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Legal Services Act 2007 (c. 29)(The document as of February, 2008) Page 14 Pages: P.1 | P.2 | P.3 | P.4 | P.5 | P.6 | P.7 | P.8 | P.9 | P.10 | P.11 | P.12 | P.13 | P.14 | P.15 | P.16 | P.17 | P.18 | P.19 | P.20 | P.21 | P.22 | P.23 | P.24 | P.25 | P.26 | P.27 | P.28 | P.29 | P.30 | P.31 | P.32 | P.33 | P.34 | P.35 | P.36 | P.37 (3) The Board may, before the end of the decision period, issue a notice extending that period by a period specified in the notice. (4) More than one notice may be issued under sub-paragraph (3), but the decision period must not exceed 16 months. (5) The Board may issue a notice under sub-paragraph (3) only after it has consulted-- (a) the OFT, (b) the Consumer Panel, and (c) the Lord Chief Justice. (6) A notice under sub-paragraph (3) must state the Board's reasons for extending the decision period. (7) The Board must publish any notice issued under sub-paragraph (3). Effect of grant of application16 (1) This paragraph applies where an application is granted in relation to a reserved legal activity or activities. (2) The Board must recommend to the Lord Chancellor that an order be made designating the applicant as an approved regulator in relation to the reserved legal activity or activities in question. (3) The Board must publish any recommendation made under sub-paragraph (2). (4) The Board must make available to the Lord Chancellor-- (a) any advice duly given under paragraphs 6 to 9, (b) any written representations duly made under paragraph 11 and the report (if any) prepared under that paragraph, and (c) any other material considered by the Board for the purpose of determining the application. Lord Chancellor's decision to make an order17 (1) Where a recommendation is made to the Lord Chancellor under paragraph 16, the Lord Chancellor may-- (a) make an order in accordance with the recommendation, or (b) refuse to make such an order. (2) Where the recommendation relates to more than one reserved legal activity, the Lord Chancellor may make an order under sub-paragraph (1)(a) in relation to all or any of them. (3) The Lord Chancellor must-- (a) decide whether to make an order under this paragraph, and (b) give notice of that decision ("the decision notice") to the applicant, within the period of 90 days beginning with the day on which the recommendation was made. (4) If the Lord Chancellor decides not to make an order in accordance with the whole or part of the recommendation, the decision notice must state the reasons for the decision. (5) The Lord Chancellor must publish the decision notice. Approval of regulatory arrangements18 (1) Where an order is made by the Lord Chancellor under paragraph 17, the applicant's proposed regulatory arrangements are at the same time treated as having been approved by the Board. (2) But where the order relates to one or more (but not all) of the reserved legal activities to which the application related, sub-paragraph (1) has effect as if the reference to the applicant's proposed regulatory arrangements were a reference to those arrangements excluding any provision made in respect of any activities excluded from the order. (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 3 Alteration of approved regulator's regulatory arrangementsRequirement for approval19 (1) If an alteration is made of the regulatory arrangements of an approved regulator, the alteration does not have effect unless it is approved for the purposes of this Act. (2) An alteration is approved for the purposes of this Act if-- (a) it is approved by virtue of paragraph 18 (approval of proposed regulatory arrangements on designation by order as approved regulator), (b) it is approved by the Board under this Part of this Schedule, (c) it is an exempt alteration, (d) it is an alteration made in compliance with a direction under section 32, (e) it is approved by virtue of paragraph 16 of Schedule 10 (approval of licensing rules on designation by order as licensing authority), or (f) it is approved by virtue of paragraph 7 of Schedule 18 (approval of proposed regulatory arrangements when granting "qualifying regulator" status for the purposes of Part 5 of the Immigration and Asylum Act 1999 (c. 33)). (3) An exempt alteration is an alteration which the Board has directed is to be treated as exempt for the purposes of this paragraph. (4) A direction under sub-paragraph (3) may be specific or general and must be published by the Board. (5) In this Part of this Schedule, references to an "alteration" of regulatory arrangements include an addition to, or the revocation of any part of, the arrangements. (6) If a question arises whether approval is required by virtue of this Part of this Schedule, it is for the Board to decide. (7) Nothing in this Part of this Schedule applies in relation to any alteration of the regulatory arrangements of the Board in its capacity as an approved regulator (or of its licensing rules). Application to Board20 (1) An application by an approved regulator for the Board to approve an alteration or alterations of its regulatory arrangements must be made in such form and manner as the Board may specify in rules. (2) The application must be accompanied by-- (a) details of such of the approved regulator's regulatory arrangements as are relevant to the application, (b) details of the alteration or alterations, and (c) such explanatory material as the approved regulator considers is likely to be needed for the purposes of this Part of this Schedule. Initial determination21 (1) Where the Board has received an application under paragraph 20 it may-- (a) grant the