Legalize / United Kingdom / Public General Act

Legal Services Act 2007

Type Public General Act

Publication 2007-10-30

Last updated 2025-01-01

State In force

Department Statute Law Database

Source legislation.gov.uk

articles Not indexed

Reform history JSON API

(i) in the respondent's capacity as a personal representative or trustee, or

(ii) to a person acting as a personal representative or trustee,

and C is a beneficiary of the estate or trust in question; or

(d) C satisfies such other conditions, in relation to the services to which the complaint relates, as may be prescribed by order made by the Lord Chancellor in accordance with a recommendation made under section 130.

(5) C is excluded if, at the relevant time—

(a) C was an authorised person in relation to an activity which was a reserved legal activity and the services to which the complaint relates were procured by C on behalf of another person,

(b) C was a public body or was acting on behalf of such a body in relation to the services to which the complaint relates, or

(c) C was a person prescribed, or of a description prescribed, as excluded by order made by the Lord Chancellor in accordance with a recommendation made under section 130.

(6) In subsection (4)(b) “authorised person” means an authorised person in relation to any activity which is a reserved legal activity.

(7) In this section—

“public body” means any government department, local authority or other body constituted for purposes of the public services, local government or the administration of justice;

“relevant time”, in relation to a complaint, means the time when the act or omission to which the complaint relates took place.

Pre-commencement acts and omissions

129

(1) For the purposes of section 128 a person is to be regarded as an authorised person in relation to an activity which is a reserved legal activity, at a time before section 125 comes into force, if the person was at that time—

(a) a person of the kind mentioned in paragraph 2(4) of Schedule 15,

(b) a body recognised under section 9 or 32 of the Administration of Justice Act 1985 (c. 61) (recognised bodies), or

(2) In this section—

“conveyancing partnership” has the meaning given by paragraph 11(5) of Schedule 5;

“legal partnership” has the meaning given by paragraph 7(4) of that Schedule;

“patent attorney body” has the meaning given by paragraph 14(7) of that Schedule;

“trade mark attorney body” has the meaning given by paragraph 16(7) of that Schedule.

Orders under section 128

130

(1) An interested body may, at any time, recommend to the Lord Chancellor that the Lord Chancellor make an order under section 128(3)(b), (4)(d) or (5)(c).

(2) An interested body must, if requested to do so by the Lord Chancellor, consider whether or not it is appropriate to make a recommendation under subsection (1).

(3) An interested body must, before making a recommendation under subsection (1)—

(a) publish a draft of the proposed recommendation,

(b) invite representations regarding the proposed recommendation, and

(4) Where the Lord Chancellor receives a recommendation under subsection (1), the Lord Chancellor must consider whether to follow the recommendation.

(5) If the Lord Chancellor decides not to follow the recommendation, the Lord Chancellor must publish a notice to that effect which includes the Lord Chancellor's reasons for the decision.

(6) In this section “interested body” means—

(a) the OLC,

(b) the Board, or

Acts and omissions by employees etc

131

(1) For the purposes of this Part and the ombudsman scheme, any act or omission by a person in the course of the person's employment is to be treated as also an act or omission by the person's employer, whether or not it was done with the employer's knowledge or approval.

(2) For the purposes of this Part and the ombudsman scheme, any act or omission by a partner in a partnership in the course of carrying on, in the usual way, business of the kind carried on by the partnership is to be treated as also an act or omission by the partnership.

(3) But subsection (2) does not apply if the partner had no authority to act for the partnership and the person purporting to rely on that subsection knew, at the time of the act or omission, that the partner had no such authority.

Continuity of complaints

132

(1) The ability of a person to make a complaint about an act or omission of a partnership or other unincorporated body is not affected by any change in the membership of the partnership or body.

(2) Scheme rules must make provision determining the circumstances in which, for the purposes of the ombudsman scheme, an act or omission of a person (“A”) is, where A ceases to exist and another person (“B”) succeeds to the whole or substantially the whole of the business of A, to be treated as an act or omission of B.

