Search Legislation

Legal Services (Scotland) Act 2010

What Version

 Help about what version

Advanced Features

 Help about advanced features

Changes to legislation:

There are currently no known outstanding effects for the Legal Services (Scotland) Act 2010, SCHEDULE 4. Help about Changes to Legislation

Close

Changes to Legislation

Revised legislation carried on this site may not be fully up to date. At the current time any known changes or effects made by subsequent legislation have been applied to the text of the legislation you are viewing by the editorial team. Please see ‘Frequently Asked Questions’ for details regarding the timescales for which new effects are identified and recorded on this site.

SCHEDULE 4SFinancial penalties

(introduced by section 38(3))

This schedule has no associated Explanatory Notes

ApplicationS

1This schedule applies where the Scottish Ministers are satisfied that an approved regulator has failed to—

(a)adhere to its internal governance arrangements (including, in particular, those relating to the independent and effective exercise of its regulatory functions), or

(b)comply with a direction given in accordance with schedule 2.

Annotations: Help about Annotation
Close

Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Commencement Information

I1Sch. 4 para. 1 in force at 1.4.2011 for specified purposes by S.S.I. 2011/180, art. 3, Sch.

I2Sch. 4 para. 1 in force at 2.7.2012 in so far as not already in force by S.S.I. 2012/152, art. 2, Sch.

Power to impose penaltyS

2(1)The Scottish Ministers may impose on the approved regulator a penalty, in respect of a failure mentioned in paragraph 1, of an amount not exceeding the prescribed maximum.S

(2)Here, the prescribed maximum is the maximum amount that is prescribed in regulations made by the Scottish Ministers for the purpose of this paragraph.

(3)A financial penalty imposed under this paragraph is payable to the Scottish Ministers.

Annotations: Help about Annotation
Close

Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Commencement Information

I3Sch. 4 para. 2 in force at 1.4.2011 for specified purposes by S.S.I. 2011/180, art. 3, Sch.

I4Sch. 4 para. 2 in force at 2.7.2012 in so far as not already in force by S.S.I. 2012/152, art. 2, Sch.

Amount of penaltyS

3(1)When considering the appropriate amount of a penalty to be imposed under paragraph 2, the Scottish Ministers must have regard to—S

(a)the seriousness of the failure,

(b)the nature of the failure in other respects.

(2)It is material for the purpose of sub-paragraph (1)—

(a)whether the failure was deliberate,

(b)if the failure is attributable to recklessness or negligence, the degree involved.

(3)The Scottish Ministers may consult such person or body as they consider appropriate when considering—

(a)whether to impose a penalty,

(b)the appropriate amount of the penalty.

Annotations: Help about Annotation
Close

Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Commencement Information

I5Sch. 4 para. 3 in force at 1.4.2011 for specified purposes by S.S.I. 2011/180, art. 3, Sch.

I6Sch. 4 para. 3 in force at 2.7.2012 in so far as not already in force by S.S.I. 2012/152, art. 2, Sch.

Notice of intentionS

4(1)Before imposing a financial penalty, the Scottish Ministers must give the approved regulator a notice (a “notice of intention”) of their intention to do so.S

(2)The notice of intention must—

(a)state—

(i)that the Scottish Ministers intend to impose a financial penalty,

(ii)the amount of the proposed penalty,

(b)by reference to the failure concerned and any other relevant facts, explain why the Scottish Ministers consider that—

(i)it is appropriate to impose a penalty,

(ii)the amount of the proposed penalty is appropriate.

Annotations: Help about Annotation
Close

Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Commencement Information

I7Sch. 4 para. 4 in force at 1.4.2011 for specified purposes by S.S.I. 2011/180, art. 3, Sch.

I8Sch. 4 para. 4 in force at 2.7.2012 in so far as not already in force by S.S.I. 2012/152, art. 2, Sch.

ConsultationS

5(1)The approved regulator has 28 days beginning with the date of receipt of the notice of intention (or such longer period as the approved regulator and the Scottish Ministers may agree) to make representations to the Scottish Ministers about the proposed penalty.S

(2)The Scottish Ministers must—

(a)publish the notice of intention in such manner as they consider most appropriate for bringing it to the attention of any relevant person or body,

(b)give a copy of that notice, and a copy of any representations received from the approved regulator, to any person whom or body that they consult under sub-paragraph (3).

(3)After the expiry of the period for representations, the Scottish Ministers may consult such person or body as they consider appropriate about the appropriateness of—

(a)imposing the penalty,

(b)its amount.

