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Legal Services Act 2007

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Legal Services Act 2007 is up to date with all changes known to be in force on or before 16 December 2017. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations. Help about Changes to Legislation

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SCHEDULES

Section 2

SCHEDULE 1E+WThe Legal Services Board

MembershipE+W

1(1)The Board is to consist of the following members—E+W

(a)a chairman appointed by the Lord Chancellor,

(b)the Chief Executive of the Board (see paragraph 13), and

(c)at least 7, but not more than 10, other persons appointed by the Lord Chancellor.

(2)In this Schedule a reference to an “ordinary member” is a reference to a member of the Board other than the Chief Executive.

(3)Before appointing an ordinary member, the Lord Chancellor must consult the Lord Chief Justice about the process for appointment of the member and about the person selected for appointment.

(4)The Lord Chancellor may by order amend sub-paragraph (1) by substituting for the limit on the maximum number of persons for the time being specified in paragraph (c) of that sub-paragraph a different limit.

2(1)In appointing persons as ordinary members the Lord Chancellor must ensure that a majority of the members of the Board are lay persons.E+W

(2)The chairman must be a lay person.

(3)It is a condition of the appointment of the chairman that the person appointed must not during the appointment—

(a)carry on any activity which is a reserved legal activity,

(b)provide regulated claims management services (within the meaning of Part 2 of the Compensation Act 2006 (c. 29)), or

(c)provide immigration advice or immigration services,

for or in expectation of any fee, gain or reward.

(4)In this Schedule a reference to a “lay person” is a reference to a person who has never been—

(a)an authorised person in relation to an activity which is a reserved legal activity;

(b)a person authorised, by a person designated under section 5(1) of the Compensation Act 2006, to provide services which are regulated claims management services (within the meaning of that Act);

(c)an advocate in Scotland;

(d)a solicitor in Scotland;

(e)a member of the Bar of Northern Ireland;

(f)a solicitor of the Court of Judicature of Northern Ireland.

(5)For the purposes of sub-paragraph (4), a person is deemed to have been an authorised person in relation to an activity which is a reserved legal activity if that person has before the appointed day been—

(a)a barrister;

(b)a solicitor;

(c)a public notary;

(d)a licensed conveyancer;

(e)granted a certificate issued by the Institute of Legal Executives authorising the person to practise as a legal executive;

(f)a registered patent attorney, within the meaning given by section 275(1) of the Copyright, Designs and Patents Act 1988 (c. 48);

(g)a registered trade mark attorney, within the meaning of the Trade Marks Act 1994 (c. 26); or

(h)granted a right of audience or a right to conduct litigation in relation to any proceedings by virtue of section 27(2)(a) or section 28(2)(a) of the Courts and Legal Services Act 1990 (c. 41) (rights of audience and rights to conduct litigation).

(6)For the purpose of sub-paragraph (5)—

  • appointed day” means the day appointed for the coming into force of section 13;

  • licensed conveyancer” has the meaning given by section 11(2) of the Administration of Justice Act 1985 (c. 61).

3In appointing persons to be ordinary members, the Lord Chancellor must have regard to the desirability of securing that the Board includes members who (between them) have experience in or knowledge of—E+W

(a)the provision of legal services;

(b)legal education and legal training;

(c)consumer affairs;

(d)civil or criminal proceedings and the working of the courts;

(e)competition matters;

(f)the maintenance of the professional standards of persons who provide legal services;

(g)the maintenance of standards in professions other than the legal profession;

(h)the handling of complaints;

(i)commercial affairs;

(j)non-commercial legal services;

(k)the differing needs of consumers;

(l)the provision of claims management services (within the meaning of Part 2 of the Compensation Act 2006 (c. 29)).

Terms of appointment and tenure of membersE+W

4An ordinary member is to hold and vacate office in accordance with the terms and conditions of that member's appointment (subject to this Schedule).E+W

5(1)An ordinary member must be appointed for a fixed period.E+W

(2)The period for which an ordinary member is appointed must not exceed 5 years.

(3)A person who has held office as an ordinary member may be re-appointed, once only, for a further period (whether consecutive or not) not exceeding 5 years.

6If an ordinary member who is a lay person becomes a person within paragraphs (a) to (f) of paragraph 2(4) that person ceases to be a member of the Board.E+W

7(1)An ordinary member may at any time—E+W

(a)resign from office by giving notice to the Lord Chancellor;

(b)be removed from office by the Lord Chancellor.

(2)The Lord Chancellor may not under sub-paragraph (1)(b) remove an ordinary member from office unless sub-paragraph (3) or (4) applies.

(3)This sub-paragraph applies if the Lord Chancellor is satisfied that the member—

(a)has failed without reasonable excuse to discharge the functions of the office for a continuous period of at least 6 months,

(b)has been convicted of an offence,

(c)is an undischarged bankrupt [F1or is a person in relation to whom a moratorium period under a debt relief order applies (under Part 7A of the Insolvency Act 1986)], or

(d)is otherwise unfit to hold the office or unable to discharge its functions.

(4)This sub-paragraph applies if the member is the chairman and has breached the condition imposed on his appointment by paragraph 2(3).

(5)Before removing any ordinary member under sub-paragraph (1)(b), the Lord Chancellor must consult—

(a)the Lord Chief Justice, and

(b)if the ordinary member is not the chairman, the chairman.

(6)The Lord Chancellor may not remove an ordinary member on the ground mentioned in paragraph (a) of sub-paragraph (3) more than 3 months after the end of the period mentioned in that paragraph.

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Amendments (Textual)

8The chairman ceases to be chairman upon ceasing to be a member of the Board.E+W

9Where a person ceases to be employed as Chief Executive, that person ceases to be a member of the Board.E+W

Remuneration etc of membersE+W

10The chairman and other ordinary members are to be paid by the Board in accordance with provision made by or under their terms of appointment.E+W

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Modifications etc. (not altering text)

11The terms of appointment of the chairman or any other ordinary member may provide for the Board to pay, or make payments towards the provision of, a pension, allowance or gratuity to or in respect of that person.E+W

12If the Lord Chancellor thinks there are circumstances that make it right for a person ceasing to hold office as chairman or another ordinary member to receive compensation, the Board may pay that person such compensation as the Lord Chancellor may determine.E+W

StaffE+W

13The Board must appoint a person as its Chief Executive.E+W

14The Board may appoint such other staff as it considers appropriate to assist in the performance of its functions.E+W

15The Chief Executive and other staff are to be—E+W

(a)appointed on terms and conditions determined by the Board, and

(b)paid by the Board in accordance with provision made by or under the terms of appointment.

16The terms and conditions on which the Chief Executive or any other member of staff is appointed may provide for the Board to pay, or make payments towards the provision of, a pension, allowance or gratuity to or in respect of that person.E+W

17The Board may pay compensation for loss of employment to or in respect of a member (or former member) of staff.E+W

18A member of staff appointed under paragraph 14 may be a member (but not chairman) of the Board.E+W

Arrangements for assistanceE+W

19(1)The Board may make arrangements with such persons as it considers appropriate for assistance to be provided to it.E+W

(2)Arrangements may include the paying of fees to such persons.

CommitteesE+W

20(1)The Board may establish committees.E+W

(2)Any committee so established may establish sub-committees.

(3)Only members of the Board may be members of a committee or sub-committee.

(4)A majority of the members of a committee or sub-committee must be lay persons.

ProceedingsE+W

21(1)The Board may regulate its own procedure, and the procedure of its committees and sub-committees, including quorum.E+W

(2)But the quorum of a committee or sub-committee must not be less than 3.

(3)The Board must publish any rules of procedure made under this paragraph.

(4)This paragraph is without prejudice to any other power the Board has under this Act to make rules.

22The validity of any act of the Board is not affected—E+W

(a)by a vacancy in the office of chairman or amongst the other members, or

(b)by a defect in the appointment or any disqualification of a person as chairman or another member of the Board.

Delegation of functionsE+W

23(1)The Board may authorise—E+W

(a)the chairman, the Chief Executive or any other member of the Board,

(b)a committee or sub-committee of the Board, or

(c)a member of staff appointed under paragraph 14,

to exercise, on behalf of the Board, such of its functions, in such circumstances, as it may determine.

(2)A committee may delegate functions (including functions delegated to the committee) to—

(a)a sub-committee,

(b)the chairman, the Chief Executive or any other member of the Board, or

(c)a member of staff appointed under paragraph 14.

(3)Sub-paragraphs (1) and (2) are subject to—

(a)any provision made by an order under section 62 by virtue of section 64(2)(k) (powers to authorise the Board to delegate to any person functions conferred on it in its capacity as an approved regulator), and

(b)section 73(3)(a) (power to delegate to any person functions conferred on the Board in its capacity as a licensing authority).

(4)Sub-paragraph (1) does not apply to any power or duty the Board has to make rules (other than excluded rules) under this Act.

(5)In sub-paragraph (4) “excluded rules” means—

(a)rules of procedure made under paragraph 21 in relation to any committee or sub-committee of the Board, and

(b)rules made by the Board in its capacity as an approved regulator or a licensing authority.

BorrowingE+W

24The Board is not to borrow money, except—E+W

(a)with the consent of the Lord Chancellor, or

(b)in accordance with a general authorisation given by the Lord Chancellor.

AccountsE+W

25(1)The Board must—E+W

(a)keep proper accounts and proper records in relation to the accounts, and

(b)prepare in respect of each financial year a statement of accounts.

(2)Each statement of accounts must comply with any directions given by the Lord Chancellor, with the approval of the Treasury, as to—

(a)the information to be contained in it and the manner in which it is to be presented;

(b)the methods and principles according to which the statement is to be prepared;

(c)the additional information (if any) which is to be provided for the information of Parliament.

(3)The Board must give a copy of each statement of accounts—

(a)to the Lord Chancellor, and

(b)to the Comptroller and Auditor General,

before the end of the month of August next following the financial year to which the statement relates.

(4)The Comptroller and Auditor General must—

(a)examine, certify and report on each statement of accounts which is received under sub-paragraph (3), and

(b)give a copy of the Comptroller and Auditor General's report to the Lord Chancellor.

(5)In respect of each financial year, the Lord Chancellor must lay before Parliament a document consisting of—

(a)a copy of the statement of accounts for that year, and

(b)a copy of the Comptroller and Auditor General's report on that statement.

(6)Financial year” means—

(a)the period beginning with the day on which the Board is established and ending with the next following 31 March, and

(b)each successive period of 12 months.

StatusE+W

26(1)The Board is not to be regarded—E+W

(a)as the servant or agent of the Crown, or

(b)as enjoying any status, immunity or privilege of the Crown.

(2)Accordingly—

(a)the Board's property is not to be regarded as property of or held on behalf of the Crown, and

(b)the Board's staff are not to be regarded as servants or agents of the Crown or as enjoying any status, immunity or privilege of the Crown.

Application of seal and proof of instrumentsE+W

27The application of the seal of the Board is to be authenticated by the signature of any member of the Board, or of its staff, who has been authorised (whether generally or specifically) by the Board for the purpose.E+W

28Any contract or instrument which, if entered into or executed by an individual, would not need to be under seal may be entered into or executed on behalf of the Board by any person who has been authorised (whether generally or specifically) by the Board for the purpose.E+W

29A document purporting to be duly executed under the seal of the Board or signed on its behalf—E+W

(a)is to be received in evidence, and

(b)is to be taken to be executed or signed in that way, unless the contrary is proved.

DisqualificationE+W

30(1)In Part 2 of Schedule 1 to the House of Commons Disqualification Act 1975 (c. 24) (bodies of which all members are disqualified) at the appropriate place insert— “ The Legal Services Board. ”E+W

(2)In Part 2 of Schedule 1 to the Northern Ireland Assembly Disqualification Act 1975 (c. 25) (bodies of which all members are disqualified) at the appropriate place insert— “ The Legal Services Board. ”

Freedom of informationE+W

31In Part 6 of Schedule 1 to the Freedom of Information Act 2000 (c. 36) (other public bodies and offices which are public authorities) at the appropriate place insert— “ The Legal Services Board. ”E+W

Public recordsE+W

32In Schedule 1 to the Public Records Act 1958 (c. 51) (definition of public records) at the appropriate place in Part 2 of the Table at the end of paragraph 3 insert— “ The Legal Services Board. ”E+W

Exemption from liability in damagesE+W

33(1)This paragraph applies to—E+W

(a)the Board,

(b)a member of the Board,

(c)a member of the Board's staff appointed under paragraph 14,

(d)a person to whom the Board (in its capacity as an approved regulator) delegates any of its functions by virtue of provision made under section 64(2)(k), and

(e)a person to whom the Board (in its capacity as a licensing authority) delegates any of its functions by virtue of section 73(3)(a).

(2)A person to whom this paragraph applies is not liable in damages for anything done or omitted in the exercise or purported exercise of the functions of the Board conferred by or by virtue of this or any other enactment.

(3)But sub-paragraph (1) does not apply—

(a)if it is shown that the act or omission was in bad faith, or

(b)so as to prevent an award of damages made in respect of an act or omission on the ground that the act or omission was unlawful as a result of section 6(1) of the Human Rights Act 1998 (c. 42).

Section 12

SCHEDULE 2E+WThe reserved legal activities

IntroductionE+W

1This Schedule makes provision about the reserved legal activities.E+W

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Commencement Information

I1Sch. 2 para. 1 wholly in force at 1.1.2010; Sch. 2 para. 1 not in force at Royal Assent see s. 211; Sch. 2 para. 1 in force for certain purposes at 7.3.2008 by S.I. 2008/222, art. 3; Sch. 2 para. 1 in force for further certain purposes at 31.3.2009 by S.I. 2009/503, art. 3; Sch. 2 para. 1 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

2In this Schedule “the appointed day” means the day appointed for the coming into force of section 13 (entitlement to carry on reserved legal activities).E+W

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Commencement Information

I2Sch. 2 para. 2 wholly in force at 1.1.2010; Sch. 2 para. 2 not in force at Royal Assent see s. 211; Sch. 2 para. 2 in force for certain purposes at 7.3.2008 by S.I. 2008/222, art. 3; Sch. 2 para. 2 in force for further certain purposes at 31.3.2009 by S.I. 2009/503, art. 3; Sch. 2 para. 2 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Rights of audienceE+W

3(1)A “right of audience” means the right to appear before and address a court, including the right to call and examine witnesses.E+W

(2)But a “right of audience” does not include a right to appear before or address a court, or to call or examine witnesses, in relation to any particular court or in relation to particular proceedings, if immediately before the appointed day no restriction was placed on the persons entitled to exercise that right.

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Commencement Information

I3Sch. 2 para. 3 wholly in force at 1.1.2010; Sch. 2 para. 3 not in force at Royal Assent see s. 211; Sch. 2 para. 3 in force for certain purposes at 7.3.2008 by S.I. 2008/222, art. 3; Sch. 2 para. 3 in force for further certain purposes at 31.3.2009 by S.I. 2009/503, art. 3; Sch. 2 para. 3 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Conduct of litigationE+W

4(1)The “conduct of litigation” means—E+W

(a)the issuing of proceedings before any court in England and Wales,

(b)the commencement, prosecution and defence of such proceedings, and

(c)the performance of any ancillary functions in relation to such proceedings (such as entering appearances to actions).

(2)But the “conduct of litigation” does not include any activity within paragraphs (a) to (c) of sub-paragraph (1), in relation to any particular court or in relation to any particular proceedings, if immediately before the appointed day no restriction was placed on the persons entitled to carry on that activity.

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Commencement Information

I4Sch. 2 para. 4 wholly in force at 1.1.2010; Sch. 2 para. 4 not in force at Royal Assent see s. 211; Sch. 2 para. 4 in force for certain purposes at 7.3.2008 by S.I. 2008/222, art. 3; Sch. 2 para. 4 in force for further certain purposes at 31.3.2009 by S.I. 2009/503, art. 3; Sch. 2 para. 4 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Reserved instrument activitiesE+W

5(1)Reserved instrument activities” means—E+W

(a)preparing any instrument of transfer or charge for the purposes of the Land Registration Act 2002 (c. 9);

(b)making an application or lodging a document for registration under that Act;

(c)preparing any other instrument relating to real or personal estate for the purposes of the law of England and Wales or instrument relating to court proceedings in England and Wales.

(2)But “reserved instrument activities” does not include the preparation of an instrument relating to any particular court proceedings if, immediately before the appointed day, no restriction was placed on the persons entitled to carry on that activity.

(3)In this paragraph “instrument” includes a contract for the sale or other disposition of land (except a contract to grant a short lease), but does not include—

(a)a will or other testamentary instrument,

(b)an agreement not intended to be executed as a deed, other than a contract that is included by virtue of the preceding provisions of this sub-paragraph,

(c)a letter or power of attorney, or

(d)a transfer of stock containing no trust or limitation of the transfer.

(4)In this paragraph a “short lease” means a lease such as is referred to in section 54(2) of the Law of Property Act 1925 (c. 20) (short leases).

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Commencement Information

I5Sch. 2 para. 5 wholly in force at 1.1.2010; Sch. 2 para. 5 not in force at Royal Assent see s. 211; Sch. 2 para. 5 in force for certain purposes at 7.3.2008 by S.I. 2008/222, art. 3; Sch. 2 para. 5 in force for further certain purposes at 31.3.2009 by S.I. 2009/503, art. 3; Sch. 2 para. 5 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Probate activitiesE+W

6(1)Probate activities” means preparing any probate papers for the purposes of the law of England and Wales or in relation to any proceedings in England and Wales.E+W

(2)In this paragraph “probate papers” means papers on which to found or oppose—

(a)a grant of probate, or

(b)a grant of letters of administration.

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Commencement Information

I6Sch. 2 para. 6 wholly in force at 1.1.2010; Sch. 2 para. 6 not in force at Royal Assent see s. 211; Sch. 2 para. 6 in force for certain purposes at 7.3.2008 by S.I. 2008/222, art. 3; Sch. 2 para. 6 in force for further certain purposes at 31.3.2009 by S.I. 2009/503, art. 3; Sch. 2 para. 6 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Notarial activitiesE+W

7(1)Notarial activities” means activities which, immediately before the appointed day, were customarily carried on by virtue of enrolment as a notary in accordance with section 1 of the Public Notaries Act 1801 (c. 79).E+W

(2)Sub-paragraph (1) does not include activities carried on—

(a)by virtue of section 22 or 23 of the Solicitors Act 1974 (c. 47) (reserved instrument activities and probate activities), or

(b)by virtue of section 113 of the Courts and Legal Services Act 1990 (c. 41) (administration of oaths).

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Commencement Information

I7Sch. 2 para. 7 wholly in force at 1.1.2010; Sch. 2 para. 7 not in force at Royal Assent see s. 211; Sch. 2 para. 7 in force for certain purposes at 7.3.2008 by S.I. 2008/222, art. 3; Sch. 2 para. 7 in force for further certain purposes at 31.3.2009 by S.I. 2009/503, art. 3; Sch. 2 para. 7 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Administration of oathsE+W

8The “administration of oaths” means the exercise of the powers conferred on a commissioner for oaths by—E+W

(a)the Commissioners for Oaths Act 1889 (c. 10);

(b)the Commissioners for Oaths Act 1891 (c. 50);

(c)section 24 of the Stamp Duties Management Act 1891 (c. 38).

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Commencement Information

I8Sch. 2 para. 8 wholly in force at 1.1.2010; Sch. 2 para. 8 not in force at Royal Assent see s. 211; Sch. 2 para. 8 in force for certain purposes at 7.3.2008 by S.I. 2008/222, art. 3; Sch. 2 para. 8 in force for further certain purposes at 31.3.2009 by S.I. 2009/503, art. 3; Sch. 2 para. 8 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Section 19

SCHEDULE 3E+WExempt persons

Rights of audienceE+W

1(1)This paragraph applies to determine whether a person is an exempt person for the purpose of exercising a right of audience before a court in relation to any proceedings (subject to paragraph 7).E+W

(2)The person is exempt if the person—

(a)is not an authorised person in relation to that activity, but

(b)has a right of audience granted by that court in relation to those proceedings.

(3)The person is exempt if the person—

(a)is not an authorised person in relation to that activity, but

(b)has a right of audience before that court in relation to those proceedings granted by or under any enactment.

(4)The person is exempt if the person is the Attorney General or the Solicitor General and—

(a)the name of the person is on the roll kept by the Law Society under section 6 of the Solicitors Act 1974 (c. 47), or

(b)the person has been called to the Bar by an Inn of Court.

(5)The person is exempt if the person is the Advocate General for Scotland and is admitted—

(a)as a solicitor in Scotland under section 6 of the Solicitors (Scotland) Act 1980 (c. 46), or

(b)to practise as an advocate before the courts of Scotland.

(6)The person is exempt if the person—

(a)is a party to those proceedings, and

(b)would have a right of audience, in the person's capacity as such a party, if this Act had not been passed.

(7)The person is exempt if—

(a)the person is an individual whose work includes assisting in the conduct of litigation,

(b)the person is assisting in the conduct of litigation—

(i)under instructions given (either generally or in relation to the proceedings) by an individual to whom sub-paragraph (8) applies, and

(ii)under the supervision of that individual, and

[F2(c)the proceedings are not reserved family proceedings and are being heard in chambers—

(i)in the High Court or county court, or

(ii)in the family court by a judge who is not, or by two or more judges at least one of whom is not, within section 31C(1)(y) of the Matrimonial and Family Proceedings Act 1984 (lay justices).]

