Introductory Text
Part 1 The regulatory objectives etc.
Introduction
1.Regulatory objectives
2.Professional principles
3.Legal services
Role of Ministers
4.Ministerial oversight
5.Consultation by Ministers
Part 2 Regulation of licensed legal services
Chapter 1 Approved regulators
Approved regulators
6.Approved regulators
7.Approval of regulators
8.Pre-approval consideration
9.Lord President’s agreement
10.Authorisation to act
11.Request for authorisation
Regulatory schemes
12.Regulatory schemes
13.Reconciling different rules
Licensing rules
14.Licensing rules: general
15.Initial considerations
16.Other licensing rules
17.Licensing appeals
Practice rules
18.Practice rules: general
19.Financial sanctions
20.Enforcement of duties
21.Performance report
22.Accounting and auditing
23.Professional indemnity
Compensation arrangements
24.Choice of arrangements
25.Compensation rules: general
26.More about compensation arrangements
Internal governance
27.Internal governance arrangements
28.Communicating outside
29.More about governance
Regulatory functions etc.
30.Regulatory and representative functions
31.Assessment of licensed providers
Relationship with other bodies
32.Giving information to SLAB
33.Reporting to Law Society
34.Steps open to Society
35.Financial inspection by Society
Performance and measures
36.Review of own performance
37.Monitoring by Ministers
38.Measures open to Ministers
Ceasing to regulate
39.Surrender of authorisation
40.Cessation directions
41.Transfer arrangements
42.Extra arrangements
Change of regulator
43.Change of approved regulator
44.Step-in by Ministers
Additional functions etc.
45.Additional powers and duties
46.Guidance on functions
Chapter 2 Licensed legal services providers
Licensed providers
47.Licensed providers
48.Eligibility criteria
49.Majority ownership
Key duties and positions
50.Key duties
51.Head of Legal Services
52.Head of Practice
53.Practice Committee
Appointment to position etc.
54.Notice of appointment
55.Challenge to appointment
56.Disqualification from position
57.Effect of disqualification
58.Conditions for disqualification
Designated persons
59.Designated persons
60.Working context
61.Listing and information
Non-solicitor investors
62.Fitness for involvement
63.Exemption from fitness test
64.Factors as to fitness
65.Ban for improper behaviour
66.Behaving properly
67.More about investors
Discontinuance of services
68.Duty to warn
69.Inability to operate
70.Safeguarding clients
71.Distribution of client account
Professional practice etc.
72.Employing disqualified lawyer
73.Concealing disqualification
74.Pretending to be licensed
75.Professional privilege
Chapter 3 Further provision
Achieving regulatory aims
76.Input by the OFT
77.Role of approved regulators
78.Policy statement
Complaints
79.Complaints about regulators
80.Levy payable by regulators
81.Complaints about providers
Registers and lists
82.Register of approved regulators
83.Registers of licensed providers
84.Lists of disqualified persons
Miscellaneous
85.Privileged material
86.Immunity from damages
87.Appeal procedure
88.Corporate offences
89.Effect of professional or other rules
Part 3 Confirmation and will writing services
Chapter 1 Confirmation services
Regulation of confirmation agents
90.Confirmation agents and services
91.Approving bodies
92.Certification of bodies
93.Regulatory schemes
94.Financial sanctions
95.Review of own performance
96.Pretending to be authorised
Other regulatory matters
97.Revocation of certification
98.Surrender of certification
99.Register and list
Ministerial functions
100.Ministerial intervention
Chapter 2 Will writing services
Regulation of will writers
101.Will writers and services
102.Approving bodies
103.Certification of bodies
104.Regulatory schemes
105.Financial sanctions
106.Review of own performance
107.Pretending to be authorised
108.Revocation of certification
109.Surrender of certification
110.Register and list
111.Ministerial intervention
112.Step-in by Ministers
113.Regard to OFT input
114.Complaints about services
115.Privilege and immunity
116.Appeal procedure
117.Corporate offences
118.Consequential modification
Part 4 The legal profession
Chapter 1 Applying the regulatory objectives
119.Application by the profession
Chapter 2 Faculty of Advocates
120.Regulation of the Faculty
121.Professional rules
122.Particular rules
Chapter 3 Solicitors and other representatives
Removal of practising restrictions
123.Licensed providers as qualified persons
124.Practice rules for licensed providers
125.Citizens advice bodies
Lay representation
126.Court of Session rules
127.Sheriff court rules
Guarantee Fund
128.Use of Guarantee Fund
129.Contributions to the Fund
130.Cap on individual claims
The Law Society
131.Acting as approved regulator
132.Council membership
133.Regulatory committee
The 1980 Act: further modification
134.Keeping the solicitors roll etc.
135.Removal from the roll etc.
136.Restoration to the roll
137.Suspension from practice
138.Accounts rules fee
139.Powers of Tribunal
Chapter 4 Other bodies
Scottish Legal Aid Board
140.Exclusion from giving legal assistance
141.Availability of legal services
142.Information about legal services
Scottish Legal Complaints Commission
143.Relevant practitioners
144.Minor amendments
145.The 2007 Act: further provision
Part 5 General
146.Regulations
147.Further modification
148.Ancillary provision
149.Definitions
150.Commencement and short title
SCHEDULE 1
Performance targets
1.Application
2.Power to set targets
3.Notice of intention
4.Consultation
5.Decision
SCHEDULE 2
Directions
2.Power to direct
6.Extension of time to comply
7.Enforcement
SCHEDULE 3
Censure
2.Power to censure
3.Preliminary advice
4.Notice of intention
5.Consultation
6.Decision
SCHEDULE 4
Financial penalties
2.Power to impose penalty
3.Amount of penalty
7.Variation of penalty
8.Appeal
9.Appeal grounds
10.Time for appeal
11.Interest
12.Default
SCHEDULE 5
Amendment of authorisation
2.Power to amend
SCHEDULE 6
Rescission of authorisation
2.Power to rescind
SCHEDULE 7
Surrender of authorisation
2.Surrender notice
3.Consultation
4.Decision
5.Date of surrender
SCHEDULE 8
Investors in licensed providers
1.Initial notification requirements
2.(1) It is an offence for a person to fail...
3.Continuing notification requirements
4.Exemption from notification requirements
5.Requirement to notify investors
6.Approved regulator may obtain information
SCHEDULE 9
Index of expressions used