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The Legal Services Act 2007 (the Chartered Institute of Patent Attorneys and the Institute of Trade Mark Attorneys) (Modification of Functions) Order 2014

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Disciplinary arrangements: disqualification

3.—(1) CIPA may, in accordance with regulations made under sub-paragraph (6), make an order disqualifying a person from one or more of the activities mentioned in sub-paragraph (2) if—

(a)the disqualification condition is satisfied in relation to that person; and

(b)CIPA is satisfied that it is undesirable for that person to engage in that activity or those activities.

(2) The activities are—

(a)acting as Head of Legal Practice of any CIPA-registered body;

(b)acting as Head of Finance and Administration of any CIPA-registered body;

(c)being a manager of any CIPA-registered body; and

(d)being employed by any registered person.

(3) The disqualification condition is satisfied in relation to a person, if that person (intentionally or through neglect)—

(a)breaches a relevant duty to which that person is subject;

(b)causes, or substantially contributes to, a significant breach by the CIPA-registered body by which that person is employed of the requirements of patent attorney regulations or regulations made by CIPA by virtue of this Order; or

(c)causes, or substantially contributes to, a significant breach by the regulated person by whom that person is employed.

(4) The relevant duties are—

(a)the duties imposed on a Head of Legal Practice by virtue of paragraph 2(9) or (11) of Schedule 1;

(b)the duties imposed on a Head of Finance and Administration by virtue of paragraph 5(8) of Schedule 1; and

(c)the duties imposed by section 176(1) of the 2007 Act on registered persons and regulated persons.

(5) CIPA must keep a list of all persons disqualified under this paragraph.

(6) For the purpose of giving effect to sub-paragraph (1), CIPA must make regulations as to the criteria and procedure to be applied by CIPA in determining whether a person should be disqualified under this paragraph.

(7) Regulations made under sub-paragraph (6) must make provision—

(a)for a review by CIPA of a determination by CIPA that a person should be disqualified;

(b)as to the criteria and procedure to be applied by CIPA in determining whether a person’s disqualification should cease to be in force; and

(c)requiring CIPA to notify the Board of any determination by CIPA that a person should be disqualified, of the results of a review of that determination and of any decision by CIPA that a person’s disqualification should cease to be in force.

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