(8)This sub-paragraph applies to—

(a)any authorised person in relation to an activity which constitutes the conduct of litigation;

(b)any person who by virtue of section 193 is not required to be entitled to carry on such an activity.

(9)The person is an exempt person in relation to the exercise of a right of audience in proceedings on an appeal from the Comptroller-General of Patents, Designs and Trade Marks to the Patents Court under the Patents Act 1977 (c. 37), if the person is a solicitor of the Court of Judicature of Northern Ireland.

(10)For the purposes of this paragraph—

  • family proceedings” has the same meaning as in the Matrimonial and Family Proceedings Act 1984 (c. 42) and also includes [F3any proceedings in the family court and ] any other proceedings which are family proceedings for the purposes of the Children Act 1989 (c. 41);

  • reserved family proceedings” means such category of family proceedings as the Lord Chancellor may, after consulting the President of the Law Society and with the concurrence of the President of the Family Division, by order prescribe;

and any order made under section 27(9) of the Courts and Legal Services Act 1990 (c. 41) before the day appointed for the coming into force of this paragraph is to have effect on and after that day as if it were an order made under this sub-paragraph.

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Amendments (Textual)

F2Sch. 3 para. 1(7)(c) substituted (22.4.2014) by Crime and Courts Act 2013 (c. 22), s. 61(3), Sch. 10 para. 98(1); S.I. 2014/954, art. 2(d) (with art. 3) (with transitional provisions and savings in S.I. 2014/956, arts. 3-11)

F3Words in Sch. 3 para. 1(10) inserted (22.4.2014) by Crime and Courts Act 2013 (c. 22), s. 61(3), Sch. 10 para. 98(2); S.I. 2014/954, art. 2(d) (with art. 3) (with transitional provisions and savings in S.I. 2014/956, arts. 3-11)

Conduct of litigationE+W

2(1)This paragraph applies to determine whether a person is an exempt person for the purpose of carrying on any activity which constitutes the conduct of litigation in relation to any proceedings (subject to paragraph 7).E+W

(2)The person is exempt if the person—

(a)is not an authorised person in relation to that activity, but

(b)has a right to conduct litigation granted by a court in relation to those proceedings.

(3)The person is exempt if the person—

(a)is not an authorised person in relation to that activity, but

(b)has a right to conduct litigation in relation to those proceedings granted by or under any enactment.

(4)The person is exempt if the person—

(a)is a party to those proceedings, and

(b)would have a right to conduct the litigation, in the person's capacity as such a party, if this Act had not been passed.

(5)The person is an exempt person in relation to any activity which is carried on in or in connection with proceedings on an appeal from the Comptroller-General of Patents, Designs and Trade Marks to the Patents Court under the Patents Act 1977 (c. 37), if the person is a solicitor of the Court of Judicature of Northern Ireland.

Reserved instrument activitiesE+W

3(1)This paragraph applies to determine whether a person is an exempt person for the purpose of carrying on any activity which constitutes reserved instrument activities (subject to paragraph 7).E+W

(2)The person is exempt if the person prepares the instruments or applications in the course of the person's duty as a public officer.

(3)The person (“E”) is exempt if—

(a)E is an individual,

(b)E carries on the activity at the direction and under the supervision of another individual (“P”),

(c)when E does so, P and E are connected, and

(d)P is entitled to carry on the activity, otherwise than by virtue of sub-paragraph (10).

(4)For the purposes of sub-paragraph (3), P and E are connected if—

(a)P is E's employer,

(b)P is a fellow employee of E,

(c)P is a manager or employee of a body which is an authorised person in relation to the activity, and E is also a manager or employee of that body.

(5)If the person is an accredited person, the person is exempt to the extent that the activity consists of the preparation of any instrument—

(a)which creates, or which the person believes on reasonable grounds will create, a farm business tenancy (within the meaning of the Agricultural Tenancies Act 1995 (c. 8)), or

(b)which relates to an existing tenancy which is, or which the person believes on reasonable grounds to be, such a tenancy.

(6)In sub-paragraph (5) “accredited person” means a person who is—

(a)a Fellow of the Central Association of Agricultural Valuers, or

(b)a Member or Fellow of the Royal Institution of Chartered Surveyors.

(7)The person is exempt to the extent that the activity carried on by the person is also a reserved legal activity within sub-paragraph (8) and the person is—

(a)authorised to carry on that activity (other than under Part 5) by a relevant approved regulator in relation to the activity,

(b)authorised to carry on that activity by a licence under Part 5, or

(c)an exempt person in relation to that activity by virtue of paragraph 1 or 2 of this Schedule.

(8)The activities are—

(a)the exercise of a right of audience;

(b)the conduct of litigation.

(9)The person is exempt if the person is employed merely to engross the instrument or application.

(10)The person is exempt if the person is an individual who carries on the activity otherwise than for, or in expectation of, any fee, gain or reward.

(11)The person is exempt if—

(a)the person is a person qualified to practise as a solicitor in Scotland in accordance with section 4 of the Solicitors (Scotland) Act 1980 (c. 46), and

(b)the reserved instrument activities fall within paragraph 5(1)(c) of Schedule 2 (preparation of certain instruments relating to real or personal property or legal proceedings).

Probate activitiesE+W

4(1)This paragraph applies to determine whether a person is an exempt person for the purpose of carrying on any activity which constitutes probate activities (subject to paragraph 7).E+W

(2)The person (“E”) is an exempt person if—

(a)E is an individual,

(b)E provides the probate activities at the direction and under the supervision of another individual (“P”),

(c)when E does so, P and E are connected, and

(d)P is entitled to carry on the activity, otherwise than by virtue of sub-paragraph (4).

(3)For the purposes of sub-paragraph (2), P and E are connected if—

(a)P is E's employer,

(b)P is a fellow employee of E,

(c)P is a manager or employee of a body which is an authorised person in relation to the activity, and E is also a manager or employee of that body.

(4)The person is exempt if the person is an individual who carries on the activity otherwise than for, or in expectation of, any fee, gain or reward.

Notarial activitiesE+W

5(1)This paragraph applies to determine whether a person is an exempt person for the purpose of carrying on any activity which constitutes notarial activities (subject to paragraph 7).E+W

(2)The person is exempt if the person is not an authorised person in relation to that activity under this Act, but is authorised to carry on that activity by or by virtue of any other enactment.

(3)The person is exempt if section 14 of the Public Notaries Act 1801 (c. 79) applies to the person, and—

(a)where that section applies by virtue of the person holding or exercising an office or appointment, the person carries on the activity for ecclesiastical purposes;

(b)where that section applies by virtue of the person performing a public duty or service under government, the person carries on the activity in the course of performing that duty or service.

(4)The person is exempt if the person is an individual who carries on the notarial activities otherwise than for or in expectation of a fee, gain or reward.

Administration of oathsE+W

6(1)This paragraph applies to determine whether a person is an exempt person for the purpose of carrying on any activity which constitutes the administration of oaths (subject to paragraph 7).E+W

(2)The person is exempt if the person is not an authorised person in relation to that activity under this Act, but is authorised to carry on that activity by or by virtue of any other enactment.

(3)The person is exempt if the person has a commission under section 1(1) of the Commissioners for Oaths Act 1889 (c. 10).

European lawyersE+W

7A European lawyer (within the meaning of the European Communities (Services of Lawyers) Order 1978 (S.I. 1978/1910)) is an exempt person for the purposes of carrying on an activity which is a reserved legal activity and which the European lawyer is entitled to carry on by virtue of that order.E+W

Employers etc acting through exempt personE+W

8(1)This paragraph applies where—E+W

(a)a person (“P”) carries on an activity (“the relevant activity”) which is a reserved legal activity,

(b)P carries on the relevant activity by virtue of an employee of P (“E”) carrying it on in E's capacity as such an employee, and

(c)E is an exempt person in relation to the relevant activity.

(2)P is an exempt person in relation to the relevant activity to the extent that P carries on that activity by virtue of E so carrying it on.

(3)This paragraph does not apply where E—

(a)carries on the relevant activity at the direction and under the supervision of an authorised person in relation to that activity, and

(b)is exempt in relation to that activity by virtue of paragraph 1(7), 3(3) or 4(2).

(4)If P is a body, in this paragraph references to an employee of P include references to a manager of P.

Further exempt personsE+W

9(1)The Lord Chancellor may, by order, amend this Schedule so as to provide—E+W

(a)for persons to be exempt persons in relation to any activity which is a reserved legal activity (including any activity which is a reserved legal activity by virtue of an order under section 24 (extension of reserved legal activities)),

(b)for persons to cease to be such persons, or

(c)for the amendment of any provision made in respect of an exempt person.

(2)The Lord Chancellor may make an order under sub-paragraph (1) only on the recommendation of the Board.

Section 20

SCHEDULE 4E+WApproved regulators

Part 1E+WExisting regulators

1(1)Each body listed in the first column of the Table in this paragraph is an approved regulator.E+W

(2)Each body so listed is an approved regulator in relation to the reserved legal activities listed in relation to it in the second column of the Table.

Table

Approved regulatorReserved legal activities
The Law Society

The exercise of a right of audience.

The conduct of litigation.

Reserved instrument activities.

Probate activities.

The administration of oaths.

The General Council of the Bar

The exercise of a right of audience.

The conduct of litigation.

Reserved instrument activities.

Probate activities.

The administration of oaths.

The Master of the Faculties

Reserved instrument activities.

Probate activities.

Notarial activities.

The administration of oaths.

The Institute of Legal Executives

The exercise of a right of audience.

The administration of oaths.

The Council for Licensed Conveyancers

Reserved instrument activities.

The administration of oaths.

[F4Probate activities.]

The Chartered Institute of Patent Attorneys

The exercise of a right of audience.

The conduct of litigation.

Reserved instrument activities.

The administration of oaths.

The Institute of Trade Mark Attorneys

The exercise of a right of audience.

The conduct of litigation.

Reserved instrument activities.

The administration of oaths.

The Association of Law Costs Draftsmen

The exercise of a right of audience.

The conduct of litigation.

The administration of oaths.

[F5The Institute of Chartered Accountants of ScotlandProbate activities.]
[F6The Association of Chartered Certified AccountantsProbate activities.]
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Amendments (Textual)

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Amendments (Textual)

2(1)The regulatory arrangements of a listed body, as they have effect immediately before paragraph 1 comes into force, are to be treated as having been approved by the Board for the purposes of this Act at the time that paragraph comes into force.E+W

(2)Listed body” means a body listed in the first column of the Table in paragraph 1 as that Table has effect at the time that paragraph comes into force.

(3)Sub-paragraph (1) is without prejudice to the Board's power to give directions under section 32 (powers to direct an approved regulator to take steps in certain circumstances, including steps to amend its regulatory arrangements).

Part 2E+WDesignation of bodies by order

Application to the BoardE+W

3(1)This paragraph applies where a body wishes to authorise persons to carry on one or more activities which constitute one or more reserved legal activities.E+W

(2)The body may apply to the Board for the Board—

(a)to recommend that an order be made by the Lord Chancellor designating the body as an approved regulator in relation to the reserved legal activity or activities in question, and

(b)to approve what the body proposes as its regulatory arrangements if such an order is made (“the proposed regulatory arrangements”).

(3)An application under this paragraph must be made in such form and manner as the Board may specify in rules and must be accompanied by—

(a)a statement of the reserved legal activity or activities to which it relates,

(b)details of the applicant's proposed regulatory arrangements,

(c)such explanatory material (including material about the applicant's constitution and activities) as the applicant considers is likely to be needed for the purposes of this Part of this Schedule, and

(d)the prescribed fee.

(4)The prescribed fee is the fee specified in, or determined in accordance with, rules made by the Board with the consent of the Lord Chancellor.

(5)The proposed regulatory arrangements must, in particular, include—

(a)details of the authority which the applicant proposes to give persons to carry on activities which are reserved legal activities and of the nature of the persons to whom the authority is to be given,

(b)regulations (however they may be described) as to the education and training which persons must receive, and any other requirements which must be met by or in respect of them, in order for them to be authorised, and

(c)rules (however they may be described) as to the conduct required of persons in carrying on any activity by virtue of the authority.

(6)An applicant may, at any time, withdraw the application by giving notice to that effect to the Board.

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Commencement Information

I9Sch. 4 para. 3 wholly in force at 1.1.2010; Sch. 4 para. 3 not in force at Royal Assent see s. 211; Sch. 4 para. 3(1)(3)(4) in force at 1.1.2009 by S.I. 2008/3149, art. 2(b)(ii); Sch. 4 para. 3 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Dismissal of applicationE+W

4(1)The Board may refuse to consider, or to continue its consideration of, an application.E+W

(2)The Board must make rules about the procedures and criteria that it will apply when determining whether to refuse to consider, or to continue its consideration of, an application under sub-paragraph (1).

(3)Where the Board decides to refuse to consider, or to continue its consideration of, an application it must give the applicant notice of that decision and of its reasons for it.

(4)The Board must publish a notice given under sub-paragraph (3).

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Commencement Information

I10Sch. 4 para. 4 wholly in force at 1.1.2010; Sch. 4 para. not in force at Royal Assent see s. 211; Sch. 4 para. 3(1)(3)(4) in force at 1.1.2009 by S.I. 2008/3149, art. 2(b)(ii); Sch. 4 para. 4 in force otherwise at 1.1.2010 by S.I. 2009/3250 {art. 2(b)(ii)} (with art. 9)

Board's duty to seek adviceE+W

5(1)The Board must give each of the persons listed in sub-paragraph (2)—E+W

(a)a copy of the application and accompanying material, and

(b)a notice specifying a period within which any advice given under paragraphs 6 to 8 must be given.

(2)Those persons are—

(a)the [F7 CMA],

(b)the Consumer Panel,

(c)the Lord Chief Justice, and

(d)such other persons as the Board considers it reasonable to consult regarding the application.

(3)In this Part of this Schedule, in relation to an application, “selected consultee” means a person within sub-paragraph (2)(d).

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Amendments (Textual)

Advice of [F8Competition and Markets Authority]E+W

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Amendments (Textual)

6(1)The [F9CMA ] must give the Board such advice as the [F9CMA ] thinks fit regarding whether the application should be granted.E+W

(2)In deciding what advice to give, the [F9CMA ] must, in particular, have regard to whether making an order under paragraph 17 in accordance with the recommendation applied for would (or would be likely to) prevent, restrict or distort competition within the market for reserved legal services to any significant extent.

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Amendments (Textual)

F9Word in Sch. 4 para. 6(1) (2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 117(4); S.I. 2014/416, art. 2(1)(d) (with Sch.)

Advice of the Consumer PanelE+W

7(1)The Consumer Panel must give the Board such advice as the Consumer Panel thinks fit regarding whether the application should be granted.E+W

(2)In deciding what advice to give, the Consumer Panel must, in particular, have regard to the likely impact on consumers of the making of an order under paragraph 17 in accordance with the recommendation applied for.

Advice of selected consulteesE+W

8A selected consultee may give the Board such advice as the selected consultee thinks fit in respect of the application.E+W

Advice of the Lord Chief JusticeE+W

9(1)The Board must give the Lord Chief Justice—E+W

(a)a copy of any advice duly given under paragraphs 6 to 8, and

(b)a notice specifying a period within which any advice under this paragraph must be given.

(2)The Lord Chief Justice must then give such advice to the Board as the Lord Chief Justice thinks fit regarding whether the application should be granted.

(3)In deciding what advice to give, the Lord Chief Justice must, in particular, have regard to the likely impact on the courts in England and Wales of the making of an order under paragraph 17 in accordance with the recommendation applied for.

Information obtained by consulteesE+W

10A person (“the consultee”) to whom a copy of the application is given under paragraph 5(1) may, for the purposes of giving advice under paragraphs 6 to 9, request the applicant or any other person to provide the consultee with such additional information as may be specified by the consultee.E+W

Representations by applicantE+W

11(1)The Board must give the applicant a copy of any advice duly given under paragraphs 6 to 9.E+W

(2)The applicant may make to the Board—

(a)written representations, and

(b)if the Board authorises it to do so, oral representations,

about the advice.

(3)The Board must make rules governing the making of oral and written representations.

(4)Representations under this paragraph must be made within—

(a)the period of 28 days beginning with the day on which the copy of the advice is given to the applicant, or

(b)such longer period as the Board may specify in a particular case.

(5)Where oral representations are made, the Board must prepare a report of those representations.

(6)Before preparing that report, the Board must—

(a)give the applicant a reasonable opportunity to comment on a draft of the report, and

(b)have regard to any comments duly made.

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Commencement Information

I11Sch. 4 para. 11 wholly in force at 1.1.2010; Sch. 4 para. 11 not in force at Royal Assent see s. 211; Sch. 4 para. 11(3) in force at 1.1.2009 by S.I. 2008/3149, art. 2(b)(ii); Sch. 4 para. 11 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Publication of advice and representations etcE+W

12(1)The Board must, as soon as practicable after the end of the period within which representations under paragraph 11 may be made, publish—E+W

(a)any advice duly given under paragraphs 6 to 9, and

(b)any written representations duly made under paragraph 11 and the report (if any) prepared under that paragraph.

(2)Nothing in sub-paragraph (1) operates—

(a)to prevent a person who gives advice under paragraphs 6 to 9 from publishing that advice, or

(b)to prevent a person who makes representations under paragraph 11 from publishing those representations.

(3)A person (“the publisher”) publishing any such material (whether under sub-paragraph (1) or otherwise) must, so far as practicable, exclude any matter which relates to the private affairs of a particular individual the publication of which, in the opinion of the publisher, would or might seriously and prejudicially affect the interests of that individual.

Rules governing decisions by the BoardE+W

13(1)The Board must make rules specifying how it will determine applications.E+W

(2)Rules under sub-paragraph (1) must, in particular, provide that the Board may grant an application in relation to a particular reserved legal activity only if it is satisfied—

(a)that, if an order were to be made under paragraph 17 designating the body in relation to that activity, the applicant would have appropriate internal governance arrangements in place at the time the order takes effect,

(b)that, if such an order were to be made, the applicant would be competent, and have sufficient resources, to perform the role of approved regulator in relation to the reserved legal activity at that time,

(c)that the applicant's proposed regulatory arrangements make appropriate provision,

(d)that the applicant's proposed regulatory arrangements comply with the requirement imposed by sections 52 and 54 (resolution of regulatory conflict), and

(e)that those arrangements comply with the requirements imposed by sections 112 and 145 (requirements imposed in relation to the handling of complaints).

(3)The rules made for the purposes of sub-paragraph (2)(a) must in particular require the Board to be satisfied—

(a)that the exercise of the applicant's regulatory functions would not be prejudiced by any of its representative functions, and

(b)that decisions relating to the exercise of its regulatory functions would so far as reasonably practicable be taken independently from decisions relating to the exercise of its representative functions.

Determination of applicationsE+W

14(1)After considering—E+W

(a)the application and accompanying material,

(b)any other information provided by the applicant,

(c)any advice duly given under paragraphs 6 to 9,

(d)any representations duly made under paragraph 11, and

(e)any other information which the Board considers relevant to the application,

the Board must decide whether to grant the application.

(2)Where the application relates to more than one reserved legal activity, the Board may grant the application in relation to all or any of them.

(3)The Board must give notice of its decision to the applicant (“the decision notice”).

(4)Where the Board decides to refuse the application (in whole or in part), the decision notice must specify the reasons for that decision.

(5)The Board must publish the decision notice.

15(1)Where an application is made under this Part, the Board must give the decision notice under paragraph 14 within the decision period.E+W

(2)The “decision period” is the period of 12 months beginning with the day on which the application is made to the Board.

(3)The Board may, before the end of the decision period, issue a notice extending that period by a period specified in the notice.

(4)More than one notice may be issued under sub-paragraph (3), but the decision period must not exceed 16 months.

(5)The Board may issue a notice under sub-paragraph (3) only after it has consulted—

(a)the [F10CMA],

(b)the Consumer Panel, and

(c)the Lord Chief Justice.

(6)A notice under sub-paragraph (3) must state the Board's reasons for extending the decision period.

(7)The Board must publish any notice issued under sub-paragraph (3).

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Amendments (Textual)

Effect of grant of applicationE+W

16(1)This paragraph applies where an application is granted in relation to a reserved legal activity or activities.E+W

(2)The Board must recommend to the Lord Chancellor that an order be made designating the applicant as an approved regulator in relation to the reserved legal activity or activities in question.

(3)The Board must publish any recommendation made under sub-paragraph (2).

(4)The Board must make available to the Lord Chancellor—

(a)any advice duly given under paragraphs 6 to 9,

(b)any written representations duly made under paragraph 11 and the report (if any) prepared under that paragraph, and

(c)any other material considered by the Board for the purpose of determining the application.

Lord Chancellor's decision to make an orderE+W

17(1)Where a recommendation is made to the Lord Chancellor under paragraph 16, the Lord Chancellor may—E+W

(a)make an order in accordance with the recommendation, or

(b)refuse to make such an order.

(2)Where the recommendation relates to more than one reserved legal activity, the Lord Chancellor may make an order under sub-paragraph (1)(a) in relation to all or any of them.

