—
11A
Page 16, line 14, leave out from “likely” to end of line 15 and insert “to have an adverse

impact on one or more of the regulatory objectives,”
11B
Page 16, line 33, at end insert—

“( )
In a case within subsection (1)(a), before giving a direction under subsection (2)

the Board must in particular consider the impact of giving the direction on the other

regulatory objectives.”
Clause 35
12
Page 17, line 27, leave out from “have,” to “and” in line 28 and insert “an adverse impact

on one or more of the regulatory objectives,”
Lord Hunt of Kings Heath to move, That this House do disagree with the Lords

in their Amendment 12 but do propose Amendment 12A in lieu—
12A
Page 17, line 27, leave out from “have” to end of line 30 and insert “an adverse impact on

one or more of the regulatory objectives, and

(b)
that it is appropriate to act under this section in all the circumstances of the

case (including in particular the impact of so acting on the other regulatory

objectives).”
Clause 41
13
Page 21, line 9, leave out from “have,” to “and” in line 10 and insert “an adverse impact on

one or more of the regulatory objectives,”
Lord Hunt of Kings Heath to move, That this House do disagree with the Lords

in their Amendment 13 but do propose Amendment 13A in lieu—
13A
Page 21, line 9, leave out from “have” to end of line 12 and insert “an adverse impact on

one or more of the regulatory objectives, and

(b)
that it is appropriate to give the intervention direction in all the

circumstances of the case (including in particular the impact of giving the

direction on the other regulatory objectives).”
Clause 45
14
Page 23, line 29, leave out from “have,” to “and” in line 30 and insert “an adverse impact

on one or more of the regulatory objectives,”
Lord Hunt of Kings Heath to move, That this House do disagree with the Lords

in their Amendment 14 but do propose Amendments 14A and 14B in lieu—
14A
Page 23, line 29, leave out from “have” to end of line 32 and insert “an adverse impact on

one or more of the regulatory objectives, and

(b)
that it is appropriate to cancel the body’s designation in relation to the

activity or activities in question in all the circumstances of the case

(including in particular the impact of cancelling the designation on the

other regulatory objectives).”
14B
Page 43, line 16, leave out from “that” to end of line 18 and insert “it is appropriate to cancel

the approved regulator’s designation in relation to the activity or activities in question in all

the circumstances of the case (including in particular the impact of cancelling the

designation on the other regulatory objectives).”

(  4  )

Clause 49
15
Page 27, line 1, leave out subsection (3) and insert—

“( )
In preparing a statement of policy, the Board must have regard to the principle that

its principal role is the oversight of approved regulators.

( )
The statement of policy prepared under subsection (1) must—

(a)
take account of the desirability of resolving informally matters which arise

between the Board and an approved regulator, and

(b)
specify how, in exercising the functions mentioned in that subsection, the

Board will comply with the requirements of section 3(3) (regulatory

activities to be proportionate, consistent and targeted only at cases in

which action is needed, etc).”

Lord Kingsland to move, as an amendment to the motion that this House do agree

with the Lords in their Amendment 15, at end insert “but do propose Amendment

15A as an amendment to Lords Amendment 15—
15A
Line 10, at end insert “, and

(c)
ensure that the Board exercises its powers only where it considers that the

action or inaction of an approved regulator is not an approach which the

approved regulator could reasonably have taken.””
Clause 64
16
Page 35, line 45, at end insert—

“( )
to make regulations or rules providing for appeals to the High Court or

another body against decisions made by the Board in its capacity as an

approved regulator (including regulations or rules providing for a decision

on such an appeal to be final and for orders as to payment of costs).”
Clause 72
17
Page 41, line 10, leave out subsections (1) and (2) and insert—

“(1)
A body (“B”) is a licensable body if a non-authorised person—

(a)
is a manager of B, or

(b)
has an interest in B.

(2)
A body (“B”) is also a licensable body if—

(a)
another body (“A”) is a manager of B, or has an interest in B, and

(b)
non-authorised persons are entitled to exercise, or control the exercise of,

at least 10% of the voting rights in A.

(2A)
For the purposes of this Act, a person has an interest in a body if—

(a)
the person holds shares in the body, or

(b)
the person is entitled to exercise, or control the exercise of, voting rights in

the body.

