Explanatory Notes

Legal Services Act 2007

2007 CHAPTER 29

30th October 2007

Commentary on Sections

Part 5: Alternative Business Structures

Background

Section 98: Referral of employees etc to appropriate regulator

260.This section allows licensing authorities to refer the conduct of licensed bodies’ employees, managers, HoLPs and HOFAs to appropriate regulators – any relevant approved regulators for authorised persons, and any other regulator for persons who are not. The licensing authority may also refer such conduct matters to the Board.