The Licensed Legal Services (Complaints About Approved Regulators) (Scotland) Regulations 2018

Citation, commencement and interpretation

1.—(1) These Regulations may be cited as the Licensed Legal Services (Complaints About Approved Regulators) (Scotland) Regulations 2018 and come into force on 17 December 2018.

(2) In these Regulations—

“the 2010 Act” means the Legal Services (Scotland) Act 2010,

“the Commission” means the Scottish Legal Complaints Commission,

“the Investigator” means—

(a)

the Scottish Ministers, or

(b)

the Commission, where the Scottish Ministers have delegated to it their functions under section 79(4) of the 2010 Act (complaints about regulators)(1).

Application

2.  These Regulations apply to complaints under section 79 of the 2010 Act about an approved regulator except complaints for which section 57E(1) of the Legal Profession and Legal Aid (Scotland) Act 2007(2) (handling complaints) makes provision.

Investigation of multiple complaints

3.—(1) This regulation applies where the Investigator considers that more than one complaint—

(a) concerns the same act or omission (or series of acts or omissions) by an approved regulator or approved regulators, or

(b) alleges a failure to comply by an approved regulator or approved regulators with the same requirement imposed by or under the 2010 Act.

(2) The Investigator may conduct a single investigation into the complaints about an approved regulator or approved regulators

Interim report

4.  Where the Investigator is conducting an investigation, the Investigator may at any time prior to determining a complaint, prepare a written interim report in relation to the investigation and must send a copy of any such report to—

(a) the complainer,

(b) the relevant approved regulator or approved regulators, and

(c) where the Commission is the Investigator, the Scottish Ministers.

Obtaining of information, documents and explanations from an approved regulator

5.—(1) Where the Investigator considers it necessary to do so for the purpose of investigating a complaint, it may give a notice to the approved regulator.

(2) A notice under paragraph (1) may require—

(a) the provision of information to the Investigator, at a time and place specified in the notice, being information which is within the knowledge of the approved regulator and relates to the complaint,

(b) the production or delivery of documents to the Investigator, at a time and place specified in the notice, that are within the possession or control of the approved regulator and relate to the complaint,

(c) an explanation, within such period as the notice specifies being not less than 28 days beginning with the date on which the notice was served, from the approved regulator regarding the matter to which the complaint relates.

(3) The Investigator must without delay serve on the approved regulator a notice giving particulars of the documents or information provided or produced to it and the date on which it took possession.

(4) Nothing in this regulation requires an approved regulator to produce or provide any information or document in respect of which a claim for confidentiality of communications could be maintained in legal proceedings.

ASH DENHAM

Authorised to sign by the Scottish Ministers

St Andrew’s House,

Edinburgh

1st November 2018