(2B)
A body may be licensable by virtue of both subsection (1) and subsection (2).

(2C)
For the purposes of this Act, a non-authorised person has an indirect interest in a

licensable body if the body is licensable by virtue of subsection (2) and the non-

authorised person is entitled to exercise, or control the exercise of, voting rights in

A.”
18
Page 41, line 26, at end insert “,

(  5  )


and references to the holding of shares, or to a shareholding, are to be construed

accordingly.”
Clause 83
19
Page 48, line 17, at end insert—

“( )
provision as to how the licensing authority, when considering the

regulatory objectives (in compliance with its duties under section 3(2) or

28(2)) in connection with an application for a licence, should take account

of the objective of improving access to justice,”

Lord Thomas of Gresford to move, as an amendment to the motion that this House do

agree with the Lords in their Amendment 19, at end insert “but do propose

Amendment 19A as an amendment to Lords Amendment 19—
19A
Line 5, at end insert “in particular, the impact of the granting of the licence applied for upon

the existing provision of legal services.””
20
Page 48, line 24, leave out paragraph (e)
Clause 85
21
Page 49, line 39, leave out “persons having an interest in shares,” and insert “non-

authorised persons having an interest or an indirect interest,”
Clause 90
22
Page 51, line 10, leave out “or has an interest in shares” and insert “or has an interest or an

indirect interest”
Clause 93
23
Page 52, line 20, after “who” insert “has an interest or an indirect interest or”
Clause 105
24
Page 57, line 5, leave out “a” and insert “an independent”
25
Page 57, line 7, leave out second “a” and insert “an independent”
Clause 106
26
Page 57, line 10, leave out “a” and insert “an independent”
27
Page 57, line 36, leave out “in shares” and insert “or an indirect interest”
Clause 108
28
Page 59, line 5, leave out “non-authorised persons” and insert “within subsection (3A)”
29
Page 59, line 7, leave out “in which non-authorised persons have an interest” and insert

“held by persons within subsection (3A)”
30
Page 59, line 9, leave out “power” and insert “rights”
31
Page 59, line 9, leave out “non-authorised” and insert “such”
32
Page 59, line 12, leave out “in which non-authorised persons have an interest” and insert

(  6  )

“held by such persons”
33
Page 59, line 14, leave out “power” and insert “rights”
34
Page 59, line 14, leave out “non-authorised” and insert “such”
35
Page 59, line 16, at end insert—

“(3A)
The persons within this subsection are—

(a)
non-authorised persons;

(b)
licensed bodies.”
36
Page 59, leave out lines 20 to 23
Clause 111
37
Page 60, line 21, leave out “in shares”
38
Page 60, line 24, leave out sub-paragraph (ii) and insert—

“(ii)
are bodies in which persons within paragraphs (a) to (c) are

entitled to exercise, or control the exercise of, more than 90% of

the voting rights.”
Clause 133
39
Page 68, line 42, leave out paragraph (i)
39A
Lord Kingsland to move, as an amendment to the motion that this House do agree

with the Lords in their Amendment 39, leave out “agree” and insert “disagree”
40
Page 69, line 38, leave out “, (i)”
40A
Lord Kingsland to move, as an amendment to the motion that this House do agree

with the Lords in their Amendment 40, leave out “agree” and insert “disagree”
Clause 136
41
Page 70, line 36, at end insert—

“(1A)
The rules must provide for charges payable in relation to a complaint to be waived

(or wholly refunded) where—

(a)
the complaint is determined or otherwise resolved in favour of the

respondent, and

(b)
the ombudsman is satisfied that the respondent took all reasonable steps to

try to resolve the complaint under the respondent’s complaints procedures.

(1B)
The rules may make provision as to—

(a)
the circumstances in which a complaint is to be treated as determined or

otherwise resolved in favour of the respondent (which may include

circumstances where a complaint is settled, withdrawn or abandoned (or

treated as withdrawn or abandoned by virtue of scheme rules));

(b)
matters to be taken into account by the ombudsman for the purposes of

subsection (1A)(b).

(1C)
The respondent’s complaints procedures are the procedures established by the

respondent, or which the respondent participates in or is subject to, in accordance

with regulatory arrangements (or licensing rules of the Board) made in accordance

with section 112.”