Annotations: Help about Annotation
Close

Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Commencement Information

I9Sch. 4 para. 5 in force at 1.4.2011 for specified purposes by S.S.I. 2011/180, art. 3, Sch.

I10Sch. 4 para. 5 in force at 2.7.2012 in so far as not already in force by S.S.I. 2012/152, art. 2, Sch.

DecisionS

6(1)The Scottish Ministers must have regard to any representations made to them by the approved regulator, and any consultee under paragraph 5(3), when deciding whether to proceed with imposing the penalty.S

(2)The Scottish Ministers must—

(a)give a notice to the approved regulator (a “decision notice”) of their decision,

(b)notify the consultees under paragraph 5(3) of their decision,

(c)publish the decision notice in such manner as they consider most appropriate for bringing it to the attention of any relevant person or body.

(3)The decision notice must—

(a)state whether or not a financial penalty is being imposed,

(b)give the reason for the imposition (or otherwise) of a penalty,

(c)if a penalty is being imposed—

(i)state the amount of the penalty (and mention any allowance made for payment by instalments),

(ii)explain why the Scottish Ministers consider that amount to be appropriate,

(iii)specify the date by which the penalty requires to be paid in full.

(4)That date must not be within the 3 months beginning with the day on which the decision notice is given to the approved regulator (but this does not preclude earlier payment at the initiative of the approved regulator).

(5)For the purpose of this schedule, relevant persons or bodies include—

(a)other approved regulators,

(b)providers of legal services,

(c)organisations representing the interests of consumers,

(d)members of the public.

Annotations: Help about Annotation
Close

Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Commencement Information

I11Sch. 4 para. 6 in force at 1.4.2011 for specified purposes by S.S.I. 2011/180, art. 3, Sch.

I12Sch. 4 para. 6 in force at 2.7.2012 in so far as not already in force by S.S.I. 2012/152, art. 2, Sch.

Variation of penaltyS

7(1)The Scottish Ministers may, on an application from an approved regulator received within 21 days beginning with the day on which the decision notice is given to the approved regulator—S

(a)vary the date by which the penalty requires to be paid,

(b)allow for the penalty to be paid by—

(i)instalments (if not already allowed), or

(ii)different instalments (if allowed).

(2)Where an application is made under sub-paragraph (1), no part of the penalty is required to be paid before the Scottish Ministers notify the approved regulator of their determination of the application.

Annotations: Help about Annotation
Close

Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Commencement Information

I13Sch. 4 para. 7 in force at 1.4.2011 for specified purposes by S.S.I. 2011/180, art. 3, Sch.

I14Sch. 4 para. 7 in force at 2.7.2012 in so far as not already in force by S.S.I. 2012/152, art. 2, Sch.

AppealS

8(1)An approved regulator on which a financial penalty is imposed under paragraph 2 may appeal to the Court of Session against the penalty on one or more of the appeal grounds.S

(2)On an appeal under this paragraph—

(a)the Court may—

(i)uphold, vary or quash the decision that is the subject of the appeal,

(ii)make such further order as is necessary in the interests of justice,

(b)the Court's determination is final.

Annotations: Help about Annotation
Close

Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Commencement Information

I15Sch. 4 para. 8 in force at 1.4.2011 for specified purposes by S.S.I. 2011/180, art. 3, Sch.

I16Sch. 4 para. 8 in force at 2.7.2012 in so far as not already in force by S.S.I. 2012/152, art. 2, Sch.

Appeal groundsS

9The grounds for an appeal under paragraph 8 are—

(a)that, in the circumstances of the case—

(i)it was not appropriate to impose the penalty, or

(ii)the amount of the penalty is excessive,

(b)that the date specified under paragraph 6(3)(c)(iii) is unreasonable,

(c)that the other arrangements for payment are unreasonable, including—

(i)the absence of any provision for payment by instalments, or

(ii)any provision for payment by instalments that has been allowed,

(d)that—

(i)the penalty was imposed otherwise than in accordance with this schedule, and

(ii)the approved regulator's interests have been substantially prejudiced as a result.

Annotations: Help about Annotation
Close

Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Commencement Information

I17Sch. 4 para. 9 in force at 1.4.2011 for specified purposes by S.S.I. 2011/180, art. 3, Sch.

I18Sch. 4 para. 9 in force at 2.7.2012 in so far as not already in force by S.S.I. 2012/152, art. 2, Sch.

