Legal Services Act 2007 (c. 29)

(The document as of February, 2008)

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(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

(c) the proceedings are being heard in chambers in the High Court or a county court and are not reserved family proceedings.

(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 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.

Conduct of litigation

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).

(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 activities

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).

(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"),

(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

(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 activities

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).

(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"),

(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 activities

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).

(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 oaths

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).

(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 lawyers

7 A 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.

Employers etc acting through exempt person

8 (1) This paragraph applies where--

(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

(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 persons

9 (1) The Lord Chancellor may, by order, amend this Schedule so as to provide--

(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

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

Section 20

SCHEDULE 4 Approved regulators

Part 1 Existing regulators

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

(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 regulator	Reserved 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.
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.

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.

(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 2 Designation of bodies by order

Application to the Board

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.

(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.

Dismissal of application

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

(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).

Board's duty to seek advice

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

(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 OFT,

(b) the Consumer Panel,

(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).

Advice of Office of Fair Trading

6 (1) The OFT must give the Board such advice as the OFT thinks fit regarding whether the application should be granted.

(2) In deciding what advice to give, the OFT 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.

Advice of the Consumer Panel

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

(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 consultees

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

Advice of the Lord Chief Justice

9 (1) The Board must give the Lord Chief Justice--

(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 consultees

10 A 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.

Representations by applicant

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

(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.

Publication of advice and representations etc

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--

(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 Board

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

(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,

(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 applications

14 (1) After considering--

(a) the application and accompanying material,

(b) any other information provided by the applicant,

(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.

(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.

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