Regulation of Legal Services (Scotland) Act 2025

Requirements of both category 1 and category 2 regulators

16 Register of regulated legal services providers

(1) Each category 1 and category 2 regulator must establish and maintain a register of the legal services providers that it regulates which are authorised to provide legal services.

(2) The register must contain—

(a) in relation to each legal services provider that is an individual—

(i) the name of the individual,

(ii) the address of the place of business (or primary place of business) of the individual as most recently notified to the regulator by or on behalf of the legal services provider,

(iii) the length of time that the individual has been regulated by the regulator in connection with providing legal services,

(iv) details of any sanction resulting from disciplinary action taken against the individual, for the period of 3 years beginning with the date of its imposition,

(b) in relation to each legal services provider that is not an individual—

(i) the name of the body and what type of body it is (for example, a partnership),

(ii) the address of its principal place of business as most recently notified to the regulator by or on behalf of the legal services provider,

(iii) the length of time that the body has been regulated by the regulator in connection with providing legal services,

(iv) details of any sanction resulting from disciplinary action taken against the body, for the period of 3 years beginning with the date of its imposition.

(3) The register must also contain the details of any person or body that it regulates who or which—

(a) is not authorised to provide legal services but is entitled to be so authorised, and

(b) wishes to continue to appear in the register.

(4) An entry for a legal services provider that appears in the register by virtue of subsection (3) must state that the provider is not providing legal services at that time.

(5) The register may contain such other information relating to any person or body it regulates as the regulator considers appropriate.

(6) During any period where a legal services provider’s authorisation to provide legal services is suspended, the entry for that provider must be removed from the register (and, if such suspension is removed, the entry must be restored).

(7) The register must be accessible to, and searchable by, the public, free of charge, by such electronic means as the regulator considers appropriate.

(8) In this section, a reference to a legal services provider being authorised includes a reference to—

(a) a solicitor who has in force a practising certificate (within the meaning of section 4 of the 1980 Act),

(b) a practising advocate (who is not suspended),

(c) a legal business that is authorised to provide legal services by a category 1 regulator.

17 Professional indemnity insurance

(1) Each category 1 and category 2 regulator must have rules concerning indemnity for the legal services providers it regulates against any kind of professional liability.

(2) In particular, the rules may—

(a) require the regulator to establish and maintain a fund or funds for the purpose of such indemnity,

(b) require the regulator to take out and maintain insurance with an authorised insurer,

(c) require legal services providers or any specified type or description of such providers to take out and maintain insurance with an authorised insurer.

(3) Failure to comply with rules made under this section may be treated as professional misconduct or unsatisfactory professional conduct.

(4) Before making or amending rules in pursuance of subsection (1), the regulator (or, where section 8(2) applies, its regulatory committee) must—

(a) consult—

(i) in the case where the rules are being made or amended by a regulatory committee, the governing body of the regulator, and

(ii) the independent advisory panel of the Commission, and

(b) obtain the agreement of the Lord President to the making of the rules or, as the case may be, the amendments.

(5) In this section, an “authorised insurer” is—

(a) a person who has permission under Part 4A of the Financial Services and Markets Act 2000 to effect or carry out contracts of general liability insurance,

(b) a person who has permission under Part 4A of that Act to effect or carry out contracts of insurance relating to accident, sickness, credit, suretyship, miscellaneous financial loss and legal expenses.

(6) The definition of “authorised insurer” must be read with—

(a) section 22 of the Financial Services and Markets Act 2000,

(b) any relevant order under that section, and

(c) schedule 2 of that Act.

(7) In this section, “professional liability” means any civil liability incurred by a legal services provider (or former legal services provider) in connection with the provision of legal services or other services (in addition to legal services) that form part of the professional practice of the solicitors or qualifying individuals within the legal business (within the meaning of section 39(2)) that provides the legal services.