(3)The Lord Chancellor must—

(a)decide whether to make an order under this paragraph, and

(b)give notice of that decision (“the decision notice”) to the applicant,

within the period of 90 days beginning with the day on which the recommendation was made.

(4)If the Lord Chancellor decides not to make an order in accordance with the whole or part of the recommendation, the decision notice must state the reasons for the decision.

(5)The Lord Chancellor must publish the decision notice.

Approval of regulatory arrangementsE+W

18(1)Where an order is made by the Lord Chancellor under paragraph 17, the applicant's proposed regulatory arrangements are at the same time treated as having been approved by the Board.E+W

(2)But where the order relates to one or more (but not all) of the reserved legal activities to which the application related, sub-paragraph (1) has effect as if the reference to the applicant's proposed regulatory arrangements were a reference to those arrangements excluding any provision made in respect of any activities excluded from the order.

(3)Sub-paragraph (1) is without prejudice to the Board's power to give directions under section 32 (powers to direct an approved regulator to take steps in certain circumstances, including steps to amend its regulatory arrangements).

Part 3E+WAlteration of approved regulator's regulatory arrangements

Requirement for approvalE+W

19(1)If an alteration is made of the regulatory arrangements of an approved regulator, the alteration does not have effect unless it is approved for the purposes of this Act.E+W

(2)An alteration is approved for the purposes of this Act if—

(a)it is approved by virtue of paragraph 18 (approval of proposed regulatory arrangements on designation by order as approved regulator),

(b)it is approved by the Board under this Part of this Schedule,

(c)it is an exempt alteration,

(d)it is an alteration made in compliance with a direction under section 32,

(e)it is approved by virtue of paragraph 16 of Schedule 10 (approval of licensing rules on designation by order as licensing authority), or

(f)it is approved by virtue of paragraph 7 of Schedule 18 (approval of proposed regulatory arrangements when granting “qualifying regulator” status for the purposes of Part 5 of the Immigration and Asylum Act 1999 (c. 33)).

(3)An exempt alteration is an alteration which the Board has directed is to be treated as exempt for the purposes of this paragraph.

(4)A direction under sub-paragraph (3) may be specific or general and must be published by the Board.

(5)In this Part of this Schedule, references to an “alteration” of regulatory arrangements include an addition to, or the revocation of any part of, the arrangements.

(6)If a question arises whether approval is required by virtue of this Part of this Schedule, it is for the Board to decide.

(7)Nothing in this Part of this Schedule applies in relation to any alteration of the regulatory arrangements of the Board in its capacity as an approved regulator (or of its licensing rules).

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Commencement Information

I12Sch. 4 para. 19 partly in force; Sch. 4 para. 19 not in force at Royal Assent see s. 211; Sch. 4 para. 19(1)(2)(a)-(e)(3)-(7) in force at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

I13Sch. 4 para. 19(2)(f) in force at 1.4.2011 by S.I. 2011/720, art. 2(b)

Application to BoardE+W

20(1)An application by an approved regulator for the Board to approve an alteration or alterations of its regulatory arrangements must be made in such form and manner as the Board may specify in rules.E+W

(2)The application must be accompanied by—

(a)details of such of the approved regulator's regulatory arrangements as are relevant to the application,

(b)details of the alteration or alterations, and

(c)such explanatory material as the approved regulator considers is likely to be needed for the purposes of this Part of this Schedule.

Initial determinationE+W

21(1)Where the Board has received an application under paragraph 20 it may—E+W

(a)grant the application and give the approved regulator a notice to that effect, or

(b)give the approved regulator a notice stating that the Board is considering whether to refuse the application (a “warning notice”).

(2)The Board must publish any notice given by it under sub-paragraph (1)(a) or (b).

(3)If the Board does not give the approved regulator a notice under sub-paragraph (1)(a) or (b) within the initial decision period, the application is deemed to have been granted by the Board.

(4)The “initial decision period” means the period of 28 days beginning with the day on which the application was received by the Board.

(5)The Board may extend the initial decision period—

(a)with the consent of the approved regulator, or

(b)by giving an extension notice to the approved regulator,

before the end of that period (or if it has previously been extended under this sub-paragraph, that period as so extended).

(6)An extension notice—

(a)must specify the period of the extension, and

(b)must state the Board's reasons for extending the initial decision period.

(7)The period specified in the notice under sub-paragraph (6)(a) must end no later than the end of the period of 90 days beginning with the date on which the application was made under paragraph 20.

AdviceE+W

22(1)Where the Board has given the approved regulator a warning notice, the Board may invite such persons as it considers appropriate to give the Board advice regarding whether the application should be granted.E+W

(2)A person (“the consultee”) to whom an invitation is given under sub-paragraph (1) may, for the purposes of giving advice to the Board under this paragraph, request the approved regulator or any other person to provide the consultee with such additional information as may be specified by the consultee.

Representations by applicantE+W

23(1)The Board must give the approved regulator a copy of any advice obtained under paragraph 22.E+W

(2)The approved regulator may make to the Board—

(a)written representations, and

(b)if the Board authorises it to do so, oral representations,

about the advice.

(3)The Board must make rules governing the making of oral and written representations.

(4)Representations under this paragraph must be made within—

(a)the period of 28 days beginning with the day on which the copy of the advice is given to the approved regulator, or

(b)such longer period as the Board may specify in a particular case.

(5)Where oral representations are made, the Board must prepare a report of those representations.

(6)Before preparing that report, the Board must—

(a)give the approved regulator a reasonable opportunity to comment on a draft of the report, and

(b)have regard to any comments duly made.

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Commencement Information

I14Sch. 4 para. 23 wholly in force at 1.1.2010; Sch. 4 para. 23 not in force at Royal Assent see s. 211; Sch. 4 para. 23(3) in force at 1.1.2009 by S.I. 2008/3149, art. 2(b)(ii); Sch. 4 para. 23 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Publication of advice and representations etcE+W

24(1)The Board must, as soon as practicable after the end of the period within which representations under paragraph 23 may be made, publish—E+W

(a)any advice given under paragraph 22, and

(b)any written representations duly made under paragraph 23 and the report (if any) prepared under that paragraph.

(2)Nothing in sub-paragraph (1) operates—

(a)to prevent a person who gives advice under paragraph 22 from publishing that advice, or

(b)to prevent a person who makes representations under paragraph 23 from publishing those representations.

(3)A person (“the publisher”) publishing any such material (whether under sub-paragraph (1) or otherwise) must, so far as practicable, exclude any matter which relates to the private affairs of a particular individual the publication of which, in the opinion of the publisher, would or might seriously and prejudicially affect the interests of that individual.

Decision by the BoardE+W

25(1)After considering—E+W

(a)the application and any accompanying material,

(b)any other information provided by the approved regulator,

(c)any advice obtained under paragraph 22,

(d)any representations duly made under paragraph 23, and

(e)any other information which the Board considers relevant to the application,

the Board must decide whether to grant the application.

(2)The Board may grant the application in whole or in part.

(3)The Board may refuse the application only if it is satisfied that—

(a)granting the application would be prejudicial to the regulatory objectives,

(b)granting the application would be contrary to any provision made by or by virtue of this Act or any other enactment or would result in any of the designation requirements ceasing to be satisfied in relation to the approved regulator,

(c)granting the application would be contrary to the public interest,

(d)the alteration would enable the approved regulator to authorise persons to carry on activities which are reserved legal activities in relation to which it is not a relevant approved regulator,

(e)the alteration would enable the approved regulator to license persons under Part 5 to carry on activities which are reserved legal activities in relation to which it is not a licensing authority, or

(f)the alteration has been or is likely to be made otherwise than in accordance with the procedures (whether statutory or otherwise) which apply in relation to the making of the alteration.

(4)For the purposes of sub-paragraph (3)(b) the designation requirements are—

(a)a requirement that the approved regulator has appropriate internal governance arrangements in place,

(b)a requirement that the applicant is competent, and has sufficient resources to perform the role of approved regulator in relation to the reserved legal activities in respect of which it is designated, and

(c)the requirements of paragraph 13(2)(c) to (e).

(5)Sub-paragraph (3) applies in relation to any part of an application as if references to the application were to the part.

(6)The Board must give notice of its decision (“the decision notice”) to the approved regulator.

(7)Where the Board decides to refuse the application (in whole or in part), the decision notice must specify the reasons for that decision.

(8)The Board must publish the decision notice.

Failure to decide application during decision periodE+W

26(1)This paragraph applies where the Board gives an approved regulator a warning notice under paragraph 21 in respect of the approved regulator's application.E+W

(2)If the Board does not give the approved regulator notice of its decision under paragraph 25 within the decision period, the application is deemed to have been granted by the Board at the end of that period.

(3)Subject to sub-paragraphs (4) and (5), “the decision period” means the period of 12 months beginning with the day on which the approved regulator received the warning notice.

(4)The Board may, on one or more occasions, give the approved regulator a notice (an “extension notice”) extending the decision period.

(5)But—

(a)an extension notice may only be given before the time when the decision period would end, but for the extension notice, and

(b)the total decision period must not exceed 18 months.

(6)The Board must publish any extension notice given by it.

Effect of grant of applicationE+W

27(1)Where an application is granted under paragraph 21(1)(a) or (3), 25(1) or 26(2), the alteration or alterations of the regulatory arrangements to which the application relates are approved.E+W

(2)Where a part of an application is granted under paragraph 25(1), the alteration or alterations of the regulatory arrangements to which the part relates are approved.

(3)Sub-paragraphs (1) and (2) are without prejudice to the Board's power to give directions under section 32 (power to direct an approved regulator to take steps in certain circumstances, including steps to amend its regulatory arrangements).

Section 22

SCHEDULE 5E+WAuthorised persons

Part 1 E+WContinuity of rights

Rights of audience and conduct of litigationE+W

1(1)For the purposes of section 18 (authorised persons), in the case of a person who is authorised by a listed body—E+W

(a)to exercise a right of audience before a court in relation to any proceedings, or

(b)to conduct litigation in relation to any proceedings,

it is irrelevant whether the person's authorisation was granted before or on or after the appointed day.

(2)The “listed bodies” are—

(a)The Law Society,

(b)The General Council of the Bar,

(c)The Chartered Institute of Patent Attorneys,

(d)The Institute of Trade Mark Attorneys,

(e)The Association of Law Costs Draftsmen, and

(f)for the purposes of sub-paragraph (1)(a) only, The Institute of Legal Executives.

(3)For the purposes of sub-paragraph (1), any authority conferred by section 31 of the Courts and Legal Services Act 1990 (c. 41) (barristers and solicitors deemed to have rights of audience and rights to conduct litigation) is to be disregarded (see paragraphs 4 and 7 below).

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Commencement Information

I15Sch. 5 para. 1 wholly in force at 1.1.2010, see s. 211 and S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Conveyancing servicesE+W

2(1)For the purposes of section 18, in the case of a licensed conveyancer who is authorised to carry on an activity which is a reserved instrument activity by a conveyancing licence, it is irrelevant whether the licence was granted before or on or after the appointed day.E+W

(2)For the purposes of this paragraph “conveyancing licence” means a licence to practise as a licensed conveyancer granted under Part 2 of the Administration of Justice Act 1985 (c. 61).

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Commencement Information

I16Sch. 5 para. 2 wholly in force at 1.1.2010, see s. 211 and S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

[F11Probate activitiesE+W

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Amendments (Textual)

2A(1)This paragraph applies to a person who, immediately before the time paragraph 1 of Schedule 4 comes into force, has an exemption from the provisions of section 23(1) of the Solicitors Act 1974 (c. 47) (preparation of papers for probate etc by unqualified person) granted by a body within sub-paragraph (3).E+W

(2)For the purposes of section 18, the person is to be treated as if the exemption were an authorisation to carry on probate activities granted by the body in question at the time paragraph 1 of Schedule 4 comes into force.

(3)The bodies are—

(a)The Council for Licensed Conveyancers;

(b)The Institute of Chartered Accountants of Scotland;

(c)The Association of Chartered Certified Accountants.]

Part 2 E+WRights during transitional period

The transitional periodE+W

3(1)In this Part of this Schedule references to “the transitional period” are to the period which—E+W

(a)begins with the appointed day (within the meaning given by paragraph 19), and

(b)ends with the day appointed by the Lord Chancellor by order for the purposes of this paragraph.

(2)Different days may be appointed under sub-paragraph (1)(b) for different purposes.

(3)An order may be made under sub-paragraph (1)(b) only on the recommendation of the Board.

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Commencement Information

I17Sch. 5 para. 3 wholly in force at 1.1.2010, see s. 211 and S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Barristers etcE+W

4(1)During the transitional period, every barrister is deemed to be authorised by the General Council of the Bar to carry on the activities in sub-paragraph (2).E+W

(2)Those activities are—

(a)the exercise of a right of audience before every court in relation to all proceedings;

(b)reserved instrument activities;

(c)probate activities;

(d)the administration of oaths.

(3)The authority conferred on a barrister by this paragraph is exercisable in accordance with, and subject to, the regulatory arrangements of the General Council of the Bar.

(4)A person is not authorised under sub-paragraph (1) unless the person has in force a certificate issued by the General Council of the Bar authorising the person to practise as a barrister.

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Commencement Information

I18Sch. 5 para. 4 wholly in force at 1.1.2010, see s. 211 and S.I. 2009/3250, art. 2(b)(ii) (subject to art. 4 and with art. 9)

5(1)During the transitional period, every registered European lawyer registered with the Inns of Court and the General Council of the Bar is deemed to be authorised by the General Council of the Bar to carry on activities which—E+W

(a)are within paragraph 4(2), and

(b)the registered European lawyer is entitled to carry on under his home professional title by virtue of the European regulations.

(2)The authority conferred on a registered European lawyer by virtue of this paragraph is exercisable in accordance with, and subject to, the regulatory arrangements of the General Council of the Bar (as they apply to the registered European lawyer by virtue of the European regulations).

(3)In this paragraph—

  • European regulations” means the European Communities (Lawyer's Practice) Regulations 2000 (S.I. 2000/1119);

  • home professional title” and “registered European lawyer” have the same meaning as in the European regulations.

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Commencement Information

I19Sch. 5 para. 5 wholly in force at 1.1.2010, see s. 211 and S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

6During the transitional period members of the Bar not in actual practice are to continue to have the rights conferred by section 102A(2) of the Patents Act 1977 (c. 37) (right of audience, etc in proceedings on appeal from the comptroller).E+W

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Commencement Information

I20Sch. 5 para. 6 wholly in force at 1.1.2010, see s. 211 and S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Solicitors etcE+W

7(1)During the transitional period—E+W

(a)every qualified solicitor,

(b)every legal partnership, and

(c)every body recognised under section 9 of the Administration of Justice Act 1985 (c. 61) (incorporated practices) (“a recognised body”),

is deemed to be authorised by the Law Society to carry on the activities in sub-paragraph (2).

(2)Those activities are—

(a)the exercise of a right of audience before every court in relation to all proceedings;

(b)the conduct of litigation in relation to every court and all proceedings;

(c)reserved instrument activities;

(d)probate activities;

(e)the administration of oaths.

(3)The authority conferred on a qualified solicitor, legal partnership or recognised body by this paragraph is exercisable in accordance with, and subject to, the regulatory arrangements of the Law Society.

(4)In this paragraph—

  • legal partnership” means a partnership in which a qualified solicitor, a registered European Lawyer or a body recognised under section 9 of the Administration of Justice Act 1985 (c. 61) is permitted to practise by virtue of rules made under that section or section 31 of the Solicitors Act 1974 (c. 47);

  • qualified solicitor” means a person who is qualified under section 1 of the Solicitors Act 1974 to act as a solicitor;

  • registered European lawyer” means a registered European lawyer within the meaning of the European Communities (Lawyer's Practice) Regulations 2000 (S.I. 2000/1119) who is registered with the Law Society.

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Commencement Information

I21Sch. 5 para. 7 wholly in force at 1.1.2010; Sch. 5 para. 7 not in force at Royal Assent see s. 211; Sch. 5 para. 7(4) in force for certain purposes at 31.3.2009 by S.I. 2009/503, art. 3, Sch. 5 para. 7 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(i) (with art. 9)

8(1)During the transitional period, every registered European lawyer registered with the Law Society is deemed to be authorised by the Law Society to carry on activities which—E+W

(a)are within paragraph 7(2), and

(b)the registered European lawyer is entitled to carry on under his home professional title by virtue of the European regulations.

(2)The authority conferred on a registered European lawyer by virtue of this paragraph is exercisable in accordance with, and subject to, the regulatory arrangements of the Law Society (as they apply to the registered European lawyer by virtue of the European regulations).

(3)In this paragraph—

  • European regulations” means the European Communities (Lawyer's Practice) Regulations 2000 (S.I. 2000/1119);

  • home professional title” and “registered European lawyer” have the same meaning as in the European regulations.

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Commencement Information

I22Sch. 5 para. 8 wholly in force at 1.1.2010, see s. 211 and S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

9(1)During the transitional period, solicitors are to continue to have the rights conferred on them by subsection (1) of section 102A of the Patents Act 1977 (c. 37) (rights of audience, etc in proceedings on appeal from the comptroller).E+W

(2)During that period, registered European lawyers are to continue to have the rights conferred on them by that subsection by virtue of the European regulations.

(3)In this paragraph “European regulations” and “registered European lawyer” have the same meaning as in paragraph 8.

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Commencement Information

I23Sch. 5 para. 9 wholly in force at 1.1.2010, see s. 211 and S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Legal ExecutivesE+W

10(1)During the transitional period, a person authorised by the Institute of Legal Executives to practise as a member of the profession of legal executives is deemed to be authorised by that Institute to administer oaths.E+W

(2)The authority conferred by sub-paragraph (1) is exercisable in accordance with and subject to the regulatory arrangements of the Institute of Legal Executives.

(3)A person is not authorised under sub-paragraph (1) unless the person has in force a certificate issued by the Institute of Legal Executives authorising the person to practise as a legal executive.

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Commencement Information

I24Sch. 5 para. 10 wholly in force at 1.1.2010, see s. 211 and S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Licensed conveyancersE+W

11(1)During the transitional period every individual who holds a conveyancing licence is deemed to be authorised by the Council for Licensed Conveyancers to administer oaths.E+W

[F12(1A)During the transitional period every individual, not being a licensed conveyancer, who holds a licence under section 53 of the Courts and Legal Services Act 1990 is deemed to be authorised by the Council to administer oaths.]

(2)The authority conferred by sub-paragraph (1) [F13or (1A)] is exercisable in accordance with and subject to the regulatory arrangements of the Council.

(3)During that period, every conveyancing partnership and every [F14conveyancing services] body recognised under section 32 of the Administration of Justice Act 1985 (c. 61) (bodies corporate entitled to provide conveyancing [F15or other] services) is deemed to be authorised by the Council—

(a)to carry on conveyancing services, and

(b)to administer oaths.

[F16(3A)During that period, every CLC practitioner services body recognised under section 32 of the Administration of Justice Act 1985 is deemed to be authorised by the Council to administer oaths.]

(4)The authority conferred by sub-paragraph (3) [F17or (3A)] is exercisable in accordance with and subject to—

(a)in the case of a body recognised under section 32 of the Administration of Justice Act 1985, any condition subject to which its recognition has effect, and

(b)the regulatory arrangements of the Council.

[F18(5)In this paragraph—

  • CLC practitioner services body ” has the meaning given by section 32B of the Administration of Justice Act 1985;

  • conveyancing partnership ” means a partnership at least some of the members of which are licensed conveyancers, but does not include a CLC practitioner services body;

  • conveyancing services body ” has the meaning given by section 32A of the Administration of Justice 1985. ]

(6)For the purposes of this paragraph a conveyancing licence [F19or a licence under section 53 of the Courts and Legal Services Act 1990] is to be treated as not in force during any period when it is suspended.

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Amendments (Textual)

F13Words in Sch. 5 para. 11(2) inserted (29.6.2015) by Deregulation Act 2015 (c. 20), s. 115(6)(b), Sch. 19 para. 16(3); S.I. 2015/1402, art. 2(b)

F14Words in Sch. 5 para. 11(3) inserted (29.6.2015) by Deregulation Act 2015 (c. 20), s. 115(6)(b), Sch. 19 para. 16(4)(a); S.I. 2015/1402, art. 2(b)

F15Words in Sch. 5 para. 11(3) inserted (29.6.2015) by Deregulation Act 2015 (c. 20), s. 115(6)(b), Sch. 19 para. 16(4)(b); S.I. 2015/1402, art. 2(b)

F17Words in Sch. 5 para. 11(4) inserted (29.6.2015) by Deregulation Act 2015 (c. 20), s. 115(6)(b), Sch. 19 para. 16(6); S.I. 2015/1402, art. 2(b)

F19Words in Sch. 5 para. 11(6) inserted (29.6.2015) by Deregulation Act 2015 (c. 20), s. 115(6)(b), Sch. 19 para. 16(8); S.I. 2015/1402, art. 2(b)

Commencement Information

I25Sch. 5 para. 11 wholly in force at 1.1.2010, see s. 211 and S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Notaries publicE+W

12(1)During the transitional period, every duly certificated notary is deemed to be authorised by the Master of the Faculties to carry on the activities in sub-paragraph (2).E+W

(2)Those activities are—

(a)reserved instrument activities;

(b)probate activities;

(c)notarial activities;

(d)the administration of oaths.

