Regulation of Legal Services (Scotland) Act 2025

24 Regulatory scheme

(1) The draft regulatory scheme to accompany an application for accreditation under section 23(4) must—

(a) specify the rights that it is proposed persons authorised by the body may acquire,

(b) contain the body’s proposed—

(i) authorisation rules,

(ii) practice rules, and

(iii) if applicable, its ALB rules for the purposes of Part 2,

(c) set out—

(i) how the body will exercise its regulatory functions compatibly with the regulatory objectives,

(ii) the regulatory category to which the body thinks it should be assigned,

(d) deal with such other regulatory matters as the Scottish Ministers may by regulations specify (and in such manner as the regulations may specify).

(2) For the purpose of subsection (1)(a), an application to acquire (either or both of) the rights listed in paragraph (a) or (b) of section 23(2) must specify—

(a) the courts in which authorised providers are to be able to practise, and

(b) the categories of proceedings authorised providers are to be able to undertake.

(3) The authorisation rules are rules about—

(a) the procedure for a person to become an authorised provider of the body, including—

(i) the making of applications for authorisation,

(ii) the criteria to be met by applicants,

(iii) the determination of applications,

(iv) the grant of authorisation to exercise acquired rights,

(b) the terms of the authorisation including, in particular, the imposition of conditions or restrictions,

(c) circumstances in which the authorisation may be suspended or withdrawn,

(d) fees that the body intends to charge in connection with the authorisation,

(e) how the body will review any decision—

(i) refusing an application for authorisation,

(ii) granting an application subject to conditions or restrictions,

(iii) suspending or withdrawing the authorisation.

(4) The authorisation rules must provide—

(a) that only persons that the body considers to be fit and proper may be authorised,

(b) for the suspension or withdrawal of authorisation where an authorised provider is breaching (or has breached) the regulatory scheme or other rules of professional practice that apply to it.

(5) The practice rules are rules about—

(a) the standards to be met by authorised providers in the exercise of acquired rights,

(b) accounting and auditing,

(c) professional indemnity (in respect of which, see section 17),

(d) the making and handling of complaints and, in particular, how the body will deal with complaints remitted (or treated as having been remitted) to it under the 2007 Act in relation to its authorised providers,

(e) the measures the body may take, in relation to its authorised providers, if—

(i) there is a breach of the regulatory scheme, or

(ii) a complaint referred to in paragraph (d) is upheld.

(6) The practice rules must include provision enabling the body to comply with the provisions of section 29(4).

(7) For the purpose of subsection (5)(d), the practice rules must—

(a) include rules relating to reviews of final decisions of the body made in relation to complaints remitted (or treated as having been remitted) to the body under the 2007 Act in relation to its authorised providers,

(b) require publication of a final decision relating to a conduct complaint suggesting professional misconduct of an authorised provider of the body that is remitted to the body by the Commission (or is treated as having been so remitted by virtue of section 33A(2) of the 2007 Act),

(c) require such a decision to include—

(i) detail of any facts established,

(ii) a statement of reasons for the making of the decision, and

(iii) where the complaint is upheld, information about any penalty imposed,

(d) where such a complaint is upheld, allow the body to omit any information from the published decision which it considers would be likely to damage the interests of persons other than—

(i) the authorised provider against whom the complaint is made, and

(ii) where the authorised provider is a natural person, the partner or family of that person,

(but subject to the body publishing its reasons for any such omission),

(e) where such a complaint is not upheld, allow the body to omit the name of the authorised provider against whom the complaint is made from the published decision where it considers that to be appropriate.

(8) In relation to draft regulatory schemes which seek a right of audience, the practice rules must also include provision—

(a) stating general criteria to which authorised providers should have regard in determining whether to accept instructions to represent a person or provide legal services in particular circumstances,

(b) stating the order of precedence of courts,

(c) securing that, where reasonably practicable, any person wishing to be represented before any court by one of its providers holding an appropriate right of audience is so represented.

(9) For the purposes of the rules required under subsection (8), the Inner and Outer Houses of the Court of Session and the High Court of Justiciary exercising its appellate jurisdiction may be treated as separate courts.

(10) Regulations under subsection (1) are subject to the affirmative procedure.