application and give the approved regulator a notice to that effect, or (b) give the approved regulator a notice stating that the Board is considering whether to refuse the application (a "warning notice"). (2) The Board must publish any notice given by it under sub-paragraph (1)(a) or (b). (3) If the Board does not give the approved regulator a notice under sub-paragraph (1)(a) or (b) within the initial decision period, the application is deemed to have been granted by the Board. (4) The "initial decision period" means the period of 28 days beginning with the day on which the application was received by the Board. (5) The Board may extend the initial decision period-- (a) with the consent of the approved regulator, or (b) by giving an extension notice to the approved regulator, before the end of that period (or if it has previously been extended under this sub-paragraph, that period as so extended). (6) An extension notice-- (a) must specify the period of the extension, and (b) must state the Board's reasons for extending the initial decision period. (7) The period specified in the notice under sub-paragraph (6)(a) must end no later than the end of the period of 90 days beginning with the date on which the application was made under paragraph 20. Advice22 (1) Where the Board has given the approved regulator a warning notice, the Board may invite such persons as it considers appropriate to give the Board advice regarding whether the application should be granted. (2) A person ("the consultee") to whom an invitation is given under sub-paragraph (1) may, for the purposes of giving advice to the Board under this paragraph, request the approved regulator or any other person to provide the consultee with such additional information as may be specified by the consultee. Representations by applicant23 (1) The Board must give the approved regulator a copy of any advice obtained under paragraph 22. (2) The approved regulator 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 approved regulator, 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 approved regulator 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 etc24 (1) The Board must, as soon as practicable after the end of the period within which representations under paragraph 23 may be made, publish-- (a) any advice given under paragraph 22, and (b) any written representations duly made under paragraph 23 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 paragraph 22 from publishing that advice, or (b) to prevent a person who makes representations under paragraph 23 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. Decision by the Board25 (1) After considering-- (a) the application and any accompanying material, (b) any other information provided by the approved regulator, (c) any advice obtained under paragraph 22, (d) any representations duly made under paragraph 23, and (e) any other information which the Board considers relevant to the application, the Board must decide whether to grant the application. (2) The Board may grant the application in whole or in part. (3) The Board may refuse the application only if it is satisfied that-- (a) granting the application would be prejudicial to the regulatory objectives, (b) granting the application would be contrary to any provision made by or by virtue of this Act or any other enactment or would result in any of the designation requirements ceasing to be satisfied in relation to the approved regulator, (c) granting the application would be contrary to the public interest, (d) the alteration would enable the approved regulator to authorise persons to carry on activities which are reserved legal activities in relation to which it is not a relevant approved regulator, (e) the alteration would enable the approved regulator to license persons under Part 5 to carry on activities which are reserved legal activities in relation to which it is not a licensing authority, or (f) the alteration has been or is likely to be made otherwise than in accordance with the procedures (whether statutory or otherwise) which apply in relation to the making of the alteration. (4) For the purposes of sub-paragraph (3)(b) the designation requirements are-- (a) a requirement that the approved regulator has appropriate internal governance arrangements in place, (b) a requirement that the applicant is competent, and has sufficient resources to perform the role of approved regulator in relation to the reserved legal activities in respect of which it is designated, and (c) the requirements of paragraph 13(2)(c) to (e). (5) Sub-paragraph (3) applies in relation to any part of an application as if references to the application were to the part. (6) The Board must give notice of its decision ("the decision notice") to the approved regulator. (7) Where the Board decides to refuse the application (in whole or in part), the decision notice must specify the reasons for that decision. (8) The Board must publish the decision notice. Failure to decide application during decision period26 (1) This paragraph applies where the Board gives an approved regulator a warning notice under paragraph 21 in respect of the approved regulator's application. (2) If the Board does not give the approved regulator notice of its decision under paragraph 25 within the decision period, the application is deemed to have been granted by the Board at the end of that period. (3) Subject to sub-paragraphs (4) and (5), "the decision period" means the period of 12 months beginning with the day on which the approved regulator received the warning notice. (4) The Board may, on one or more occasions, give the