(3)The authority conferred by sub-paragraph (1) is exercisable in accordance with and subject to the regulatory arrangements of the Master of the Faculties.

(4)In this paragraph “duly certificated notary” means a notary who either—

(a)has in force a practising certificate as a solicitor issued under the Solicitors Act 1974 (c. 47), and is duly entered in the Court of Faculties of the Archbishop of Canterbury in accordance with rules made by the Master of the Faculties, or

(b)has in force a practising certificate as a public notary issued by the said Court of Faculties in accordance with rules so made.

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Commencement Information

I26Sch. 5 para. 12 wholly in force at 1.1.2010; Sch. 5 para. 12 not in force at Royal Assent see s. 211; Sch. 5 para. 12(4) in force for certain purposes at 31.3.2009 by S.I. 2009/503, art. 3, Sch. 5 para. 12 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

13(1)During the transitional period, a person (“P”) is an exempt person in relation to the carrying on of an activity (“the relevant activity”) which is a notarial activity if—E+W

(a)P carries on the relevant activity by virtue of an employee of P (“E”) carrying it on in E's capacity as such an employee, and

(b)E is an authorised person in relation to the relevant activity.

(2)If P is a body, in this paragraph references to an employee of P include references to a manager of P.

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Commencement Information

I27Sch. 5 para. 13 wholly in force at 1.1.2010, see s. 211 and S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Patent attorneysE+W

14(1)During the transitional period, every registered patent attorney is deemed to be authorised by the Chartered Institute of Patent Attorneys to carry on reserved instrument activities.E+W

(2)During that period, every authorised patent attorney is deemed to be authorised by the Chartered Institute of Patent Attorneys to administer oaths.

(3)During that period, every patent attorney body is deemed to be authorised by the Chartered Institute of Patent Attorneys to carry on the activities in sub-paragraph (4).

(4)Those activities are any activities which are reserved legal activities within sub-paragraph (5) and which—

(a)if the body is a partnership, any partner who is a registered patent attorney is authorised to carry on;

(b)if the body is a body corporate, any director who is a registered patent attorney is authorised to carry on.

(5)Those activities are—

(a)the exercise of a right of audience;

(b)the conduct of litigation;

(c)reserved instrument activities;

(d)the administration of oaths.

(6)The authority conferred by any of sub-paragraphs (1) to (3) is exercisable in accordance with and subject to the regulatory arrangements of the Chartered Institute of Patent Attorneys.

(7)In this paragraph—

  • authorised patent attorney” means a registered patent attorney who is authorised by the Chartered Institute of Patent Attorneys to carry on one or both of the following activities—

    (a)

    the exercise of a right of audience;

    (b)

    the conduct of litigation;

  • patent attorney body” means—

    (a)

    a partnership all the partners of which are registered patent attorneys,

    (b)

    a body corporate all the directors of which are registered patent attorneys,

    (c)

    a partnership or body corporate which satisfies the conditions prescribed under section 279 of the Copyright, Designs and Patents Act 1988 (c. 48), or

    (d)

    a body corporate to which section 276(4) of that Act applies;

  • registered patent attorney” has the meaning given by section 275(2) of that Act;

and, in the case of a patent attorney body to which section 276(4) of that Act applies, the reference in sub-paragraph (4)(b) to a director includes a reference to the manager (within the meaning of section 276(4) of that Act) of the company.

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Commencement Information

I28Sch. 5 para. 14 wholly in force at 1.1.2010; Sch. 5 para. 14 not in force at Royal Assent see s. 211; Sch. 5 para. 14(7) in force for certain purposes at 31.3.2009 by S.I. 2009/503, art. 3, Sch. 5 para. 14 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

15(1)During the transitional period registered patent attorneys are to continue to have the rights conferred by section 102A(2) of the Patents Act 1977 (c. 37) and section 292 of the Copyright, Designs and Patents Act 1988 (c. 48).E+W

(2)In this paragraph “registered patent attorney” has the same meaning as in paragraph 14.

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Commencement Information

I29Sch. 5 para. 15 wholly in force at 1.1.2010, see s. 211 and S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Trade mark attorneysE+W

16(1)During the transitional period, every registered trade mark attorney is deemed to be authorised by the Institute of Trade Mark Attorneys to carry on reserved instrument activities.E+W

(2)During that period, every authorised trade mark attorney is deemed to be authorised by the Institute of Trade Mark Attorneys to administer oaths.

(3)During that period, every trade mark attorney body is deemed to be authorised by the Institute of Trade Mark Attorneys to carry on the activities in sub-paragraph (4).

(4)Those activities are any activities which are reserved legal activities within sub-paragraph (5) and which—

(a)if the body is a partnership, any partner who is a registered trade mark attorney is authorised to carry on, or

(b)if the body is a body corporate, any director who is a registered trade mark attorney is authorised to carry on.

(5)Those activities are—

(a)the exercise of a right of audience;

(b)the conduct of litigation;

(c)reserved instrument activities;

(d)the administration of oaths.

(6)The authority conferred by any of sub-paragraphs (1) to (3) is exercisable in accordance with and subject to the regulatory arrangements of the Institute of Trade Mark Attorneys.

(7)In this paragraph—

  • authorised trade mark attorney” means a registered trade mark attorney who is authorised by the Institute of Trade Mark Attorneys to carry on one or both of the following activities—

    (a)

    the exercise of a right of audience;

    (b)

    the conduct of litigation;

  • trade mark attorney body” means—

    (a)

    a partnership all the partners of which are registered trade mark attorneys,

    (b)

    a body corporate all the directors of which are registered trade mark attorneys, or

    (c)

    a partnership or body corporate which satisfies the conditions prescribed under section 85 of the Trade Marks Act 1994 (c. 26);

  • registered trade mark attorney” has the same meaning as in the Trade Marks Act 1994.

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Commencement Information

I30Sch. 5 para. 16 wholly in force at 1.1.2010; Sch. 5 para. 16 not in force at Royal Assent see s. 211; Sch. 5 para. 16(7) in force for certain purposes at 31.3.2009 by S.I. 2009/503, art. 3, Sch. 5 para. 16 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Law costs draftsmenE+W

17(1)During the transitional period, every authorised member of the Association of Law Costs Draftsmen is deemed to be authorised by that Association to administer oaths.E+W

(2)In this paragraph, “authorised member of the Association of Law Costs Draftsmen” means a member of that Association who has been authorised by that Association to carry on one or both of the following activities—

(a)the exercise of a right of audience;

(b)the conduct of litigation.

(3)The authority conferred by sub-paragraph (1) is exercisable in accordance with and subject to the regulatory arrangements of the Association of Law Costs Draftsmen.

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Commencement Information

I31Sch. 5 para. 17 wholly in force at 1.1.2010; Sch. 5 para. 17 not in force at Royal Assent see s. 211; Sch. 5 para. 17(2) in force for certain purposes at 31.3.2009 by S.I. 2009/503, art. 3, Sch. 5 para. 17 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

18(1)During the transitional period, a person (“P”) is an exempt person in relation to the carrying on of an activity (“the relevant activity”) which is a reserved legal activity within sub-paragraph (2), if—E+W

(a)P carries on the relevant activity by virtue of an employee of P (“E”) carrying it on in E's capacity as such an employee, and

(b)E is an authorised member of the Association of Law Costs Draftsmen (within the meaning of paragraph 17(2) of this Schedule).

(2)The reserved legal activities mentioned in sub-paragraph (1) are—

(a)the exercise of a right of audience;

(b)the conduct of litigation;

(c)the administration of oaths.

(3)If P is a body, in this paragraph references to an employee of P include references to a manager of P.

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Commencement Information

I32Sch. 5 para. 18 wholly in force at 1.1.2010; Sch. 5 para. 18 not in force at Royal Assent see s. 211; Sch. 5 para. 18(2) in force for certain purposes at 31.3.2009 by S.I. 2009/503, art. 3, Sch. 5 para. 18 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Part 3 E+WInterpretation

19In this Schedule—E+W

  • the appointed day” means the day appointed for the coming into force of section 13 (entitlement to carry on a reserved legal activity);

  • conveyancing licence” has the meaning given by paragraph 2.

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Commencement Information

I33Sch. 5 para. 19 wholly in force at 1.1.2010, see s. 211 and S.I. 2009/3250, art. 2(b)(ii) (with art. 9)

Sections 24 and 26

SCHEDULE 6E+WAlteration of reserved legal activities

IntroductoryE+W

1In this Schedule, in relation to an activity—E+W

  • section 24 investigation” means an investigation held with a view to determining whether or not the Board should make a recommendation in respect of the activity for the purposes of section 24 (recommendations and orders to extend the reserved legal activities);

  • section 26 investigation” means an investigation held with a view to determining whether or not the Board should make a recommendation in respect of the activity for the purposes of section 26 (recommendations that an activity should cease to be a reserved legal activity).

Requests for Board to hold a full investigationE+W

2(1)A person may—E+W

(a)request the Board to hold a section 24 investigation in respect of an activity, or

(b)request the Board to hold a section 26 investigation in respect of an activity.

(2)A request under sub-paragraph (1) must be in writing and specify the activity to which it relates.

(3)In the case of a request for a section 24 investigation, the activity in respect of which the request is made must be a legal activity.

Board's duty to hold preliminary inquiries in certain casesE+W

3(1)This paragraph applies where the Board receives a request under paragraph 2, in respect of an activity, from—E+W

(a)the Lord Chancellor,

(b)the [F20CMA],

(c)the Consumer Panel, or

(d)the Lord Chief Justice.

(2)The Board must—

(a)carry out such inquiries as it considers appropriate to enable it to determine whether it is appropriate to hold a section 24 investigation or, as the case may be, a section 26 investigation in respect of the activity, and

(b)make that determination within the preliminary inquiry period.

(3)The preliminary inquiry period” means the period of 3 months beginning with the day on which the request under paragraph 2 was received by the Board.

(4)The Board may, before the end of the preliminary inquiry period in relation to a request, issue a notice extending that period by a period specified in the notice.

(5)More than one notice may be issued under sub-paragraph (4), but the total preliminary inquiry period must not exceed 4 months.

(6)A notice under sub-paragraph (4) must state the Board's reasons for extending the preliminary inquiry period.

(7)The Board must publish a notice issued under sub-paragraph (4).

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Amendments (Textual)

Board's power to hold preliminary inquiries in other casesE+W

4(1)The Board may—E+W

(a)where it receives a request under paragraph 2 to which paragraph 3 does not apply, or

(b)in any other case where it considers it appropriate to do so,

carry out such inquiries as it considers appropriate to enable it to determine whether it is appropriate to hold a section 24 investigation or a section 26 investigation in respect of an activity.

(2)In the case of a section 24 investigation, that activity must be a legal activity.

AdviceE+W

5F21. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W

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Amendments (Textual)

F21Sch. 6 paras. 5-8 repealed (1.1.2010) by Legal Services Act 2007 (c. 29), ss. 210, 211, Sch. 23 (with ss. 29, 192, 193); S.I. 2009/3250, art. 2 (with art. 9)

6F22. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W

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Amendments (Textual)

7F23. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W

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Amendments (Textual)

Restrictions on refusing a paragraph 2 requestE+W

8F24. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W

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Amendments (Textual)

F24Sch. 6 paras. 5-8 repealed (1.1.2010) by Legal Services Act 2007 (c. 29), ss. 210, 211, Sch. 23 (with ss. 29, 192, 193); S.I. 2009/3250, art. 2 (with art. 9)

Decision to hold investigationE+W

9(1)This paragraph applies where the Board has decided, following inquiries under paragraph 3 or 4, to hold a section 24 investigation or a section 26 investigation in respect of an activity.E+W

(2)The Board must, as soon as reasonably practicable, give notice of its decision to—

(a)the Lord Chancellor,

(b)the [F25CMA],

(c)the Consumer Panel, and

(d)the Lord Chief Justice,

and publish the notice.

(3)The notice must—

(a)state the Board's reasons for its decision to hold the investigation, and

(b)contain a description (in general terms) of the procedure set out in paragraphs 10 to 17 and in rules under this Schedule, including any relevant time limits.

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Amendments (Textual)

Duty to investigate and produce a provisional report within the investigation periodE+W

10(1)This paragraph applies where the Board has given notice under paragraph 9(2) of—E+W

(a)a decision to hold a section 24 investigation, or

(b)a decision to hold a section 26 investigation,

in respect of an activity.

(2)The Board must within the investigation period—

(a)carry out such investigations as it considers appropriate for the purposes of enabling it to produce a provisional report in respect of the activity, and

(b)produce and publish such a report.

(3)A provisional report is a report stating—

(a)in a case within sub-paragraph (1)(a), whether or not the Board is minded to make a recommendation for the purposes of section 24 (recommendation that activity should become a reserved legal activity);

(b)in a case within sub-paragraph (1)(b), whether or not the Board is minded to make a recommendation for the purposes of section 26 (recommendation that activity should cease to be a reserved legal activity).

(4)A provisional report must also state the Board's reasons for it being, or not being, minded to make the recommendation in question.

“The investigation period” E+W

11(1)The investigation period” means the period of 12 months beginning with the day on which the notice was given under paragraph 9(2).E+W

(2)The Board may, before the end of the investigation period, issue a notice extending that period by a period specified in the notice.

(3)More than one notice may be issued under sub-paragraph (2) but the total investigation period must not exceed 16 months.

(4)The Board may issue a notice under sub-paragraph (2) only after it has consulted—

(a)the [F26CMA],

(b)the Consumer Panel, and

(c)the Lord Chief Justice.

(5)A notice under sub-paragraph (2) must state the Board's reasons for extending the investigation period.

(6)The Board must publish any notice issued under sub-paragraph (2).

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Amendments (Textual)

Supplementary provisions about the investigationE+W

12(1)This paragraph applies for the purposes of investigations under paragraph 10(2)(a).E+W

(2)The Board may make rules governing the making of oral and written representations, and the giving of oral and written evidence, to the Board.

(3)Rules under sub-paragraph (2) may (among other things) include—

(a)provision about the time and place at which any oral evidence is to be given or oral representations are to be heard;

(b)provision about the period within which any written evidence is to be given or written representations are to be made.

(4)In relation to each investigation, the Board must determine if, and to what extent—

(a)oral evidence or representations should be heard, and

(b)written evidence or representations should be received.

(5)The Board must, so far as is reasonably practicable, consider any written or oral representations duly made under this paragraph.

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Commencement Information

I34Sch. 6 para. 12 wholly in force at 1.1.2010; Sch. 6 para. 12 not in force at Royal Assent see s. 211; Sch. 6 para. 12(1)-(3) in force at 1.1.2009 by S.I. 2008/3149, art. 2(b)(iii); Sch. 6 para. 12 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(b)(ii)

Consideration of the provisional reportE+W

13(1)The Board may make rules governing the making to the Board of oral and written representations in respect of provisional reports.E+W

(2)Rules under sub-paragraph (1) may (among other things) include—

(a)provision about the time and place at which any oral representations are to be heard;

(b)provision about the period within which any written representations are to be made.

(3)The Board must exercise the power conferred by sub-paragraph (1) to make provision—

(a)enabling written representations and, so far as is reasonably practicable, oral representations to be made by affected practitioners, and

(b)enabling written or oral representations to be made by bodies which represent affected practitioners.

(4)An “affected practitioner” is a person carrying on the activity in respect of which the investigation is being held.

14(1)For the purpose of making a decision under paragraph 16(1)(a) or (b), the Board must, after publication of a provisional report, determine if and to what extent further evidence should be heard or received.E+W

(2)The Board may make rules governing the giving of such evidence.

(3)Rules under sub-paragraph (2) may (among other things) include—

(a)provision about the time and place at which any oral evidence is to be given;

(b)provision about the period within which any written evidence is to be given.

15The Board must, so far as is reasonably practicable, consider—E+W

(a)any written or oral representations made in accordance with rules to which paragraph 13(3) applies, and

(b)any other representations made in accordance with rules under paragraph 13(1), and any written or oral evidence given in accordance with rules under paragraph 14(2), which the Board considers relevant.

Duty to prepare final report within the final reporting periodE+W

16(1)After complying with paragraph 15, the Board must decide—E+W

(a)in the case of a section 24 investigation, whether or not to make a recommendation for the purposes of that section, and

(b)in the case of a section 26 investigation, whether or not to make a recommendation for the purposes of that section.

(2)The Board must prepare a report (“the final report”) which sets out—

(a)its decision and the reasons for it,

(b)where it decides to make a recommendation for the purposes of section 24 or 26, that recommendation, and

(c)where it decides to make a recommendation for the purposes of section 24, a statement of the provision which, in the Board's opinion, will need to be made by virtue of section 204(3) or in an order under section 208 (power to make consequential provision, transitional provision etc) if an order is made under section 24 in accordance with that recommendation.

(3)The Board must—

(a)give a copy of the final report to the Lord Chancellor, and

(b)publish that report.

(4)The Board must comply with the obligations imposed by this paragraph within the final reporting period.

“The final reporting period” E+W

17(1)The final reporting period” means the period of 3 months beginning with the date on which the provisional report was published under paragraph 10(2).E+W

(2)The Board may, before the end of the final reporting period, issue a notice extending that period by a period specified in the notice.

(3)More than one notice may be issued under sub-paragraph (2), but the total final reporting period must not exceed 5 months.

(4)The Board may issue a notice under sub-paragraph (2) only after it has consulted—

(a)the [F27CMA],

(b)the Consumer Panel, and

(c)the Lord Chief Justice.

(5)A notice under sub-paragraph (2) must state the Board's reasons for extending the final reporting period.

(6)The Board must publish a notice issued under sub-paragraph (2).

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Amendments (Textual)

CostsE+W

18The Board may pay such costs of a person as the Board considers reasonable for the purpose of facilitating the giving of oral evidence or the making of oral representations, by or on behalf of that person, in accordance with rules made under this Schedule.E+W

Section 33

SCHEDULE 7E+WDirections: procedure

IntroductoryE+W

1This Schedule applies where the Board proposes giving a direction to an approved regulator under section 32.E+W

Notification of the approved regulatorE+W

2(1)The Board must give the approved regulator a notice (“a warning notice”) accompanied by a copy of the proposed direction.E+W

(2)The warning notice must—

(a)state that the Board proposes to give the approved regulator a direction in the form of the accompanying draft,

(b)specify why the Board is satisfied as mentioned in section 32(1) and (2), and

(c)specify a period within which the approved regulator may make representations with respect to the proposal.

(3)The period specified under sub-paragraph (2)(c)—

(a)must begin with the date on which the warning notice is given to the approved regulator, and

(b)must not be less than 14 days.

(4)The approved regulator may make to the Board—

(a)written representations, and

(b)if the Board authorises it to do so, oral representations,

about the proposed direction.

(5)The Board must make rules governing the making of oral and written representations.

(6)The Board must consider any representations duly made by the approved regulator.

(7)Where oral representations are duly made, the Board must prepare a report of those representations.

(8)Before preparing that report, the Board must—

(a)give the approved regulator a reasonable opportunity to comment on a draft of the report, and

(b)have regard to any comments duly made.

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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

I35Sch. 7 para. 2 wholly in force at 1.1.2010; Sch. 7 para. 2 not in force at Royal Assent see s. 211; Sch. 7 para. 2(5) in force at 1.1.2009 by S.I. 2008/3149, art. 2(c)(ii); Sch. 7 para. 2 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(c)(ii) (with art. 9)

Board's duty to seek adviceE+W

3(1)After complying with paragraph 2, the Board must give each of the persons listed in sub-paragraph (2)—E+W

(a)a copy of the warning notice and the accompanying draft direction,

(b)a copy of any written representations duly made under paragraph 2 and a copy of the report (if any) prepared under that paragraph, and

(c)a notice specifying a period within which any advice under paragraphs 4 to 7 must be given.

(2)Those persons are—

(a)the Lord Chancellor,

(b)the [F28CMA ],

(c)the Consumer Panel,

(d)the Lord Chief Justice, and

(e)such other persons as the Board considers it reasonable to consult in respect of the proposed direction.

(3)In this Schedule, in relation to a proposed direction, “selected consultee” means a person within sub-paragraph (2)(e).

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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.

Amendments (Textual)

Advice of the Lord ChancellorE+W

4The Lord Chancellor must give the Board such advice as the Lord Chancellor thinks fit in respect of the proposed direction.E+W

Advice of [F29Competition and Markets Authority]E+W

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Amendments (Textual)

5(1)The [F30CMA] must give the Board such advice as it thinks fit regarding whether the proposed direction should be given.E+W

(2)In deciding what advice to give, the [F30CMA] must, in particular, have regard to whether giving the proposed direction would (or would be likely to) prevent, restrict or distort competition within the market for reserved legal services to any significant extent.

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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.

Amendments (Textual)

Advice of the Consumer PanelE+W

6(1)The Consumer Panel must give the Board such advice as it thinks fit regarding whether the proposed direction should be given.E+W

(2)In deciding what advice to give, the Consumer Panel must, in particular, have regard to the likely impact of the proposed direction on consumers.

Advice of selected consulteesE+W

7A selected consultee may give the Board such advice as the selected consultee thinks fit in respect of the proposed direction.E+W

Advice of the Lord Chief JusticeE+W

8(1)The Board must give the Lord Chief Justice—E+W

(a)a copy of any advice duly given under paragraphs 4 to 7, and

(b)a notice specifying a period within which any advice under this paragraph must be given.

