Regulation of Legal Services (Scotland) Act 2025

69 Complaints: monitoring and setting of minimum standards by the Commission

(1) The 2007 Act is amended as follows.

(2) In section 35 (services complaints: monitoring, reports, protocols and information sharing)—

(a) in subsection (3)(a), for sub-paragraphs (i) to (vi), substitute “the Commission’s functions relating to services complaints dealt with by it,”,

(b) after subsection (4) insert—

“(5) If, in the course of exercising its functions under this Act, the Commission identifies a matter of concern relating to one or more practitioners (or practitioners’ firms or employing practitioners), the Commission may notify the relevant professional organisation of the concern and give the organisation any information it holds relating to the concern.”.

(3) In section 36 (conduct complaints: monitoring, reports, guidance and recommendations)—

(a) the title of the section becomes “Conduct and regulatory complaints: monitoring and reports”,

(b) in subsection (1)—

(i) for paragraph (a), substitute—

“(a) practitioners have dealt with matters that result in—

(i) conduct complaints being remitted to the relevant professional organisations under section 6(2) (or treated as having been remitted to them under that section by virtue of section 33A(2)),

(ii) regulatory complaints being remitted to the relevant professional organisations under section 7A(2) (or treated as having been remitted to them under that section by virtue of section 33B(2)),”,

(ii) in paragraph (b), after “complaints” insert “or regulatory complaints”,

(c) subsections (3) and (4) are repealed,

(d) in subsection (5), for “conduct complaints remitted to them under section 6(2)(a) or 15(5)(a)” substitute “—

(a) conduct complaints remitted to them under section 6(2) (or treated as having been remitted to them under that section by virtue of section 33A(2)),

(b) regulatory complaints remitted to them under section 7A(2) (or treated as having been remitted to them under that section by virtue of section 33B(2)).”.

(4) After section 36, insert—

“36A Conduct and regulatory complaints: setting of minimum standards by the Commission

(1) The Commission may issue guidance to relevant professional organisations relating to how they are to investigate and determine the following complaints—

(a) conduct complaints that are remitted to them by the Commission under section 6(2) (or treated as having been remitted to them under that section by virtue of section 33A(2)),

(b) regulatory complaints that are remitted to them by the Commission under section 7A(2) (or treated as having been remitted to them under that section by virtue of section 33B(2)).

(2) Guidance under subsection (1) may in particular—

(a) set minimum standards for relevant professional organisations in relation to the matters mentioned in that subsection,

(b) include guidance as to the timescales within which relevant professional organisations should aim to complete their investigation of, or determine, complaints.

(3) Guidance under subsection (1)—

(a) may make different provision for—

(i) different types of complaint,

(ii) different acts or omissions (or series of acts or omissions) to which complaints may relate,

(iii) different types of practitioner against whom complaints may be made,

(b) may be issued to—

(i) each relevant professional organisation,

(ii) a particular relevant professional organisation,

(iii) relevant professional organisations of a particular description.

(4) Before issuing guidance under subsection (1) that sets minimum standards, the Commission must consult—

(a) the following persons in relation to the Commission’s initial proposals for the minimum standards that are to be set out in the guidance—

(i) the Lord President,

(ii) each relevant professional organisation concerned,

(iii) the practitioners regulated by each organisation, and

(iv) any other person the Commission considers appropriate,

(b) the following persons in relation to a subsequent draft of the guidance that includes the proposed minimum standards—

(i) each relevant professional organisation concerned, and

(ii) any other person the Commission considers appropriate.

(5) For the purpose of subsection (4)(a), a duty to consult the practitioners may be met by the Commission directing a relevant professional organisation to issue information about the initial proposals to the practitioners regulated by the organisation.

(6) The Commission must take account of any representations made by a relevant professional organisation consulted under subsection (4) that are received by the Commission within the period of 28 days beginning with the day on which the organisation receives notification from the Commission of the opportunity to make representations.