Time for appealS

10(1)An appeal under paragraph 8 is to be made—S

(a)within the 3 months beginning with the day on which the decision notice is given to the approved regulator, or

(b)where the ground of appeal is referable to something done under paragraph 7(1), within the 3 months beginning with the day on which the approved regulator is notified of the thing done.

(2)Where an appeal is made under paragraph 8, no part of the penalty requires to be paid before the appeal is determined or withdrawn.

Annotations: Help about Annotation
Close

Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Commencement Information

I19Sch. 4 para. 10 in force at 1.4.2011 for specified purposes by S.S.I. 2011/180, art. 3, Sch.

I20Sch. 4 para. 10 in force at 2.7.2012 in so far as not already in force by S.S.I. 2012/152, art. 2, Sch.

InterestS

11(1)If the whole or part of a penalty is not paid as required in accordance with this schedule the unpaid amount carries interest at the prescribed rate.S

(2)Here, the prescribed rate is the rate that is prescribed in regulations made by the Scottish Ministers for the purpose of this paragraph.

Annotations: Help about Annotation
Close

Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Commencement Information

I21Sch. 4 para. 11 in force at 1.4.2011 for specified purposes by S.S.I. 2011/180, art. 3, Sch.

I22Sch. 4 para. 11 in force at 2.7.2012 in so far as not already in force by S.S.I. 2012/152, art. 2, Sch.

DefaultS

12(1)Sub-paragraph (2) applies where the whole or part of a penalty is not paid as required in accordance with this schedule.S

(2)The Scottish Ministers may recover from the approved regulator, as a debt due to them—

(a)the penalty or (as the case may be) the part of it, and

(b)the interest that it carries.

Annotations: Help about Annotation
Close

Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Commencement Information

I23Sch. 4 para. 12 in force at 1.4.2011 for specified purposes by S.S.I. 2011/180, art. 3, Sch.

I24Sch. 4 para. 12 in force at 2.7.2012 in so far as not already in force by S.S.I. 2012/152, art. 2, Sch.

Back to top

Options/Help

Print Options

You have chosen to open The Whole Act

The Whole Act you have selected contains over 200 provisions and might take some time to download. You may also experience some issues with your browser, such as an alert box that a script is taking a long time to run.

Would you like to continue?

You have chosen to open The Whole Act as a PDF

The Whole Act you have selected contains over 200 provisions and might take some time to download.

Would you like to continue?

You have chosen to open the Whole Act

The Whole Act you have selected contains over 200 provisions and might take some time to download. You may also experience some issues with your browser, such as an alert box that a script is taking a long time to run.

Would you like to continue?

Close

Legislation is available in different versions:

Latest Available (revised):The latest available updated version of the legislation incorporating changes made by subsequent legislation and applied by our editorial team. Changes we have not yet applied to the text, can be found in the ‘Changes to Legislation’ area.

Original (As Enacted or Made):The original version of the legislation as it stood when it was enacted or made. No changes have been applied to the text.

Close

See additional information alongside the content

Geographical Extent: Indicates the geographical area that this provision applies to. For further information see ‘Frequently Asked Questions’.

Show Timeline of Changes: See how this legislation has or could change over time. Turning this feature on will show extra navigation options to go to these specific points in time. Return to the latest available version by using the controls above in the What Version box.

Close

Opening Options

Different options to open legislation in order to view more content on screen at once

Close

Explanatory Notes

Text created by the Scottish Executive department responsible for the subject matter of the Act to explain what the Act sets out to achieve and to make the Act accessible to readers who are not legally qualified. Explanatory Notes were introduced in 1999 and accompany all Acts of the Scottish Parliament except those which result from Budget Bills

Close

More Resources

Access essential accompanying documents and information for this legislation item from this tab. Dependent on the legislation item being viewed this may include:

  • the original print PDF of the as enacted version that was used for the print copy
  • lists of changes made by and/or affecting this legislation item
  • confers power and blanket amendment details
  • all formats of all associated documents
  • correction slips
  • links to related legislation and further information resources
Close

More Resources

Use this menu to access essential accompanying documents and information for this legislation item. Dependent on the legislation item being viewed this may include:

  • the original print PDF of the as enacted version that was used for the print copy
  • correction slips

Click 'View More' or select 'More Resources' tab for additional information including:

  • lists of changes made by and/or affecting this legislation item
  • confers power and blanket amendment details
  • all formats of all associated documents
  • links to related legislation and further information resources