(2)The Lord Chief Justice must then give such advice as the Lord Chief Justice thinks fit regarding whether the proposed direction should be given.

(3)In deciding what advice to give, the Lord Chief Justice must, in particular, have regard to the likely impact of the proposed direction on the courts in England and Wales.

Consultees' powers to request informationE+W

9A person (“the consultee”) to whom a copy of the warning notice is given under paragraph 3(1) may, for the purposes of giving advice under paragraphs 4 to 8, request the approved regulator or any other person to provide the consultee with such additional information as may be specified by the consultee.E+W

Representations by approved regulatorE+W

10(1)The Board must give the approved regulator a copy of any advice duly given under paragraphs 4 to 8.E+W

(2)The approved regulator may make to the Board—

(a)written representations, and

(b)if the Board authorises it to do so, oral representations,

about the advice.

(3)The Board must make rules governing the making of oral and written representations.

(4)Representations under this paragraph must be made within—

(a)the period of 28 days beginning with the day on which the copy of the advice is given to the approved regulator, or

(b)such longer period as the Board may specify in a particular case.

(5)Where oral representations are made, the Board must prepare a report of those representations.

(6)Before preparing that report, the Board must—

(a)give the approved regulator a reasonable opportunity to comment on a draft of the report, and

(b)have regard to any comments duly made.

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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

I36Sch. 7 para. 10 wholly in force at 1.1.2010; Sch. 7 para. 10 not in force at Royal Assent see s. 211; Sch. 7 para. 10(3) in force at 1.1.2009 by S.I. 2008/3149, art. 2(c)(ii); Sch. 7 para. 10 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(c)(ii) (with art. 9)

Publication of advice etcE+W

11(1)The Board must, as soon as practicable after the end of the period within which representations under paragraph 10 may be made, publish—E+W

(a)any advice duly given under paragraphs 4 to 8, and

(b)any written representations duly made under paragraph 10 and the report (if any) prepared under that paragraph.

(2)Nothing in sub-paragraph (1) operates—

(a)to prevent a person who gives advice under paragraphs 4 to 8 from publishing that advice, or

(b)to prevent a person who makes representations under paragraph 10 from publishing those representations.

(3)A person (“the publisher”) publishing any such material (whether under sub-paragraph (1) or otherwise) must, so far as practicable, exclude any matter which relates to the private affairs of a particular individual the publication of which, in the opinion of the publisher, would or might seriously and prejudicially affect the interests of that individual.

Decision by the BoardE+W

12(1)After considering—E+W

(a)any advice duly given under paragraphs 4 to 8,

(b)any representations duly made under paragraph 10, and

(c)any other information which the Board considers relevant,

the Board must decide whether to give the approved regulator the proposed direction.

(2)The Board must give notice of its decision (“the decision notice”) to the approved regulator.

(3)Where the Board decides to give the proposed direction, the decision notice must—

(a)contain the direction,

(b)state the time at which the direction is to take effect, and

(c)specify the Board's reasons for the decision to give the direction.

(4)The Board must publish the decision notice.

Sections 41 and 44

SCHEDULE 8E+WIntervention directions: procedure

Part 1E+WGiving intervention directions

IntroductoryE+W

1(1)This Part of this Schedule applies where the Board proposes giving an intervention direction to an approved regulator in respect of a regulatory function.E+W

(2)In this Schedule “intervention direction” has the same meaning as in section 41.

Notification of the approved regulatorE+W

2(1)The Board must give the approved regulator a notice (“a warning notice”) accompanied by a draft of the proposed intervention direction.E+W

(2)The warning notice must—

(a)state that the Board proposes to give the approved regulator an intervention direction in the form of the accompanying draft and the time when it is proposed that direction should take effect, and

(b)state the reasons why the Board is satisfied of the matters mentioned in section 41(1)(a) and (b).

(3)The Board must publish a copy of the warning notice.

(4)The approved regulator may make to the Board—

(a)written representations, and

(b)if the Board authorises it to do so, oral representations,

about the proposed intervention direction.

(5)The Board must make rules governing the making of written and oral representations.

(6)Any representations under sub-paragraph (4) must be made before the end of—

(a)the period of 28 days beginning with the day on which the warning notice is given to the approved regulator, or

(b)such longer period as the Board may specify in a particular case.

(7)Where oral representations are duly made under this paragraph, the Board must prepare a report of those representations.

(8)Before preparing that report, the Board must—

(a)give the approved regulator a reasonable opportunity to comment on a draft of the report, and

(b)have regard to any comments duly made.

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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

I37Sch. 8 para. 2 wholly in force at 1.1.2010; Sch. 8 para. 2 not in force at Royal Assent see s. 211; Sch. 8 para. 2(5) in force at 1.1.2009 by S.I. 2008/3149, art. 2(c)(iii); Sch. 8 para. 2 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(c)(ii) (with art. 9)

Board's duty to seek adviceE+W

3(1)After complying with paragraph 2, the Board must give each of the persons listed in sub-paragraph (2)—E+W

(a)a copy of the warning notice and the accompanying draft,

(b)a copy of any written representations duly made under paragraph 2 and a copy of the report (if any) prepared under that paragraph, and

(c)a notice specifying a period within which any advice under paragraphs 4 to 7 must be given.

(2)Those persons are—

(a)the Lord Chancellor,

(b)the [F31CMA],

(c)the Consumer Panel,

(d)the Lord Chief Justice, and

(e)such other persons as the Board considers it reasonable to consult in respect of the proposed intervention direction.

(3)In this Part of this Schedule, in relation to a proposed intervention direction, “selected consultee” means a person within sub-paragraph (2)(e).

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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.

Amendments (Textual)

Advice of the Lord ChancellorE+W

4The Lord Chancellor must give the Board such advice as the Lord Chancellor thinks fit in respect of the proposed intervention direction.E+W

Advice of [F32Competition and Markets Authority]E+W

Annotations: Help about Annotation
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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.

Amendments (Textual)

F32Words in Sch. 8 para. 5 cross-heading substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 120(3); S.I. 2014/416, art. 2(1)(d) (with Sch.)

5(1)The [F33CMA] must give the Board such advice as it thinks fit regarding whether the proposed intervention direction should be given.E+W

(2)In deciding what advice to give, the [F33CMA] must, in particular, have regard to whether giving the proposed intervention direction would (or would be likely to) prevent, restrict or distort competition within the market for reserved legal services to any significant extent.

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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.

Amendments (Textual)

Advice of the Consumer PanelE+W

6(1)The Consumer Panel must give the Board such advice as it thinks fit regarding whether the proposed intervention direction should be given.E+W

(2)In deciding what advice to give, the Consumer Panel must, in particular, have regard to the likely impact of the proposed direction on consumers.

Advice of selected consulteesE+W

7A selected consultee may give the Board such advice as the selected consultee thinks fit in respect of the proposed intervention direction.E+W

Advice of the Lord Chief JusticeE+W

8(1)The Board must give the Lord Chief Justice—E+W

(a)a copy of any advice duly given under paragraphs 4 to 7, and

(b)a notice specifying a period within which any advice under this paragraph must be given.

(2)The Lord Chief Justice must then give such advice as the Lord Chief Justice thinks fit regarding whether the proposed intervention direction should be given.

(3)In deciding what advice to give, the Lord Chief Justice must, in particular, have regard to the likely impact of the proposed intervention direction on the courts in England and Wales.

Consultees' powers to request informationE+W

9A person (“the consultee”) to whom a copy of the warning notice is given under paragraph 3(1) may, for the purposes of giving advice under paragraphs 4 to 8, request the approved regulator or any other person to provide the consultee with such additional information as may be specified by the consultee.E+W

Representations by the approved regulator etcE+W

10(1)The Board must—E+W

(a)give the approved regulator a copy of any advice duly given under paragraphs 4 to 8, and

(b)publish that advice together with any written representations duly made by the approved regulator under paragraph 2 and the report (if any) prepared under that paragraph.

(2)The approved regulator and any body within sub-paragraph (3) may make to the Board—

(a)written representations, and

(b)if the Board authorises it to do so, oral representations,

about the advice.

(3)A body is within this sub-paragraph if it represents persons authorised by the approved regulator to carry on activities which are reserved legal activities.

(4)The Board may allow any other person to make written or oral representations about the advice.

(5)The Board must make rules governing the making of oral and written representations.

(6)Representations under this paragraph must be made within—

(a)the period of 28 days beginning with the day on which the representations and advice are published under sub-paragraph (1)(b), or

(b)such longer period as the Board may specify in a particular case.

(7)Where oral representations are made, the Board must prepare a report of those representations.

(8)Before preparing that report, the Board must—

(a)give each person who made oral representations a reasonable opportunity to comment on a draft of the report of those representations, and

(b)have regard to any comments duly made.

(9)The Board must, as soon as reasonably practicable after the end of the period within which representations may be made under this paragraph, publish any written representations duly made and the report (if any) prepared under sub-paragraph (7).

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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

I38Sch. 8 para. 10 wholly in force at 1.1.2010; Sch. 8 para. 10 not in force at Royal Assent see s. 211; Sch. 8 para. 10(5) in force at 1.1.2009 by S.I. 2008/3149, art. 2(c)(iii); Sch. 8 para. 10 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(c)(ii) (with art. 9)

Further provision about publishing of advice and representationsE+W

11(1)Nothing in paragraph 10 operates—E+W

(a)to prevent a person who gives advice under paragraphs 4 to 8 from publishing that advice, or

(b)to prevent a person who makes representations under paragraph 2 or 10 from publishing those representations.

(2)A person (“the publisher”) publishing any such material (whether under paragraph 10 or otherwise) must, so far as practicable, exclude any matter which relates to the private affairs of a particular individual the publication of which, in the opinion of the publisher, would or might seriously and prejudicially affect the interests of that individual.

Decision by the BoardE+W

12(1)After considering—E+W

(a)any advice duly given under paragraphs 4 to 8,

(b)any representations duly made under paragraph 2 or 10, and

(c)any other information which the Board considers relevant,

the Board must decide whether to give an intervention direction.

(2)Where it decides to give an intervention direction, it may decide—

(a)to give an intervention direction in the form of the proposed intervention direction, or

(b)to amend the form of the proposed intervention direction and give an intervention direction in that amended form.

(3)The Board must give notice of its decision (“the decision notice”) to the approved regulator.

(4)Where the Board decides to give an intervention direction, the decision notice must—

(a)contain the intervention direction,

(b)state the time at which the intervention direction is to take effect,

(c)specify the reasons why the Board is satisfied of the matters mentioned in section 41(1)(a) and (b), and

(d)if the decision is under sub-paragraph (2)(b), set out the nature of any amendments made and the reasons for them.

(5)The time specified under sub-paragraph (4)(b) must not be before—

(a)the time specified in the warning notice in accordance with paragraph 2(2)(a), or

(b)the time the decision notice is given to the approved regulator.

(6)The Board must publish the decision notice.

Part 2E+WRevoking intervention directions

IntroductoryE+W

13(1)Where an intervention direction has effect in respect of a regulatory function of an approved regulator—E+W

(a)the approved regulator may apply to the Board for the Board to revoke the direction, or

(b)the Board may give the approved regulator a notice stating the Board's intention to revoke the direction.

(2)An application under sub-paragraph (1)(a) must—

(a)be made in the form and manner specified by the Board, and

(b)be accompanied by such material as the applicant considers is likely to be needed for the purposes of this Part of this Schedule.

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Commencement Information

I39Sch. 8 para. 13 wholly in force at 1.1.2010; Sch. 8 para. 13 not in force at Royal Assent see s. 211; Sch. 8 para. 13(2)(a) in force at 1.1.2009 by S.I. 2008/3149, art. 2(c)(iii); Sch. 8 para. 13 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(c)(ii) (with art. 9)

Board's duty to seek adviceE+W

14(1)Where the Board has received an application under paragraph 13(1)(a), it must give each of the persons listed in sub-paragraph (3)—E+W

(a)a copy of the application,

(b)a copy of any material which accompanied it, and

(c)a notice specifying a period within which any advice under paragraphs 15 to 18 must be given.

(2)Where the Board has given a notice under paragraph 13(1)(b), it must give each of the persons listed in sub-paragraph (3)—

(a)a copy of the notice, and

(b)a notice specifying a period within which any advice under paragraphs 15 to 18 must be given.

(3)The persons are—

(a)the Lord Chancellor,

(b)the [F34 CMA],

(c)the Consumer Panel,

(d)the Lord Chief Justice, and

(e)such other persons as the Board considers it reasonable to consult in respect of the proposed revocation.

(4)In this Part of this Schedule, in relation to an application or notice, “selected consultee” means a person within sub-paragraph (3)(e).

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Amendments (Textual)

Advice of the Lord ChancellorE+W

15The Lord Chancellor must give the Board such advice as the Lord Chancellor thinks fit in respect of the proposed revocation.E+W

Advice of [F35Competition and Markets Authority]E+W

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Amendments (Textual)

16(1)The [F36CMA] must give the Board such advice as it thinks fit regarding the proposed revocation.E+W

(2)In deciding what advice to give, the [F36CMA] must, in particular, have regard to whether revoking the intervention direction would (or would be likely to) prevent, restrict or distort competition within the market for reserved legal services to any significant extent.

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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.

Amendments (Textual)

Advice of the Consumer PanelE+W

17(1)The Consumer Panel must give the Board such advice as it thinks fit regarding the proposed revocation.E+W

(2)In deciding what advice to give, the Consumer Panel must, in particular, have regard to the likely impact which revoking the intervention direction would have on consumers.

Advice of the selected consulteesE+W

18A selected consultee may give the Board such advice as the selected consultee thinks fit in respect of the proposed revocation.E+W

Advice of the Lord Chief JusticeE+W

19(1)The Board must give the Lord Chief Justice—E+W

(a)a copy of any advice duly given under paragraphs 15 to 18, and

(b)a notice specifying a period within which any advice under this paragraph must be given.

(2)The Lord Chief Justice must then give the Board such advice as the Lord Chief Justice thinks fit in respect of the proposed revocation.

(3)In deciding what advice to give, the Lord Chief Justice must, in particular, have regard to the likely impact which revoking the intervention direction would have on the courts in England and Wales.

Information obtained by consulteesE+W

20A person to whom a copy of the application or notice is given under paragraph 14(1) or (2) may, for the purposes of giving advice under paragraphs 15 to 19, request the approved regulator or any other person to provide that person with such additional information as may be specified by that person.E+W

Representations by approved regulator etcE+W

21(1)The Board must—E+W

(a)give the approved regulator a copy of any advice duly given under paragraphs 15 to 19, and

(b)publish that advice.

(2)The approved regulator and any body within sub-paragraph (3) may make to the Board—

(a)written representations, and

(b)if the Board authorises it to do so, oral representations,

about the advice.

(3)A body is within this sub-paragraph if it represents persons authorised by the approved regulator to carry on activities which are reserved legal activities.

(4)The Board may allow any other person to make written or oral representations about the advice.

(5)The Board must make rules governing the making of oral and written representations.

(6)Representations under this paragraph must be made within—

(a)the period of 28 days beginning with the day on which the advice is published under sub-paragraph (1), or

(b)such longer period as the Board may specify in a particular case.

(7)Where oral representations are made, the Board must prepare a report of those representations.

(8)Before preparing that report, the Board must—

(a)give each person who made oral representations a reasonable opportunity to comment on a draft of the report of those representations, and

(b)have regard to any comments duly made.

(9)The Board must, as soon as practicable after the end of the period within which representations may be made under this paragraph, publish any written representations duly made and the report (if any) prepared under sub-paragraph (7).

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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

I40Sch. 8 para. 21 wholly in force at 1.1.2010; Sch. 8 para. 21 not in force at Royal Assent see s. 211; Sch. 8 para. 21(5) in force at 1.1.2009 by S.I. 2008/3149, art. 2(c)(iii); Sch. 8 para. 21 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(c)(ii) (with art. 9)

Further provision about publishing advice and representationsE+W

22(1)Nothing in paragraph 21 operates—E+W

(a)to prevent a person who gives advice under paragraphs 15 to 19 from publishing that advice, or

(b)to prevent a person who makes representations under paragraph 21 from publishing those representations.

(2)A person (“the publisher”) publishing any such material (whether under paragraph 21 or otherwise) must, so far as practicable, exclude any matter which relates to the private affairs of a particular individual the publication of which, in the opinion of the publisher, would or might seriously and prejudicially affect the interests of that individual.

Decision by the BoardE+W

23(1)After considering—E+W

(a)in a case within paragraph 13(1)(a), the application and any accompanying material,

(b)any advice duly given under paragraphs 15 to 19,

(c)any representations duly made under paragraph 21, and

(d)any other information which the Board considers relevant to the application or notice,

the Board must decide whether to revoke the intervention direction in accordance with the application or notice.

(2)The Board must give notice of its decision (“the decision notice”) to the approved regulator.

(3)Where the Board decides to revoke the intervention direction, the decision notice must state the time the revocation is to take effect.

(4)Where the Board decides not to revoke the intervention direction, the decision notice must specify the reasons for that decision.

(5)The Board must publish the decision notice.

Section 45

SCHEDULE 9E+WCancellation of designation as approved regulator

IntroductoryE+W

1This Schedule applies where the Board considers that it may be appropriate for it to make a recommendation under section 45(5).E+W

Notification of the approved regulatorE+W

2(1)The Board must give the approved regulator a notice (“a warning notice”) accompanied by a draft of the proposed recommendation.E+W

(2)The warning notice must—

(a)state that the Board proposes to make a recommendation under subsection (5) of section 45 in the form of the accompanying draft, and

(b)state the reasons why the Board is satisfied of the matters mentioned in paragraphs (a) and (b) of that subsection.

(3)The Board must publish a copy of the warning notice.

(4)The approved regulator may make to the Board—

(a)written representations, and

(b)if the Board authorises it to do so, oral representations,

about the proposed recommendation.

(5)The Board must make rules governing the making of oral and written representations.

(6)Representations under this paragraph must be made within—

(a)the period of 28 days beginning with the day on which the warning notice is given to the approved regulator, or

(b)such longer period as the Board may specify in a particular case.

(7)The Board must consider any representations duly made by the approved regulator.

(8)Where oral representations are duly made, the Board must prepare a report of those representations.

(9)Before preparing that report, the Board must—

(a)give the approved regulator a reasonable opportunity to comment on a draft of the report, and

(b)have regard to any comments duly made.

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Commencement Information

I41Sch. 9 para. 2 wholly in force at 1.1.2010; Sch. 9 para. 2 not in force at Royal Assent see s. 211; Sch. 9 para. 2(5) in force at 1.1.2009 by S.I. 2008/3149, art. 2(c)(iv); Sch. 8 para. 2 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(c)(ii) (with art. 9)

Board's duty to seek adviceE+W

3(1)After complying with paragraph 2, the Board must give each of the persons listed in sub-paragraph (2)—E+W

(a)a copy of the warning notice and the accompanying draft,

(b)a copy of any written representations duly made by the approved regulator under paragraph 2 and a copy of the report (if any) prepared under that paragraph, and

(c)a notice specifying a period within which any advice under paragraphs 4 to 6 must be given.

(2)Those persons are—

(a)the [F37CMA],

(b)the Consumer Panel,

(c)the Lord Chief Justice, and

(d)such other persons as the Board considers it reasonable to consult in respect of the proposed recommendation.

(3)In this Schedule, in relation to a proposed recommendation, “selected consultee” means a person within sub-paragraph (2)(d).

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Amendments (Textual)

Advice of [F38Competition and Markets Authority]E+W

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Amendments (Textual)

4(1)The [F39CMA] must give the Board such advice as it thinks fit regarding whether the proposed recommendation should be made.E+W

(2)In deciding what advice to give, the [F39CMA] must, in particular, have regard to whether making an order under section 45 in accordance with the proposed recommendation would (or would be likely to) prevent, restrict or distort competition within the market for reserved legal services to any significant extent.

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Amendments (Textual)

Advice of the Consumer PanelE+W

5(1)The Consumer Panel must give the Board such advice as it thinks fit regarding whether the proposed recommendation should be made.E+W

(2)In deciding what advice to give, the Consumer Panel must, in particular, have regard to the likely impact on consumers of making an order under section 45 in accordance with the proposed recommendation.

Advice of selected consulteesE+W

6A selected consultee may give the Board such advice as the selected consultee thinks fit in respect of the proposed recommendation.E+W

Advice of the Lord Chief JusticeE+W

7(1)The Board must give the Lord Chief Justice—E+W

(a)a copy of any advice duly given under paragraphs 4 to 6, and

(b)a notice specifying a period within which advice under this paragraph must be given.

(2)The Lord Chief Justice must then give such advice as the Lord Chief Justice thinks fit in respect of the proposed recommendation.

(3)In deciding what advice to give, the Lord Chief Justice must, in particular, have regard to the likely impact on the courts in England and Wales of making an order under section 45 in accordance with the proposed recommendation.