(7) The Commission must—

(a) publish any guidance issued under subsection (1) in such manner as it considers appropriate as soon as reasonably practicable after issuing the guidance, and

(b) if the guidance sets minimum standards, at the time of publishing any such guidance, publish a document summarising—

(i) the consultation carried out under subsection (4),

(ii) any representations received in response to the consultation,

(iii) any changes made to the Commission’s initial proposals for the minimum standards as a result of the consultation, and

(iv) the Commission’s reasons for including the minimum standards in the guidance.”.

(5) In section 40 (how practitioners deal with complaints: best practice notes)—

(a) the existing text becomes subsection (1),

(b) in paragraph (a) of that subsection, for “or the professional services provided by them” substitute “, the professional services provided by them or regulatory matters”,

(c) after that subsection insert—

“(2) The Commission may issue guidance (which may set minimum standards) to relevant professional organisations—

(a) relating to their role overseeing how practitioners deal with complaints to them made about the matters mentioned in subsection (1)(a) or (b),

(b) relating to standards that must be set by the organisations for practitioners that they regulate in relation to how complaints made to practitioners about the matters mentioned in paragraph (a) or (b) of subsection (1) are dealt with by practitioners,

(c) in respect of any practice (and any trends in practice) identified by the Commission in the way in which the practitioners that are regulated by the organisations deal with matters which the Commission considers contributes significantly to—

(i) services complaints being dealt with by the Commission under sections 8 to 12,

(ii) conduct complaints being remitted to the relevant professional organisations under section 6(2) (or treated as having been remitted to them under that section by virtue of section 33A(2)),

(iii) regulatory complaints being remitted to the relevant professional organisations under section 7A(2) (or treated as having been remitted to them under that section by virtue of section 33B(2)).

(3) Guidance under subsection (1) or (2) or may make different provision for—

(a) different types of complaint,

(b) different acts or omissions (or series of acts or omissions) to which complaints may relate,

(c) different types of practitioner against whom complaints may be made.

(4) Guidance under subsection (1) or (2) may be issued to—

(a) each relevant professional organisation,

(b) a particular relevant professional organisation,

(c) relevant professional organisations of a particular description.

(5) In subsection (1), “regulatory matters” means, in relation to an authorised legal business, failure by the authorised legal business to comply with either of the matters mentioned in section 2(1)(c)(i) or (ii).

(6) Where the Commission issues guidance to a relevant professional organisation under subsection (1) or (2), the relevant professional organisation must notify the practitioners that it regulates of the guidance.

(7) Before issuing guidance under subsection (2) that sets minimum standards, the Commission must consult—

(a) the following persons in relation to the Commission’s initial proposals for the minimum standards that are to be set out in the guidance—

(i) the Lord President,

(ii) each relevant professional organisation concerned,

(iii) the practitioners regulated by each organisation, and

(iv) any other person the Commission considers appropriate,

(b) the following persons in relation to a subsequent draft of the guidance that includes the proposed minimum standards—

(i) each relevant professional organisation concerned, and

(ii) any other person the Commission considers appropriate.

(8) For the purpose of subsection (7)(a), a duty to consult the practitioners may be met by the Commission directing a relevant professional organisation to issue information about the initial proposals to the practitioners regulated by the organisation.

(9) The Commission must take account of any representations made by a relevant professional organisation consulted under subsection (7) that are received by the Commission within the period of 28 days beginning with the day on which the organisation receives notification from the Commission of the opportunity to make representations.

(10) The Commission must publish any guidance issued under this section in such manner as it considers appropriate as soon as reasonably practicable after issuing the guidance.

(11) In the case of guidance issued under subsection (2) that sets minimum standards, the Commission must, at the time of publishing the guidance, publish a document summarising—

(a) the consultation carried out under subsection (7),

(b) any representations received in response to the consultation,

(c) any changes made to the Commission’s initial proposals for the minimum standards as a result of the consultation, and

(d) the Commission’s reasons for including the minimum standards in the guidance.”.