approved regulator a notice (an "extension notice") extending the decision period. (5) But-- (a) an extension notice may only be given before the time when the decision period would end, but for the extension notice, and (b) the total decision period must not exceed 18 months. (6) The Board must publish any extension notice given by it. Effect of grant of application27 (1) Where an application is granted under paragraph 21(1)(a) or (3), 25(1) or 26(2), the alteration or alterations of the regulatory arrangements to which the application relates are approved. (2) Where a part of an application is granted under paragraph 25(1), the alteration or alterations of the regulatory arrangements to which the part relates are approved. (3) Sub-paragraphs (1) and (2) are without prejudice to the Board's power to give directions under section 32 (power to direct an approved regulator to take steps in certain circumstances, including steps to amend its regulatory arrangements). Section 22 SCHEDULE 5 Authorised personsPart 1 Continuity of rightsRights of audience and conduct of litigation1 (1) For the purposes of section 18 (authorised persons), in the case of a person who is authorised by a listed body-- (a) to exercise a right of audience before a court in relation to any proceedings, or (b) to conduct litigation in relation to any proceedings, it is irrelevant whether the person's authorisation was granted before or on or after the appointed day. (2) The "listed bodies" are-- (a) The Law Society, (b) The General Council of the Bar, (c) The Chartered Institute of Patent Attorneys, (d) The Institute of Trade Mark Attorneys, (e) The Association of Law Costs Draftsmen, and (f) for the purposes of sub-paragraph (1)(a) only, The Institute of Legal Executives. (3) For the purposes of sub-paragraph (1), any authority conferred by section 31 of the Courts and Legal Services Act 1990 (c. 41) (barristers and solicitors deemed to have rights of audience and rights to conduct litigation) is to be disregarded (see paragraphs 4 and 7 below). Conveyancing services2 (1) For the purposes of section 18, in the case of a licensed conveyancer who is authorised to carry on an activity which is a reserved instrument activity by a conveyancing licence, it is irrelevant whether the licence was granted before or on or after the appointed day. (2) For the purposes of this paragraph "conveyancing licence" means a licence to practise as a licensed conveyancer granted under Part 2 of the Administration of Justice Act 1985 (c. 61). Part 2 Rights during transitional periodThe transitional period3 (1) In this Part of this Schedule references to "the transitional period" are to the period which-- (a) begins with the appointed day (within the meaning given by paragraph 19), and (b) ends with the day appointed by the Lord Chancellor by order for the purposes of this paragraph. (2) Different days may be appointed under sub-paragraph (1)(b) for different purposes. (3) An order may be made under sub-paragraph (1)(b) only on the recommendation of the Board. Barristers etc4 (1) During the transitional period, every barrister is deemed to be authorised by the General Council of the Bar to carry on the activities in sub-paragraph (2). (2) Those activities are-- (a) the exercise of a right of audience before every court in relation to all proceedings; (b) reserved instrument activities; (c) probate activities; (d) the administration of oaths. (3) The authority conferred on a barrister by this paragraph is exercisable in accordance with, and subject to, the regulatory arrangements of the General Council of the Bar. (4) A person is not authorised under sub-paragraph (1) unless the person has in force a certificate issued by the General Council of the Bar authorising the person to practise as a barrister. 5 (1) During the transitional period, every registered European lawyer registered with the Inns of Court and the General Council of the Bar is deemed to be authorised by the General Council of the Bar to carry on activities which-- (a) are within paragraph 4(2), and (b) the registered European lawyer is entitled to carry on under his home professional title by virtue of the European regulations. (2) The authority conferred on a registered European lawyer by virtue of this paragraph is exercisable in accordance with, and subject to, the regulatory arrangements of the General Council of the Bar (as they apply to the registered European lawyer by virtue of the European regulations). (3) In this paragraph--
6 During the transitional period members of the Bar not in actual practice are to continue to have the rights conferred by section 102A(2) of the Patents Act 1977 (c. 37) (right of audience, etc in proceedings on appeal from the comptroller). Solicitors etc7 (1) During the transitional period-- (a) every qualified solicitor, (b) every legal partnership, and (c) every body recognised under section 9 of the Administration of Justice Act 1985 (c. 61) (incorporated practices) ("a recognised body"), is deemed to be authorised by the Law Society to carry on the activities in sub-paragraph (2). (2) Those activities are-- (a) the exercise of a right of audience before every court in relation to all proceedings; (b) the conduct of litigation in relation to every court and all proceedings; (c) reserved instrument activities; (d) probate activities; (e) the administration of oaths. (3) The authority conferred on a qualified solicitor, legal partnership or recognised body by this paragraph is exercisable in accordance with, and subject to, the regulatory arrangements of the Law Society. (4) In this paragraph--