Information obtained by consulteesE+W

8A person (“the consultee”) to whom a copy of the warning notice is given under paragraph 3(1) may, for the purposes of giving advice under paragraphs 4 to 7, request the approved regulator or any other person to provide the consultee with such additional information as may be specified by the consultee.E+W

Representations by the approved regulator etcE+W

9(1)The Board must—E+W

(a)give the approved regulator a copy of any advice duly given under paragraphs 4 to 7, and

(b)publish that advice together with any written representations duly made by the approved regulator under paragraph 2 and the report (if any) prepared under that paragraph.

(2)The approved regulator and any body within sub-paragraph (3) may make to the Board—

(a)written representations, and

(b)if authorised to do so by the Board, oral representations,

about the advice.

(3)A body is within this sub-paragraph if it represents persons authorised by the approved regulator to carry on activities which are reserved legal activities.

(4)The Board may allow any other person to make written or oral representations about the advice.

(5)The Board may make rules governing the making to the Board of written or oral representations.

(6)Representations under this paragraph must be made within—

(a)the period of 28 days beginning with the day on which the representations and advice are published under sub-paragraph (1)(b), or

(b)such longer period as the Board may specify in a particular case.

(7)Where oral representations are made, the Board must prepare a report of those representations.

(8)Before preparing that report, the Board must—

(a)give each person who made oral representations a reasonable opportunity to comment on a draft of the report of those representations, and

(b)have regard to any comments duly made.

(9)The Board must, as soon as reasonably practicable after the end of the period within which representations under this paragraph may be made, publish any written representations duly made and the report (if any) prepared under sub-paragraph (7).

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Commencement Information

I42Sch. 9 para. 9 wholly in force at 1.1.2010; Sch. 9 para. 9 not in force at Royal Assent see s. 211; Sch. 9 para. 9(5) in force at 1.1.2009 by S.I. 2008/3149, art. 2(c)(iv); Sch. 9 para. 9 in force otherwise at 1.1.2010 by S.I. 2009/3250, art. 2(c)(ii) (with art. 9)

Publication of advice etcE+W

10(1)Nothing in paragraph 9 operates—E+W

(a)to prevent a person who gives advice under paragraphs 4 to 7 from publishing that advice, or

(b)to prevent a person who makes representations under paragraph 2 or 9 from publishing those representations.

(2)A person (“the publisher”) publishing any such material (whether under paragraph 9 or otherwise) must, so far as practicable, exclude any matter which relates to the private affairs of a particular individual the publication of which, in the opinion of the publisher, would or might seriously and prejudicially affect the interests of that individual.

Decision by the BoardE+W

11(1)After considering—E+W

(a)any advice duly given under paragraphs 4 to 7,

(b)any representations duly made under paragraph 2 or 9, and

(c)any other information which the Board considers relevant,

the Board must decide whether to make the proposed recommendation.

(2)The Board must give notice of its decision (“the decision notice”) to the approved regulator and to the Lord Chancellor.

(3)If the Board decides to make the proposed recommendation, the decision notice must—

(a)contain the recommendation, and

(b)state why the Board is satisfied of the matters mentioned in section 45(5)(a) and (b).

(4)The Board must publish the decision notice.

Sections 74 and 76

SCHEDULE 10E+WDesignation of approved regulators as licensing authorities

Part 1E+WDesignation of approved regulators by order

Application to the BoardE+W

1(1)This paragraph applies where a body wishes to become a licensing authority in relation to one or more activities which constitute one or more reserved legal activities.E+W

(2)The body may apply to the Board for the Board—

(a)to recommend that an order be made by the Lord Chancellor designating the applicant as a licensing authority in relation to the reserved legal activity or activities in question, and

(b)to approve what the applicant proposes as its licensing rules if such an order is made (“the proposed licensing rules”).

(3)But the body may make an application under this paragraph in relation to a reserved legal activity only if—

(a)it is a relevant approved regulator in relation to the activity, or

(b)it has made an application under Part 2 of Schedule 4 (designation of approved regulators) for the Board to recommend that an order be made by the Lord Chancellor designating the body as an approved regulator in relation to the activity.

(4)An application under this paragraph must be made in such form and manner as the Board may specify in rules and must be accompanied by—

(a)a statement of the reserved legal activity or activities to which it relates,

(b)details of the applicant's proposed licensing rules,

(c)such explanatory material as the applicant considers is likely to be needed for the purposes of this Part of this Schedule, and

(d)the prescribed fee.

(5)The prescribed fee is the fee specified in, or determined in accordance with, rules made by the Board with the consent of the Lord Chancellor.

(6)An applicant may, at any time, withdraw the application by giving notice to that effect to the Board.

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Commencement Information

I43Sch. 10 para. 1 partly in force; Sch. 10 para. 1 not in force at Royal Assent see s. 211; Sch. 10 para. 1(1)(4)(5) in force at 1.1.2009 by S.I. 2008/3149, art. 2(d)(ii)

I44Sch. 10 para. 1(2)(3)(6) in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Dismissal of applicationE+W

2(1)The Board may refuse to consider, or to continue its consideration of, an application.E+W

(2)The Board must make rules about the procedures and criteria that it will apply when determining whether to refuse to consider, or to continue its consideration of, an application under sub-paragraph (1).

(3)Where the Board decides to refuse to consider, or to continue its consideration of, an application it must give the applicant notice of that decision and of its reasons for it.

(4)The Board must publish a notice given under sub-paragraph (3).

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Commencement Information

I45Sch. 10 para. 2 partly in force; Sch. 10 para. 2 not in force at Royal Assent see s. 211; Sch. 10 para. 2(2) in force at 1.1.2009 by S.I. 2008/3149, art. 2(d)(ii)

I46Sch. 10 para. 2(1)(3)(4) in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Board's duty to seek adviceE+W

3(1)The Board must give each of the persons listed in sub-paragraph (2)—E+W

(a)a copy of the application and accompanying material, and

(b)a notice specifying a period within which any advice given under paragraphs 4 to 6 must be given.

(2)Those persons are—

(a)the [F40CMA ],

(b)the Consumer Panel,

(c)the Lord Chief Justice, and

(d)such other persons as the Board considers it reasonable to consult regarding the application.

(3)In this Part of this Schedule, in relation to an application, “selected consultee” means a person within sub-paragraph (2)(d).

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Amendments (Textual)

Commencement Information

I47Sch. 10 para. 3 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Advice of [F41Competition and Markets Authority]E+W

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Amendments (Textual)

4(1)The [F42CMA] must give the Board such advice as the [F42CMA] thinks fit regarding whether the application should be granted.E+W

(2)In deciding what advice to give, the [F42CMA] must, in particular, have regard to whether making an order under paragraph 15 in accordance with the recommendation applied for would (or would be likely to) prevent, restrict or distort competition within the market for reserved legal services to any significant extent.

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Amendments (Textual)

Commencement Information

I48Sch. 10 para. 4 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Advice of the Consumer PanelE+W

5(1)The Consumer Panel must give the Board such advice as the Consumer Panel thinks fit regarding whether the application should be granted.E+W

(2)In deciding what advice to give, the Consumer Panel must, in particular, have regard to the likely impact on consumers of the making of an order under paragraph 15 in accordance with the recommendation applied for.

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Commencement Information

I49Sch. 10 para. 5 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Advice of selected consulteesE+W

6A selected consultee may give the Board such advice as the selected consultee thinks fit in respect of the application.E+W

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Commencement Information

I50Sch. 10 para. 6 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Advice of the Lord Chief JusticeE+W

7(1)The Board must give the Lord Chief Justice—E+W

(a)a copy of any advice duly given under paragraphs 4 to 6, and

(b)a notice specifying a period within which any advice under this paragraph must be given.

(2)The Lord Chief Justice must then give such advice to the Board as the Lord Chief Justice thinks fit regarding whether the application should be granted.

(3)In deciding what advice to give, the Lord Chief Justice must, in particular, have regard to the likely impact on the courts in England and Wales of the making of an order under paragraph 15 in accordance with the recommendation applied for.

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Commencement Information

I51Sch. 10 para. 7 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Information obtained by consulteesE+W

8A person (“the consultee”) to whom a copy of the application is given under paragraph 3(1) may, for the purposes of giving advice under paragraphs 4 to 7, request the applicant or any other person to provide the consultee with such additional information as may be specified by the consultee.E+W

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Commencement Information

I52Sch. 10 para. 8 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Representations by applicantE+W

9(1)The Board must give the applicant a copy of any advice duly given under paragraphs 4 to 7.E+W

(2)The applicant may make to the Board—

(a)written representations, and

(b)if the Board authorises it to do so, oral representations,

about the advice.

(3)The Board must make rules governing the making of oral and written representations.

(4)Representations under this paragraph must be made within—

(a)the period of 28 days beginning with the day on which the copy of the advice is given to the applicant, or

(b)such longer period as the Board may specify in a particular case.

(5)Where oral representations are made, the Board must prepare a report of those representations.

(6)Before preparing that report, the Board must—

(a)give the applicant a reasonable opportunity to comment on a draft of the report, and

(b)have regard to any comments duly made.

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Commencement Information

I53Sch. 10 para. 9 partly in force; Sch. 10 para. 9 not in force at Royal Assent see s. 211; Sch. 10 para. 9(3) in force at 1.1.2009 by S.I. 2008/3149, art. 2(d)(ii)

I54Sch. 10 para. 9(1) (2) (4)-(6) in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Publication of advice and representations etcE+W

10(1)The Board must, as soon as practicable after the end of the period within which representations under paragraph 9 may be made, publish—E+W

(a)any advice duly given under paragraphs 4 to 7,

(b)any written representations duly made under paragraph 9 and the report (if any) prepared under that paragraph.

(2)Nothing in sub-paragraph (1) operates—

(a)to prevent a person who gives advice under paragraphs 4 to 7 from publishing that advice, or

(b)to prevent a person who makes representations under paragraph 9 from publishing those representations.

(3)A person (“the publisher”) publishing any such material (whether under sub-paragraph (1) or otherwise) must, so far as practicable, exclude any matter which relates to the private affairs of a particular individual the publication of which, in the opinion of the publisher, would or might seriously and prejudicially affect the interests of that individual.

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Commencement Information

I55Sch. 10 para. 10 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Rules governing decisions by the BoardE+W

11(1)The Board must make rules specifying how it will determine applications.E+W

(2)Rules under sub-paragraph (1) must, in particular, provide that the Board may grant an application in relation to a particular reserved legal activity only if it is satisfied—

(a)that the applicant's proposed licensing rules in relation to the activity comply with the requirements of section 83;

(b)that, if an order were to be made under paragraph 15 designating the body in relation to the activity, there would be a body with power to hear and determine appeals which, under this Part or the applicant's proposed licensing rules, may be made against decisions of the applicant;

(c)that, if an order were to be made under paragraph 15 designating the body in relation to the activity, the applicant would have appropriate internal governance arrangements in place at the time the order takes effect;

(d)that, if an order were made under paragraph 15 designating the body in relation to the activity, the applicant would be competent, and have sufficient resources, to perform the role of licensing authority in relation to the activity at the time the order takes effect.

(3)The rules made for the purposes of sub-paragraph (2)(c) must in particular require the Board to be satisfied—

(a)that the exercise of the applicant's regulatory functions would not be prejudiced by any of its representative functions, and

(b)that decisions relating to the exercise of its regulatory functions would so far as reasonably practicable be taken independently from decisions relating to the exercise of its representative functions.

Determination of applicationsE+W

12(1)After considering—E+W

(a)the application and accompanying material,

(b)any other information provided by the applicant,

(c)any advice duly given under paragraphs 4 to 7,

(d)any representations duly made under paragraph 9, and

(e)any other information which the Board considers relevant to the application,

the Board must decide whether to grant the application.

(2)Where the application relates to more than one reserved legal activity, the Board may grant the application in relation to all or any of them.

(3)The Board must give notice of its decision to the applicant (“the decision notice”).

(4)Where the Board decides to refuse the application (in whole or in part), the decision notice must specify the reasons for that decision.

(5)The Board must publish the decision notice.

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Commencement Information

I56Sch. 10 para. 12 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

13(1)Where an application is made under this Part, the Board must give the decision notice under paragraph 12 within the decision period.E+W

(2)The “decision period” is the period of 12 months beginning with the day on which the application is made to the Board.

(3)The Board may, before the end of the decision period, issue a notice extending that period by a period specified in the notice.

(4)More than one notice may be issued under sub-paragraph (3), but the decision period must not exceed 16 months.

(5)The Board may issue a notice under sub-paragraph (3) only after it has—

(a)consulted the [F43CMA ], the Consumer Panel and the Lord Chief Justice, and

(b)obtained the Lord Chancellor's consent to the extension.

(6)A notice under sub-paragraph (3) must state the Board's reasons for extending the decision period.

(7)The Board must publish any notice issued under sub-paragraph (3).

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Amendments (Textual)

Commencement Information

I57Sch. 10 para. 13 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Effect of grant of applicationE+W

14(1)This paragraph applies where an application is granted in relation to a reserved legal activity or activities.E+W

(2)The Board must recommend to the Lord Chancellor that an order be made designating the applicant as a licensing authority in relation to the reserved legal activity or activities in question.

(3)The Board must publish any recommendation made under sub-paragraph (2).

(4)The Board must make available to the Lord Chancellor—

(a)any advice duly given under paragraphs 4 to 7,

(b)any written representations duly made under paragraph 9 and the report (if any) prepared under that paragraph, and

(c)any other material considered by the Board for the purpose of determining the application.

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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

I58Sch. 10 para. 14 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Lord Chancellor's decision to make an orderE+W

15(1)Where a recommendation is made to the Lord Chancellor under paragraph 14, the Lord Chancellor may—E+W

(a)make an order in accordance with the recommendation, or

(b)refuse to make such an order.

(2)Where the recommendation relates to more than one reserved legal activity, the Lord Chancellor may make an order under sub-paragraph (1)(a) in relation to all or any of them.

(3)But if the application, in relation to a particular reserved legal activity, was made in reliance on paragraph 1(3)(b), the Lord Chancellor must not make an order in relation to that activity unless the Lord Chancellor has made an order under Part 2 of Schedule 4 designating the body as an approved regulator in relation to that activity.

(4)The Lord Chancellor must—

(a)decide whether to make an order under this paragraph, and

(b)give notice of that decision (“the decision notice”) to the applicant,

within the period of 90 days beginning with the day on which the recommendation was made.

(5)If the Lord Chancellor decides not to make an order in accordance with the whole or part of the recommendation, the decision notice must state the reasons for the decision.

(6)The Lord Chancellor must publish the decision notice.

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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

I59Sch. 10 para. 15 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Approval of licensing rulesE+W

16(1)Where an order is made by the Lord Chancellor under paragraph 15, the applicant's proposed licensing rules are at the same time treated as having been approved by the Board.E+W

(2)But where the order relates to one or more (but not all) of the reserved legal activities to which the application related, sub-paragraph (1) has effect as if the reference to the applicant's proposed licensing rules were a reference to those rules excluding any provision made in respect of any activities excluded from the order.

(3)Sub-paragraph (1) is without prejudice to the Board's power to give directions under section 32 (powers to direct an approved regulator to take steps in certain circumstances, including steps to amend its regulatory arrangements).

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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

I60Sch. 10 para. 16 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Part 2E+WCancellation of designation by order

IntroductoryE+W

17This Part of this Schedule applies where the Board considers that it may be appropriate for it to make a recommendation under section 76(5).E+W

Notification of the licensing authorityE+W

18(1)The Board must give the licensing authority a notice (“a warning notice”) accompanied by a draft of the proposed recommendation.E+W

(2)The warning notice must—

(a)state that the Board proposes to make a recommendation under subsection (5) of section 76 in the form of the accompanying draft, and

(b)state the reasons why the Board is satisfied of the matters mentioned in paragraphs (a) and (b) of that subsection.

(3)The Board must publish a copy of the warning notice.

(4)The licensing authority may make to the Board—

(a)written representations, and

(b)if the Board authorises it to do so, oral representations,

about the proposed recommendation.

(5)The Board must make rules governing the making of oral and written representations.

(6)Representations under this paragraph must be made within—

(a)the period of 28 days beginning with the day on which the warning notice is given to the licensing authority, or

(b)such longer period as the Board may specify in a particular case.

(7)The Board must consider any representations duly made by the licensing authority.

(8)Where oral representations are duly made, the Board must prepare a report of those representations.

(9)Before preparing that report, the Board must—

(a)give the licensing authority a reasonable opportunity to comment on a draft of the report, and

(b)have regard to any comments duly made.

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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

I61Sch. 10 para. 18 partly in force; Sch. 10 para. 18 not in force at Royal Assent see s. 211; Sch. 10 para. 18(5) in force at 1.1.2009 by S.I. 2008/3149, art. 2(d)(ii)

I62Sch. 10 para. 18(1)-(4) (6)-(9) in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Board's duty to seek adviceE+W

19(1)After complying with paragraph 18, the Board must give each of the persons listed in sub-paragraph (2)—E+W

(a)a copy of the warning notice and the accompanying draft,

(b)a copy of any written representations duly made by the licensing authority under paragraph 18 and a copy of the report (if any) prepared under that paragraph, and

(c)a notice specifying a period within which any advice under paragraphs 20 to 22 must be given.

(2)Those persons are—

(a)the [F44CMA ],

(b)the Consumer Panel,

(c)the Lord Chief Justice, and

(d)such other persons as the Board considers it reasonable to consult in respect of the proposed recommendation.

(3)In this Part of this Schedule, in relation to a proposed recommendation, “selected consultee” means a person within sub-paragraph (2)(d).

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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.

Amendments (Textual)

Commencement Information

I63Sch. 10 para. 19 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Advice of [F45Competition and Markets Authority]E+W

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Amendments (Textual)

20(1)The [F46CMA] must give the Board such advice as it thinks fit regarding whether the proposed recommendation should be made.E+W

(2)In deciding what advice to give, the [F46CMA] must, in particular, have regard to whether making an order under section 76 in accordance with the proposed recommendation would (or would be likely to) prevent, restrict or distort competition within the market for reserved legal services to any significant extent.

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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.

Amendments (Textual)

F46Word in Sch. 10 para. 20(1)(2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 122(8); S.I. 2014/416, art. 2(1)(d) (with Sch.)

Commencement Information

I64Sch. 10 para. 20 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Advice of the Consumer PanelE+W

21(1)The Consumer Panel must give the Board such advice as it thinks fit regarding whether the proposed recommendation should be made.E+W

(2)In deciding what advice to give, the Consumer Panel must, in particular, have regard to the likely impact on consumers of making an order under section 76 in accordance with the proposed recommendation.

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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

I65Sch. 10 para. 21 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Advice of selected consulteesE+W

22A selected consultee may give the Board such advice as the selected consultee thinks fit in respect of the proposed recommendation.E+W

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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

I66Sch. 10 para. 22 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Advice of the Lord Chief JusticeE+W

23(1)The Board must give the Lord Chief Justice—E+W

(a)a copy of any advice duly given under paragraphs 20 to 22, and

(b)a notice specifying a period within which advice under this paragraph must be given.

(2)The Lord Chief Justice must then give such advice as the Lord Chief Justice thinks fit in respect of the proposed recommendation.

(3)In deciding what advice to give, the Lord Chief Justice must, in particular, have regard to the likely impact on the courts in England and Wales of making an order under section 76 in accordance with the proposed recommendation.

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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

I67Sch. 10 para. 23 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Information obtained by consulteesE+W

24A person (“the consultee”) to whom a copy of the warning notice is given under paragraph 19(1) may, for the purposes of giving advice under paragraphs 20 to 23, request the licensing authority or any other person to provide the consultee with such additional information as may be specified by the consultee.E+W

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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

I68Sch. 10 para. 24 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Representations by the approved regulator etcE+W

25(1)The Board must—E+W

(a)give the licensing authority a copy of any advice duly given under paragraphs 20 to 23, and

(b)publish that advice together with any written representations duly made by the licensing authority under paragraph 18 and the report (if any) prepared under that paragraph.

(2)The licensing authority and any body within sub-paragraph (3) may make to the Board—

(a)written representations, and

(b)if authorised to do so by the Board, oral representations,

about the advice.

(3)A body is within this sub-paragraph if it represents licensed bodies authorised by the licensing authority to carry on activities which are reserved legal activities.

(4)The Board may allow any other person to make written or oral representations about the advice.

(5)The Board may make rules governing the making to the Board of written or oral representations.

(6)Representations under this paragraph must be made within—

(a)the period of 28 days beginning with the day on which the representations and advice are published under sub-paragraph (1)(b), or

(b)such longer period as the Board may specify in a particular case.

(7)Where oral representations are made, the Board must prepare a report of those representations.

(8)Before preparing that report, the Board must—

(a)give each person who made oral representations a reasonable opportunity to comment on a draft of the report of those representations, and

(b)have regard to any comments duly made.

(9)The Board must, as soon as reasonably practicable after the end of the period within which representations under this paragraph may be made, publish any written representations duly made and the report (if any) prepared under sub-paragraph (7).

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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

I69Sch. 10 para. 25 partly in force; Sch. 10 para. 25 not in force at Royal Assent see s. 211; Sch. 10 para. 25(5) in force at 1.1.2009 by S.I. 2008/3149, art. 2(d)(ii)

I70Sch. 10 para. 25(1)-(4) (6)-(9) in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Publication of advice etcE+W

26(1)Nothing in paragraph 25 operates—E+W

(a)to prevent a person who gives advice under paragraphs 20 to 23 from publishing that advice, or

(b)to prevent a person who makes representations under paragraph 18 or 25 from publishing those representations.

(2)A person (“the publisher”) publishing any such material (whether under paragraph 25 or otherwise) must, so far as practicable, exclude any matter which relates to the private affairs of a particular individual the publication of which, in the opinion of the publisher, would or might seriously and prejudicially affect the interests of that individual.

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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

I71Sch. 10 para. 26 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Decision by the BoardE+W

27(1)After considering—E+W

(a)any advice duly given under paragraphs 20 to 23,

(b)any representations duly made under paragraph 18 or 25, and

(c)any other information which the Board considers relevant,

the Board must decide whether to make the proposed recommendation.

(2)The Board must give notice of its decision (“the decision notice”) to the licensing authority and to the Lord Chancellor.

(3)If the Board decides to make the proposed recommendation, the decision notice must—

(a)contain the recommendation, and

(b)state why the Board is satisfied of the matters mentioned in section 76(5)(a) and (b).

(4)The Board must publish the decision notice.

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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

I72Sch. 10 para. 27 in force at 2.8.2010 by S.I. 2010/1118, art. 2(b)

Section 83

SCHEDULE 11E+WLicensing rules

Part 1 E+WLicensing procedure

Applications for licencesE+W

1(1)Licensing rules must make provision about the form and manner in which applications for licences are to be made, and the fee (if any) which is to accompany an application.E+W

(2)They may make provision about—

(a)the information which applications must contain, and

(b)the documents which must accompany applications.

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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

I73Sch. 11 para. 1 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

Determination of applicationsE+W

2(1)Licensing rules must make the following provision about the determination of applications for licences.E+W

(2)Before the end of the decision period the licensing authority must—

(a)decide the application,

(b)notify the applicant of its decision, and

(c)if it decides to refuse the application, set out in the notice the reasons for the refusal.

(3)The decision period is the period of 6 months beginning with the day on which the application is made to the licensing authority in accordance with its licensing rules.

(4)The licensing authority may, on one or more occasions, give the applicant a notice (an “extension notice”) extending the decision period by a period specified in the notice.

(5)But—

(a)an extension notice may only be given before the time when the decision period would end, but for the extension notice, and

(b)the total decision period must not exceed 9 months.

(6)An extension notice must set out the reasons for the extension.

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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

I74Sch. 11 para. 2 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

Review of determinationE+W

3Licensing rules must make provision for review by the licensing authority of—E+W

(a)a decision to refuse an application for a licence;

(b)if a licence is granted, the terms of the licence.

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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

I75Sch. 11 para. 3 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

Period of licence and renewalE+W

4(1)The licensing rules may make provision—E+W

(a)limiting the period for which any licence is (subject to the provision of this Part of this Schedule and of the licensing rules) to remain in force;

(b)about the renewal of licences, including provision about the form and manner in which an application for the renewal is to be made, and the fee (if any) which is to accompany an application.

(2)The licensing rules may make provision about—

(a)the information which applications for renewal must contain, and

(b)the documents which must accompany applications.

(3)Licensing rules must provide that a licence issued to a licensed body by the licensing authority ceases to have effect if the licensed body is issued with a licence by another licensing authority.

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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

I76Sch. 11 para. 4 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

Continuity of licencesE+W

5(1)Licensing rules may make provision about the effect, on a licence issued to a partnership or other unincorporated body (“the existing body”), of any change in the membership of the existing body.E+W

(2)The provision which may be made includes provision for the existing body's licence to be transferred where the existing body ceases to exist and another body succeeds to the whole or substantially the whole of its business.

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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

I77Sch. 11 para. 5 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

Modification of licencesE+W

6(1)Licensing rules must make provision about the form and manner in which applications are to be made for modification of the terms of a licence under section 86, and the fee (if any) which is to accompany the application.E+W

(2)They may make provision as to the circumstances in which the licensing authority may modify the terms of a licence under section 86 without an application being made.

(3)They must make provision for review by the licensing authority of—

(a)a decision to refuse an application for modification of the terms of a licence;

(b)if the licensing authority makes licensing rules under sub-paragraph (2), a decision under those rules to modify the terms of a licence.

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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

I78Sch. 11 para. 6 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

Modifications under section 106 or 107E+W

7(1)Licensing rules must make provision about the form and manner in which applications are to be made under section 106 or 107, and the fee (if any) which is to accompany the application.E+W

(2)They may make provision as to the matters to which the licensing authority must have regard in determining whether to make an order under section 106, or to revoke or modify such an order.

(3)They must make provision for review by the licensing authority of—

(a)a decision to refuse an application under those sections;

(b)the terms of any order made under section 106 or any decision under section 107.

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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

I79Sch. 11 para. 7 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

8(1)Licensing rules must make the following provision in relation to licensed bodies to which section 106 applies (“special bodies”), and in relation to which an order under section 106 has been made.E+W

(2)If a special body becomes a special body of a different kind, it must notify the licensing authority of that fact before the end of the relevant period.

(3)If a special body ceases to be a special body, it must notify the licensing authority of that fact before the end of the relevant period.

(4)The relevant period is the period of 30 days (or such longer period as may be specified in licensing rules) beginning with the day on which the body first became a special body of a different kind, or ceased to be a special body.

(5)Licensing rules may make provision requiring a special body to provide the licensing authority with such information relevant to the matters mentioned in section 106(5) as may be specified in the licensing rules.

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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

I80Sch. 11 para. 8 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

Part 2 E+WStructural requirements

ManagementE+W

9(1)Licensing rules must require a licensed body to comply with the following requirement at all times.E+W

(2)At least one of the licensed body's managers must be a person (other than a licensed body) who is an authorised person in relation to a licensed activity.

(3)No manager of the licensed body may be a person who under this Part of this Act is disqualified from acting as a manager of a licensed body.

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Commencement Information

I81Sch. 11 para. 9 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

10(1)Licensing rules may make further provision as to—E+W

(a)the managers of licensed bodies, and

(b)the arrangements for the management by them of the licensed body and its activities.

(2)They must not require all the managers of a licensed body to be authorised persons in relation to a reserved legal activity.

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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

I82Sch. 11 para. 10 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

Head of Legal PracticeE+W

11(1)Licensing rules must include the following requirements.E+W

(2)A licensed body must at all times have an individual—

(a)who is designated as Head of Legal Practice, and

(b)whose designation is approved by the licensing authority.

(3)A designation of an individual as Head of Legal Practice has effect only while the individual—

(a)consents to the designation,

(b)is an authorised person in relation to one or more of the licensed activities, and

(c)is not under this Part of this Act disqualified from acting as Head of Legal Practice of a licensed body.

(4)The licensing authority may approve a person's designation only if it is satisfied that the person is a fit and proper person to carry out the duties imposed by section 91 in relation to that body.

(5)The licensing authority may approve a person's designation in the course of determining an application for a licence under section 84.

(6)If the licensing authority is satisfied that the person designated as a licensed body's Head of Legal Practice has breached a duty imposed by section 91, it may withdraw its approval of that person's designation.

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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

I83Sch. 11 para. 11 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

12(1)Licensing rules must make provision—E+W

(a)about the procedures and criteria that will be applied by the licensing authority when determining under paragraph 11(4) whether an individual is a fit and proper person;

(b)for a review by the licensing authority of a determination under that paragraph that an individual is not a fit and proper person;

(c)about the procedures and criteria that will be applied by the licensing authority in determining under paragraph 11(6) whether to withdraw its approval;

(d)for a review by the licensing authority of a determination under that paragraph to withdraw its approval;

(e)about the procedure which is to apply where a licensed body ceases to comply with the requirement imposed by virtue of paragraph 11(2).

(2)Rules made in accordance with sub-paragraph (1)(e) may in particular provide that the requirement imposed by virtue of paragraph 11(2) is suspended until such time as may be specified by the licensing authority if the licensed body complies with such other requirements as may be specified in the rules.

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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

I84Sch. 11 para. 12 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

Head of Finance and AdministrationE+W

13(1)Licensing rules must include the following requirements.E+W

(2)A licensed body must at all times have an individual—

(a)who is designated as Head of Finance and Administration, and

(b)whose designation is approved by the licensing authority.

(3)A designation of an individual as Head of Finance and Administration has effect only while the individual—

(a)consents to the designation, and

(b)is not under this Part of this Act disqualified from acting as Head of Finance and Administration of a licensed body.

(4)The licensing authority may approve a person's designation only if it is satisfied that the person is a fit and proper person to carry out the duties imposed by section 92 in relation to that body.

(5)The licensing authority may approve a person's designation in the course of determining an application for a licence under section 84.

(6)If the licensing authority is satisfied that the person designated as a licensed body's Head of Finance and Administration has breached a duty imposed by section 92, it may withdraw its approval of that person's designation.

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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

I85Sch. 11 para. 13 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

14(1)Licensing rules must make provision—E+W

(a)about the procedures and criteria that will be applied by the licensing authority when determining under paragraph 13(4) whether an individual is a fit and proper person;

(b)for a review by the licensing authority of a determination under that paragraph that an individual is not a fit and proper person;

(c)about the procedures and criteria that will be applied by the licensing authority in determining under paragraph 13(6) whether to withdraw its approval;

(d)for a review by the licensing authority of a determination under that paragraph to withdraw its approval;

(e)about the procedure which is to apply where a licensed body ceases to comply with the requirement imposed by virtue of paragraph 13(2).

(2)The rules made in accordance with sub-paragraph (1)(e) may in particular provide that the requirement imposed by virtue of sub-paragraph 13(2) is suspended until such time as may be specified by the licensing authority if the licensed body complies with such other requirements as may be specified in the rules.

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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

I86Sch. 11 para. 14 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

Part 3 E+WPractice requirements

Practising addressE+W

15(1)Licensing rules must require a licensed body, other than one to which sub-paragraph (3) applies, at all times to have a practising address in England and Wales.E+W

(2)For this purpose “practising address”, in relation to a licensed body, means an address from which the body provides services which consist of or include the carrying on of reserved legal activities.

(3)This sub-paragraph applies to a licensed body—

(a)which is a company or limited liability partnership, and

(b)the registered office of which is situated in England and Wales (or in Wales).

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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

I87Sch. 11 para. 15 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

Licensed activitiesE+W

16Licensing rules must provide that a licensed body may carry on a licensed activity only through a person who is entitled to carry on the activity.E+W

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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

I88Sch. 11 para. 16 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

Compliance with regulatory arrangements etcE+W

17(1)Licensing rules must include the following provision.E+W

(2)A licensed body must at all times have suitable arrangements in place to ensure that—

(a)it, and its managers and employees, comply with the duties imposed by section 176, and

(b)it, and any person to whom sub-paragraph (3) applies, maintain the professional principles set out in section 1(3).

(3)This sub-paragraph applies to any manager or employee of the licensed body who is an authorised person in relation to an activity which is a reserved legal activity.

(4)A licensed body must at all times have suitable arrangements in place to ensure that non-authorised persons subject to the duty imposed by section 90 in relation to the licensed body comply with that duty.

(5)Licensing rules may make provision as to the arrangements which are suitable for the purposes of rules made under sub-paragraphs (2) and (4).

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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

I89Sch. 11 para. 17 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

Disqualified employeesE+W

18(1)Licensing rules must include the following requirement.E+W

(2)A licensed body may not employ a person who under this Part of this Act is disqualified from being an employee of a licensed body.

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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

I90Sch. 11 para. 18 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

Indemnification arrangements and compensation arrangementsE+W

19(1)For the purpose of giving effect to indemnification arrangements and compensation arrangements, licensing rules may—E+W

(a)authorise or require the licensing authority to establish and maintain a fund or funds;

(b)authorise or require the licensing authority to take out and maintain insurance with authorised insurers;

(c)require licensed bodies or licensed bodies of any specific description to take out and maintain insurance with authorised insurers.

(2)In this paragraph “authorised insurer” has the same meaning as in section 64.

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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

I91Sch. 11 para. 19 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

AccountsE+W

20(1)The licensing rules must make provision as to the treatment of money within sub-paragraph (2), and the keeping of accounts in respect of such money.E+W

(2)The money referred to in sub-paragraph (1) is money (including money held on trust) which is received, held or dealt with by the licensed body, its managers and employees for clients or other persons.

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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

I92Sch. 11 para. 20 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

Part 4 E+WRegulation

FeesE+W

21(1)The licensing rules must require licensed bodies to pay periodical fees to the licensing authority.E+W

(2)The rules may provide for the payment of different fees by different descriptions of licensed body.

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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

I93Sch. 11 para. 21 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

Financial penaltiesE+W

22The licensing rules must make provision as to—E+W

(a)the acts and omissions in respect of which the licensing authority may impose a penalty under section 95, and

(b)the criteria and procedure to be applied by the licensing authority in determining whether to impose a penalty under that section, and the amount of any penalty.

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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

I94Sch. 11 para. 22 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

DisqualificationsE+W

23(1)Licensing rules must make provision as to the criteria and procedure to be applied by the licensing authority in determining whether a person should be disqualified under section 99.E+W

(2)Licensing rules must make provision—

(a)for a review by the licensing authority of a determination by the licensing authority that a person should be disqualified;

(b)as to the criteria and procedure to be applied by the licensing authority in determining whether a person's disqualification should cease to be in force;

(c)requiring the licensing authority to notify the Board of any determination by the licensing authority that a person should be disqualified, of the results of any review of that determination, and of any decision by the licensing authority that a person's disqualification should cease to be in force.

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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

I95Sch. 11 para. 23 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

Suspension or revocation of licence under section 101E+W

24(1)Licensing rules must make the following provision.E+W

(2)The licensing authority may suspend or revoke a licensed body's licence under section 101 in the following cases.

(3)The first case is that the licensed body becomes a body which is not a licensable body.

(4)The second case is that the licensed body fails to comply with licensing rules made under paragraph 16 (carrying on of licensed activities).

(5)The third case is that—

(a)a non-authorised person holds a restricted interest in the licensed body—

(i)as a result of the person taking a step in circumstances where that constitutes an offence under paragraph 24(1) of Schedule 13 (whether or not the person is charged with or convicted of an offence under that paragraph),

(ii)in breach of conditions imposed under paragraph 17, 28, or 33 of that Schedule, or

(iii)the person's holding of which is subject to an objection by the licensing authority under paragraph 31 or 36 of that Schedule,

(b)if the relevant licensing rules make the provision mentioned in paragraph 38(1)(a) of that Schedule, a non-authorised person has under those rules a shareholding in the licensed body, or a parent undertaking of the licensed body, which exceeds the share limit,

(c)if the relevant licensing rules make the provision mentioned in paragraph 38(1)(b) of that Schedule, a non-authorised person has under those rules an entitlement to exercise, or control the exercise of, voting rights in the licensed body or a parent undertaking of the licensed body which exceeds the voting limit,

(d)if the relevant licensing rules make the provision mentioned in paragraph 38(1)(c) of that Schedule, the total proportion of shares in the licensed body or a parent undertaking of the licensed body held by non-authorised persons exceeds the limit specified in the rules, or

(e)if the relevant licensing rules make the provision mentioned in paragraph 38(1)(d) of that Schedule, the total proportion of voting rights in the licensed body or a parent undertaking of the licensed body which non-authorised persons are entitled to exercise, or control the exercise of, exceeds the limit specified in the rules.

(6)The fourth case is that a non-authorised person subject to the duty in section 90 in relation to the licensed body fails to comply with that duty.

(7)The fifth case is that the licensed body, or a manager or employee of the licensed body, fails to comply with the duties imposed by section 176.

(8)The sixth case is that—

(a)the licensed body fails to comply with licensing rules made under paragraph 9(3) or 18 (prohibition on disqualified managers and employees), and

(b)the manager or employee concerned was disqualified as a result of breach of a duty within section 99(4)(c) or (d).

(9)The seventh case is that the licensed body is unable to comply with licensing rules made under—

(a)paragraph 11 (requirement for Head of Legal Practice), or

(b)paragraph 13 (requirement for Head of Finance and Administration).

(10)Before suspending or revoking a licence in accordance with sub-paragraph (2), the licensing authority must give the licensed body notice of its intention.

(11)The licensing authority may not suspend or revoke the licence before the end of the period of 28 days beginning with the day on which the notice is given to the licensed body (or any longer period specified in the notice).

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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

I96Sch. 11 para. 24 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

25Licensing rules may make provision about other circumstances in which the licensing authority may exercise its power under section 101 to suspend or revoke a licence.E+W

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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

I97Sch. 11 para. 25 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

26(1)Licensing rules must make provision about the criteria and procedure the licensing authority will apply in deciding whether to suspend or revoke a licence, or to end the suspension of a licence, under section 101.E+W

(2)They must make provision for a review by the licensing authority of a decision by the licensing authority to suspend or revoke a licence.

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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

I98Sch. 11 para. 26 in force at 2.8.2010 by S.I. 2010/1118, art. 2(c)

Section 84

SCHEDULE 12E+WEntitlement to make an application for a licence to the Board

Prospective

Application to BoardE+W

1(1)A licensable body may apply to the Board for a decision that the body is entitled to make an application for a licence to the Board acting in its capacity as a licensing authority.E+W

(2)An application under sub-paragraph (1) may be made only on one of the grounds specified in this paragraph.

(3)The first ground is that—

(a)there is no competent licensing authority, and

(b)there is no potentially competent licensing authority.

(4)The second ground is that—

(a)each competent licensing authority has determined that it does not have suitable regulatory arrangements,

(b)if one or more competent licensing authorities have made an application to the Board under Part 3 of Schedule 4 for the approval of alterations of their regulatory arrangements, each of those authorities has determined that it will not have suitable regulatory arrangements if the application is granted, and

(c)each potentially competent licensing authority has determined that it will not have suitable regulatory arrangements if it becomes a competent licensing authority.

(5)The third ground applies only in relation to a licensable body within sub-paragraph (6), and is that—

(a)the body has made an application for a licence to each competent licensing authority which has suitable regulatory arrangements, and

(b)no such licensing authority is prepared to grant the body a licence on terms which are appropriate to that body, having regard to the matters in section 106(5)(a) to (c) and any other matter specified in rules made by the Board for the purposes of this sub-paragraph.

(6)The licensable bodies within this sub-paragraph are—

(a)a not for profit body;

(b)a community interest company;

(c)an independent trade union;

(d)if an order under section 106(1)(e) so provides in relation to a description of body prescribed under that section, a body of that description.

Board's decision on an application under paragraph 1E+W

2(1)On an application under paragraph 1 the Board must, before the end of the decision period, decide whether the licensable body is entitled to make an application for a licence to the Board acting in its capacity as a licensing authority.E+W

(2)The decision period is—

(a)in relation to an application on the first ground, the period of 14 days beginning with the day on which the application is made,

(b)in relation to an application on the second ground, the period of 28 days beginning with the day on which the application is made, and

(c)in relation to an application on the third ground, the period of 60 days beginning with the day on which the application is made.

(3)The Board must give a notice to the licensable body—

(a)stating its decision, and

(b)giving reasons for its decision.

(4)The Board must make rules providing for a review of any decision made by it under this paragraph.

(5)The rules may in particular provide that if the Board decides to grant the application, the Board may review that decision if the ground on which the application was granted ceases to be made out before the Board (in its capacity as a licensing authority) determines any application for a licence made by the licensable body.

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Commencement Information

I99Sch. 12 para. 2 partly in force; Sch. 12 para. 2 not in force at Royal Assent see s. 211; Sch. 12 para. 2(4)(5) in force at 1.1.2009 by S.I. 2008/3149, art. 2(d)(iii)

Prospective

Licensing authority's duty to make relevant determinationsE+W

3(1)A licensable body may apply to each competent licensing authority for—E+W

(a)a determination as to whether the authority has suitable regulatory arrangements;

(b)a statement as to whether the authority has made an application as mentioned in paragraph 1(4)(b) and if it has, a determination as to whether, if the application is granted, the authority will have suitable regulatory arrangements.

(2)A licensable body may apply to each potentially competent licensing authority for a determination as to whether it will have suitable regulatory arrangements in place if it becomes a competent licensing authority.

(3)A competent (or potentially competent) licensing authority to which a licensable body makes an application under sub-paragraph (1) or (2) may require the licensable body to provide it with such information in relation to the licensable body as it may specify.

(4)The authority may specify only information which it reasonably requires for the purpose of making the determination applied for.

(5)A competent (or potentially competent) licensing authority to which an application is made under sub-paragraph (1) or (2) must make the determination before the end of—

(a)the decision period, or

(b)if it requires the licensable body to provide it with information under sub-paragraph (3), the period of 28 days beginning with the day on which the information is provided.

(6)The decision period, in relation to an application under sub-paragraph (1) or (2), is the period of 28 days beginning with the day on which the application is made.

The BoardE+W

4In this Schedule references to the Board, unless otherwise stated, are to the Board acting otherwise than in its capacity as a licensing authority or an approved regulator.E+W

Prospective

“Competent licensing authority” E+W

5Competent licensing authority”, in relation to a licensable body, means an approved regulator designated as a licensing authority in relation to each reserved legal activity which the licensable body proposes to carry on.E+W

Prospective

“Potentially competent licensing authority” E+W

6(1)Potentially competent licensing authority”, in relation to a licensable body, means an approved regulator—E+W

(a)which has made an application to the Board under Part 1 of Schedule 10 for a recommendation that the Lord Chancellor make a relevant designation order, and whose application has not been determined, or

(b)in respect of which the Board has made such a recommendation, but in respect of which no relevant designation order (or decision not to make such an order) has been made by the Lord Chancellor.