8 (1) During the transitional period, every registered European lawyer registered with the Law Society is deemed to be authorised by the Law Society to carry on activities which-- (a) are within paragraph 7(2), and (b) the registered European lawyer is entitled to carry on under his home professional title by virtue of the European regulations. (2) The authority conferred on a registered European lawyer by virtue of this paragraph is exercisable in accordance with, and subject to, the regulatory arrangements of the Law Society (as they apply to the registered European lawyer by virtue of the European regulations). (3) In this paragraph--
9 (1) During the transitional period, solicitors are to continue to have the rights conferred on them by subsection (1) of section 102A of the Patents Act 1977 (c. 37) (rights of audience, etc in proceedings on appeal from the comptroller). (2) During that period, registered European lawyers are to continue to have the rights conferred on them by that subsection by virtue of the European regulations. (3) In this paragraph "European regulations" and "registered European lawyer" have the same meaning as in paragraph 8. Legal Executives10 (1) During the transitional period, a person authorised by the Institute of Legal Executives to practise as a member of the profession of legal executives is deemed to be authorised by that Institute to administer oaths. (2) The authority conferred by sub-paragraph (1) is exercisable in accordance with and subject to the regulatory arrangements of the Institute of Legal Executives. (3) A person is not authorised under sub-paragraph (1) unless the person has in force a certificate issued by the Institute of Legal Executives authorising the person to practise as a legal executive. Licensed conveyancers11 (1) During the transitional period every individual who holds a conveyancing licence is deemed to be authorised by the Council for Licensed Conveyancers to administer oaths. (2) The authority conferred by sub-paragraph (1) is exercisable in accordance with and subject to the regulatory arrangements of the Council. (3) During that period, every conveyancing partnership and every body recognised under section 32 of the Administration of Justice Act 1985 (c. 61) (bodies corporate entitled to provide conveyancing services) is deemed to be authorised by the Council-- (a) to carry on conveyancing services, and (b) to administer oaths. (4) The authority conferred by sub-paragraph (3) is exercisable in accordance with and subject to-- (a) in the case of a body recognised under section 32 of the Administration of Justice Act 1985, any condition subject to which its recognition has effect, and (b) the regulatory arrangements of the Council. (5) In this section "conveyancing partnership" means a partnership at least some of the members of which are licensed conveyancers. (6) For the purposes of this paragraph a conveyancing licence is to be treated as not in force during any period when it is suspended. Notaries public12 (1) During the transitional period, every duly certificated notary is deemed to be authorised by the Master of the Faculties to carry on the activities in sub-paragraph (2). (2) Those activities are-- (a) reserved instrument activities; (b) probate activities; (c) notarial activities; (d) the administration of oaths. (3) The authority conferred by sub-paragraph (1) is exercisable in accordance with and subject to the regulatory arrangements of the Master of the Faculties. (4) In this paragraph "duly certificated notary" means a notary who either-- (a) has in force a practising certificate as a solicitor issued under the Solicitors Act 1974 (c. 47), and is duly entered in the Court of Faculties of the Archbishop of Canterbury in accordance with rules made by the Master of the Faculties, or (b) has in force a practising certificate as a public notary issued by the said Court of Faculties in accordance with rules so made. 13 (1) During the transitional period, a person ("P") is an exempt person in relation to the carrying on of an activity ("the relevant activity") which is a notarial activity if-- (a) 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 (b) E is an authorised person in relation to the relevant activity. (2) If P is a body, in this paragraph references to an employee of P include references to a manager of P. Patent attorneys14 (1) During the transitional period, every registered patent attorney is deemed to be authorised by the Chartered Institute of Patent Attorneys to carry on reserved instrument activities. (2) During that period, every authorised patent attorney is deemed to be authorised by the Chartered Institute of Patent Attorneys to administer oaths. (3) During that period, every patent attorney body is deemed to be authorised by the Chartered Institute of Patent Attorneys to carry on the activities in sub-paragraph (4). (4) Those activities are any activities which are reserved legal activities within sub-paragraph (5) and which-- (a) if the body is a partnership, any partner who is a registered patent attorney is authorised to carry on; (b) if the body is a body corporate, any director who is a registered patent attorney is authorised to carry on. (5) Those activities are-- (a) the exercise of a right of audience; (b) the conduct of litigation; (c) reserved instrument activities; (d) the administration of oaths. (6) The authority conferred by any of sub-paragraphs (1) to (3) is exercisable in accordance with and subject to the regulatory arrangements of the Chartered Institute of Patent Attorneys. (7) In this paragraph--
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