(2)A relevant designation order is an order—

(a)designating the approved regulator as a licensing authority in respect of one or more reserved legal activities, and

(b)the effect of which will be that the approved regulator becomes a competent licensing authority in relation to the licensable body.

Prospective

“Suitable regulatory arrangements” E+W

7(1)Suitable regulatory arrangements”, in relation to a licensable body and a competent licensing authority, means regulatory arrangements which are suitable in relation to the licensable body, having regard to—E+W

(a)the composition of the licensable body, including in particular the matters in sub-paragraph (2);

(b)the services the licensable body proposes to provide;

(c)if the licensable body proposes to carry on non-reserved activities, any regulation to which the carrying on of such activities is subject;

(d)the persons to whom the licensable body proposes to provide services.

(2)The matters are—

(a)the kinds of authorised persons who are managers of, or have an interest in, the licensable body,

(b)the proportion of persons who are managers of, or have an interest in, the licensable body who are authorised persons or authorised persons of a particular kind,

(c)the kinds of non-authorised persons who are managers of, or have an interest in, the licensable body,

(d)the proportion of persons who are managers of, or have an interest in, the licensable body who are non-authorised persons or non-authorised persons of a particular kind, and

(e)the kinds of non-authorised persons who have an indirect interest in the licensable body.

(3)In sub-paragraph (2)—

(a)authorised person” means a person who is an authorised person in relation to any activity which is a reserved legal activity, and

(b)authorised persons are of different kinds if they are authorised to carry on such activities by different approved regulators.

Section 89

SCHEDULE 13E+WOwnership of licensed bodies

Part 1 E+WIntroductory

Restricted interests subject to approvalE+W

1(1)The holding by a non-authorised person of a restricted interest in a licensed body is subject to the approval of the relevant licensing authority in accordance with the provisions of this Schedule.E+W

(2)In relation to a licensed body which is a partnership, for the purposes of section 34 of the Partnership Act 1890 (c. 39) (dissolution by illegality) the holding by a non-authorised person of a restricted interest in the body without the approval of the relevant licensing authority does not make it unlawful for the business of the partnership to be carried on, or for the partners to carry it on in partnership.

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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

I100Sch. 13 para. 1 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

Restricted interestE+W

2(1)Restricted interest” means each of the following—E+W

(a)a material interest;

(b)if licensing rules are made by the relevant licensing authority under sub-paragraph (2), a controlled interest.

(2)Licensing rules may specify that a controlled interest is a restricted interest for the purposes of this Schedule.

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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

I101Sch. 13 para. 2 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

Material interestE+W

3(1)For the purposes of this Part of this Act, a person holds a material interest in a body (“B”) if the person—E+W

(a)holds at least 10% of the shares in B,

(b)is able to exercise significant influence over the management of B by virtue of the person's shareholding in B,

(c)holds at least 10% of the shares in a parent undertaking (“P”) of B,

(d)is able to exercise significant influence over the management of P by virtue of the person's shareholding in P,

(e)is entitled to exercise, or control the exercise of, voting power in B which, if it consists of voting rights, constitutes at least 10% of the voting rights in B,

(f)is able to exercise significant influence over the management of B by virtue of the person's entitlement to exercise, or control the exercise of, voting rights in B,

(g)is entitled to exercise, or control the exercise of, voting power in P which, if it consists of voting rights, constitutes at least 10% of the voting rights in P,

(h)is able to exercise significant influence over the management of P by virtue of the person's entitlement to exercise, or control the exercise of, voting rights in P.

(2)Licensing rules made by the relevant licensing authority may provide—

(a)that the references in sub-paragraph (1) to 10% are to have effect as references to such lesser percentage as may be specified in the rules;

(b)that in relation to a partnership, for the purposes of this Part a person has a material interest in the partnership if he is a partner (whether or not the person has a material interest by virtue of sub-paragraph (1)).

(3)For the purposes of sub-paragraph (1) “the person” means—

(a)the person,

(b)any of the person's associates, or

(c)the person and any of the person's associates taken together.

(4)For the purposes of this Schedule, material interests held by virtue of different paragraphs of sub-paragraph (1) are restricted interests of different kinds.

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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

I102Sch. 13 para. 3 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

Controlled interestE+W

4(1)For the purposes of this Schedule, a person holds a controlled interest in a body (“B”) if the person—E+W

(a)holds at least x% of the shares in B,

(b)holds at least x% of the shares in a parent undertaking (“P”) of B,

(c)is entitled to exercise, or control the exercise of, at least x% of the voting rights in B, or

(d)is entitled to exercise, or control the exercise of, at least x% of the voting rights in P.

(2)For the purposes of sub-paragraph (1) “the person” means—

(a)the person,

(b)any of the person's associates, or

(c)the person and any of the person's associates taken together.

(3)In sub-paragraph (1), “x” means such percentage as may be specified in licensing rules made by the relevant licensing authority under paragraph 2(2).

(4)Licensing rules made under paragraph 2(2) may specify more than one percentage.

(5)Any percentage specified by licensing rules made under paragraph 2(2) must be greater than—

(a)10%, or

(b)if the relevant licensing authority makes licensing rules under paragraph 3(2)(a), the percentage specified in those rules.

(6)For the purposes of this Schedule—

(a)controlled interests held by virtue of different paragraphs of sub-paragraph (1) are restricted interests of different kinds;

(b)if licensing rules made under paragraph 2(2) specify more than one percentage, controlled interests held by virtue of each of those percentages are restricted interests of different kinds.

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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

I103Sch. 13 para. 4 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

Associates, parent undertakings and voting powerE+W

5(1)For the purposes of this Schedule “associate”, in relation to a person (“A”) and—E+W

(a)a shareholding in a body (“S”), or

(b)an entitlement to exercise or control the exercise of voting power in a body (“V”),

means a person listed in sub-paragraph (2).

(2)The persons are—

(a)the spouse or civil partner of A,

(b)a child or stepchild of A (if under 18),

(c)the trustee of any settlement under which A has a life interest in possession (in Scotland a life interest),

(d)an undertaking of which A is a director,

(e)an employee of A,

(f)a partner of A (except, where S or V is a partnership in which A is a partner, another partner in S or V),

(g)if A is an undertaking—

(i)a director of A,

(ii)a subsidiary undertaking of A, or

(iii)a director or employee of such a subsidiary undertaking,

(h)if A has with any other person an agreement or arrangement with respect to the acquisition, holding or disposal of shares or other interests in S or V (whether or not they are interests within the meaning of section 72(3)), that other person, or

(i)if A has with any other person an agreement or arrangement under which they undertake to act together in exercising their voting power in relation to S or V, that person.

(3)In sub-paragraph (2)(c), “settlement” means any disposition or arrangement under which property is held on trust (or subject to a comparable obligation).

(4)For the purposes of this Schedule—

  • parent undertaking” and “subsidiary undertaking” have the same meaning as in the Financial Services and Markets Act 2000 (c. 8) (see section 420 of that Act);

  • voting power”, in relation to a body which does not have general meetings at which matters are decided by the exercise of voting rights, means the right under the constitution of the body to direct the overall policy of the body or alter the terms of its constitution.

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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

I104Sch. 13 para. 5 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

The approval requirementsE+W

6(1)For the purposes of this Schedule, the approval requirements are met in relation to a person's holding of a restricted interest if—E+W

(a)the person's holding of that interest does not compromise the regulatory objectives,

(b)the person's holding of that interest does not compromise compliance with the duties imposed by section 176 by the licensed body or persons to whom sub-paragraph (2) applies, and

(c)the person is otherwise a fit and proper person to hold that interest.

(2)This sub-paragraph applies to any employee or manager of the licensed body who is an authorised person in relation to an activity which is a reserved legal activity.

(3)In determining whether it is satisfied of the matters mentioned in sub-paragraph (1)(a) to (c), the licensing authority must in particular have regard to—

(a)the person's probity and financial position,

(b)whether the person is disqualified as mentioned in section 100(1), or included in the list kept by the Board under paragraph 51,

(c)the person's associates, and

(d)any other matter which may be specified in licensing rules.

(4)Licensing rules must make provision about the procedures that will be applied by the licensing authority when determining whether it is satisfied of the matters mentioned in sub-paragraph (1)(a) to (c).

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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

I105Sch. 13 para. 6 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

Approval of multiple restricted interestsE+W

7(1)This paragraph applies if a person (“P”) holds a kind of restricted interest in a body (“B”) by virtue of—E+W

(a)holding a particular percentage of the shares in B or a parent undertaking of B, or

(b)an entitlement to exercise, or control the exercise of, a particular percentage of the voting rights in B or a parent undertaking of B.

(2)If the relevant licensing authority approves P's holding of that interest, it is to be treated as also approving P's holding of any lesser restricted interest in B held by P.

(3)A lesser restricted interest is a kind of restricted interest held by P by virtue of—

(a)holding a smaller percentage of the shares mentioned in sub-paragraph (1)(a), or

(b)an entitlement to exercise, or control the exercise of, a smaller percentage of the voting rights mentioned in sub-paragraph (1)(b).

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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

I106Sch. 13 para. 7 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

Board's power to prescribe rulesE+W

8In this Schedule “prescribed” means prescribed by rules made by the Board for the purposes of this Schedule.E+W

Lord Chancellor's power to modifyE+W

9The Lord Chancellor may, on the recommendation of the Board, by order modify—E+W

(a)paragraph 3 (material interest);

(b)paragraphs 4(2), 5, 6(3)(c), 38(3), 41(3) and 42(3) (associates).

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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

I107Sch. 13 para. 9 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

Part 2 E+WApproval of restricted interests on application for licence

Requirement to identify non-authorised personsE+W

10(1)Where a body applies to a licensing authority for a licence, it must identify in its application—E+W

(a)any non-authorised person who holds a restricted interest in the body, or whom the body expects to hold such an interest when the licence is issued, and

(b)the kind of restricted interest held, or expected to be held, by that person.

(2)If, before the licence is issued, there is any change in—

(a)the identity of the non-authorised persons within sub-paragraph (1)(a), or

(b)the kind of restricted interest held, or expected to be held, by a person identified to the licensing authority under that sub-paragraph,

the applicant must inform the relevant licensing authority within such period as may be specified by order made by the Lord Chancellor on the recommendation of the Board.

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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

I108Sch. 13 para. 10 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

11(1)It is an offence for a person to fail to comply with a requirement imposed on the person by paragraph 10.E+W

(2)A person who is guilty of an offence under sub-paragraph (1) is liable on summary conviction to a fine not exceeding level 5 on the standard scale.

(3)It is a defence for a person charged with an offence under sub-paragraph (1) to show that at the time of the alleged offence the person had no knowledge of the facts by virtue of which the duty to notify arose.

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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

I109Sch. 13 para. 11 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

12(1)This paragraph applies if a person under a duty to notify imposed by paragraph 10—E+W

(a)had no knowledge of the facts by virtue of which that duty arose, but

(b)subsequently becomes aware of those facts.

(2)The person must give the licensing authority the required notification within such period, after the person becomes so aware, as may be specified by order made by the Lord Chancellor on the recommendation of the Board.

(3)A person who fails to comply with the duty to notify imposed by sub-paragraph (2) is guilty of an offence.

(4)A person who is guilty of an offence under sub-paragraph (3) is liable on summary conviction to a fine not exceeding level 5 on the standard scale.

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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

I110Sch. 13 para. 12 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

Requirement to notify non-authorised personsE+W

13(1)Where an applicant for a licence identifies a non-authorised person to a licensing authority in accordance with paragraph 10 or 12, it must give that person a notice—E+W

(a)stating that it has applied for a licence and identified the person to the licensing authority in accordance with paragraph 10 or 12, and

(b)explaining the effect of paragraph 14.

(2)It is an offence for a person to fail to comply with a requirement imposed on it by sub-paragraph (1).

(3)A person who is guilty of an offence under sub-paragraph (2) is liable on summary conviction to a fine not exceeding level 5 on the standard scale.

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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

I111Sch. 13 para. 13 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

Licensing authority's power to require informationE+W

14(1)A licensing authority may require a non-authorised person identified to it in accordance with paragraph 10 or 12 to provide it with such documents and information as it may require.E+W

(2)It is an offence for a person who is required to provide information or documents under sub-paragraph (1) knowingly to provide false or misleading information or documents.

(3)A person who is guilty of an offence under sub-paragraph (2) is liable—

(a)on summary conviction, to a fine not exceeding the statutory maximum, and

(b)on conviction on indictment, to a term of imprisonment not exceeding 2 years or a fine (or both).

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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

I112Sch. 13 para. 14 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

Licence may not be granted unless non-authorised persons approvedE+W

15(1)This paragraph applies where an applicant for a licence (“the applicant”) gives the licensing authority notification under paragraph 10 or 12 in relation to one or more non-authorised persons.E+W

(2)The licensing authority may not grant the application for a licence unless, in relation to each non-authorised person in respect of which notification is given (“the investor”), it approves the investor's holding of the restricted interest to which the notification relates (“the notified interest”).

(3)Sub-paragraph (2) does not apply in relation to a non-authorised person who does not hold the notified interest when the licence is issued.

(4)In this Part of this Schedule, “the applicant”, “the investor” and “the notified interest” are to be construed in accordance with this paragraph.

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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

I113Sch. 13 para. 15 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

Unconditional approval of notified interestE+W

16(1)If the licensing authority is satisfied that the approval requirements are met in relation to the investor's holding of the notified interest, it must approve the investor's holding of that interest without conditions.E+W

(2)If the licensing authority approves the investor's holding of the notified interest without conditions, it must notify the investor and the applicant of its approval as soon as reasonably practicable.

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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

I114Sch. 13 para. 16 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

Conditional approval of notified interestE+W

17(1)If the licensing authority is not satisfied that the approval requirements are met in relation to the investor's holding of the notified interest, it may approve the investor's holding of the notified interest subject to conditions.E+W

(2)It may do so only if it considers that, if the conditions are complied with, it will be appropriate for the investor to hold the notified interest without the approval requirements being met.

(3)If the licensing authority proposes to approve the investor's holding of the notified interest subject to conditions it must give the investor and the applicant a warning notice.

(4)The warning notice must—

(a)specify the nature of the conditions proposed and the reasons for their imposition, and

(b)state that representations may be made to the licensing authority within the prescribed period.

(5)The licensing authority must consider any representations made within the prescribed period.

(6)If the licensing authority approves the investor's holding of the notified interest subject to conditions, it must notify the investor and the applicant of its approval as soon as reasonably practicable.

(7)The notice must—

(a)specify the reasons for the imposition of the conditions, and

(b)explain the effect of Part 5 of this Schedule.

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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

I115Sch. 13 para. 17 partly in force; Sch. 13 para. 17 not in force at Royal Assent see s. 211; Sch. 13 para. 17(4)(b)(5) in force for certain purposes at 1.1.2009 by S.I. 2008/3149, art. 2(d)(iv)

I116Sch. 13 para. 17(1)-(3)(4)(a)(6)(7) in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

I117Sch. 13 para. 17(4)(b)(5) in force at 1.10.2011 in so far as not already in force by S.I. 2011/2196, art. 2(1)(d)

18(1)The investor and the applicant may before the end of the prescribed period appeal to the relevant appellate body against the imposition of any or all of the conditions.E+W

(2)The relevant appellate body may dismiss the appeal, or allow the appeal and—

(a)order the licensing authority to approve the investor's holding of the notified interest without conditions, or subject to such conditions as may be specified in the order, or

(b)remit the matter to the licensing authority.

(3)A party to the appeal may before the end of the prescribed period appeal to the High Court on a point of law arising from the decision of the relevant appellant body, but only with the permission of the High Court.

(4)The High Court may make such order as it thinks fit.

(5)If the investor's holding of the notified interest is subject to conditions as a result of an order made on an appeal under this paragraph, for the purposes of this Schedule the conditions are to be treated as having been imposed under paragraph 17.

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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.

Modifications etc. (not altering text)

C2Sch. 13 para. 18 modified (with effect in accordance with art. 2 of the amending S.I.) by Legal Services Act 2007 (Appeals from Licensing Authority Decisions) Order 2011 (S.I. 2011/1712), arts. 2(1), 5, Sch. para. 2(2)

Commencement Information

I118Sch. 13 para. 18 partly in force; Sch. 13 para. 18 not in force at Royal Assent see s. 211; Sch. 13 para. 18(1)(3) in force for certain purposes at 1.1.2009 by S.I. 2008/3149, art. 2(d)(iv)

I119Sch. 13 para. 18(1)(3) in force at 1.10.2011 in so far as not already in force by S.I. 2011/2196, art. 2(1)(d)

I120Sch. 13 para. 18(2)(4)(5) in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

Objection to notified interestE+W

19(1)If the licensing authority is not satisfied that the approval requirements are met in relation to the investor's holding of the notified interest, it may object to the investor's holding of that interest.E+W

(2)If the licensing authority proposes to object to the investor's holding of the notified interest, it must give the investor and the applicant a warning notice.

(3)The warning notice must—

(a)specify the reasons for the proposed objection, and

(b)state that representations may be made to the licensing authority within the prescribed period.

(4)The licensing authority must consider any representations made within the prescribed period.

(5)If the licensing authority objects to the investor's holding of the notified interest, it must notify the investor and the applicant of its objection as soon as reasonably practicable.

(6)The notice must—

(a)specify the reasons for the objection, and

(b)explain the effect of Part 5 of this Schedule.

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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

I121Sch. 13 para. 19 partly in force; Sch. 13 para. 19 not in force at Royal Assent see s. 211; Sch. 13 para. 19(3)(b)(4) in force for certain purposes at 1.1.2009 by S.I. 2008/3149, art. 2(d)(iv)

I122Sch. 13 para. 19(1)(2)(3)(a)(5)(6) in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

I123Sch. 13 para. 19(3)(b)(4) in force at 1.10.2011 in so far as not already in force by S.I. 2011/2196, art. 2(1)(d)

20(1)The investor and the applicant may before the end of the prescribed period appeal to the relevant appellate body against the objection.E+W

(2)The relevant appellate body may dismiss the appeal, or allow the appeal and—

(a)order the licensing authority to approve the investor's holding of the notified interest without conditions, or subject to such conditions as may be specified in the order, or

(b)remit the matter to the licensing authority.

(3)A party to the appeal may before the end of the prescribed period appeal to the High Court on a point of law arising from the decision of the relevant appellate body, but only with the permission of the High Court.

(4)The High Court may make such order as it thinks fit.

(5)If the investor's holding of the notified interest is subject to conditions as a result of an order made on an appeal under this paragraph, for the purposes of this Schedule the conditions are to be treated as having been imposed under paragraph 17.

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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.

Modifications etc. (not altering text)

C5Sch. 13 para. 20 modified (with effect in accordance with art. 2 of the amending S.I.) by Legal Services Act 2007 (Appeals from Licensing Authority Decisions) Order 2011 (S.I. 2011/1712), arts. 2(1), 5, Sch. para. 2(3)

Commencement Information

I124Sch. 13 para. 20 partly in force; Sch. 13 para. 20 not in force at Royal Assent see s. 211; Sch. 13 para. 20(1)(3) in force at 1.1.2009 by S.I. 2008/3149, art. 2(d)(iv)

I125Sch. 13 para. 20(1)(3) in force at 1.10.2011 in so far as not already in force by S.I. 2011/2196, art. 2(1)(d)

I126Sch. 13 para. 20(2)(4)(5) in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

Part 3 E+WApproval of restricted interests after licence is issued

Powers of licensing authority in relation to change of interests E+W

Continuing notification requirementsE+W

21(1)This paragraph applies where a non-authorised person (“the investor”)—E+W

(a)proposes to take a step which would result in the investor acquiring a restricted interest in a licensed body (or, if the investor already has one or more kinds of restricted interest, acquiring an additional kind of restricted interest), or

(b)acquires such an interest in a licensed body without taking such a step.

(2)In a case within sub-paragraph (1)(a) the investor must notify the licensed body and the relevant licensing authority of the proposal.

(3)In a case within sub-paragraph (1)(b) the investor must notify the licensed body and the relevant licensing authority of the acquisition within such period, after the investor becomes aware of it, as may be specified by order made by the Lord Chancellor on the recommendation of the Board.

(4)In this Part of this Schedule—

(a)references to “the investor” are to be construed in accordance with this paragraph, and

(b)references to a notifiable interest are to the restricted interest which the investor will have as a result of the step the investor proposes to take (or has as a result of the acquisition which has taken place).

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Commencement Information

I127Sch. 13 para. 21 in force at 1.10.2011 by S.I. 2011/2196, art. 2(1)(d)

Offences in connection with paragraph 21E+W

22(1)It is an offence for a person to fail to comply with a requirement imposed by—E+W

(a)paragraph 21(2), or

(b)paragraph 21(3).

(2)A person who is guilty of an offence under sub-paragraph (1) is liable on summary conviction to a fine not exceeding level 5 on the standard scale.

(3)It is a defence for a person charged with an offence under sub-paragraph (1)(a) to show that at the time of the alleged offence the person had no knowledge of the facts by virtue of which the duty to notify arose.

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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,