(3) Rules under subsection (2) must, in relation to cases where an act or omission of A is treated as an act or omission of B, make provision about the treatment of complaints under the ombudsman scheme which are outstanding against A at the time A ceases to exist.

(4) Scheme rules must make provision permitting such persons as may be specified in the rules to continue a complaint made by a person who has died or is otherwise unable to act; and for that purpose may modify references to the complainant in this Part and in scheme rules.

Operation of the ombudsman scheme

133

(1) Scheme rules must set out the procedure for—

(a) the making of complaints under the ombudsman scheme, and

(b) the investigation, consideration and determination of complaints by an ombudsman.

(2) Scheme rules—

(a) must provide that a complaint is to be entertained under the ombudsman scheme only if the complainant has made the complaint under that scheme before the applicable time limit (determined in accordance with the scheme rules) has expired, and

(b) may provide that an ombudsman may extend that time limit in specified circumstances.

(3) Scheme rules made under subsection (1) may (among other things) make provision—

(a) for the whole or part of a complaint to be dismissed, in specified circumstances, without consideration of its merits;

(b) for the reference of a complaint, in specified circumstances and with the consent of the complainant, to another body with a view to it being determined by that body instead of by an ombudsman;

(c) for a person who, at the relevant time (within the meaning of section 128(7)) was an authorised person in relation to an activity to be treated in specified circumstances, for the purposes of the scheme and this Part, as if that person were a co-respondent in relation to a complaint;

(d) about the evidence which may be required or admitted and the extent to which it should be oral or written;

(e) for requiring parties to the complaint to attend to give evidence and produce documents, and for authorising the administration of oaths by ombudsmen;

(f) about the matters which are to be taken into account in determining whether an act or omission was fair and reasonable;

(g) for an ombudsman, in such circumstances as may be specified, to award expenses to persons in connection with attendance at a hearing before an ombudsman;

(h) for an ombudsman to award costs against the respondent in favour of the complainant;

(i) for an ombudsman to award costs against the complainant or the respondent in favour of the OLC for the purpose of providing a contribution to resources deployed in dealing with the complaint, if in the ombudsman's opinion that person acted so unreasonably in relation to the complaint that it is appropriate in all the circumstances of the case to make such an award;

(j) for the purpose of facilitating the settlement of a complaint with the agreement of the parties to it;

(k) for specified persons to be notified of complaints, determinations and directions under the ombudsman scheme.

(4) The circumstances specified under subsection (3)(a) may include the following—

(a) the ombudsman considers the complaint or part to be frivolous or vexatious or totally without merit;

(b) the ombudsman considers that the complaint or part would be better dealt with under another ombudsman scheme, by arbitration or by other legal proceedings;

(c) the ombudsman considers that there has been undue delay in the making of the complaint or part, or the provision of evidence to support it;

(d) the ombudsman is satisfied that the matter which is the subject of the complaint or part has previously been dealt with under another ombudsman scheme, by arbitration or by other legal proceedings;

(e) the ombudsman considers that there are other compelling reasons why it is inappropriate for the complaint or part to be dealt with under the ombudsman scheme.

(5) No person may be required by scheme rules—

(a) to provide any information or give any evidence which that person could not be compelled to provide or give in evidence in civil proceedings before the High Court, or

(b) to produce any document which that person could not be compelled to produce in such proceedings.

(6) Scheme rules may authorise an ombudsman making an award of costs in accordance with rules within subsection (3)(h) or (i) to order that the amount payable under the award bears interest, from a time specified in or determined in accordance with the order, at a rate specified in or determined in accordance with the rules.

(7) An amount due under an award made in favour of a person by virtue of provision made under subsection (3)(g), (h) or (i) is recoverable as a debt due to that person.

(8) In this section—

“party”, in relation to a complaint, means—the complainant,the respondent, andany other person who in accordance with scheme rules is to be regarded as a party to the complaint;

“specified” means specified in scheme rules.

Delegation of an ombudsman’s functions

134

(1) An ombudsman may delegate to a member of the OLC's staff appointed under paragraph 13 of Schedule 15—

(a) any function of the ombudsman in relation to the making, investigation or consideration of a complaint;

(b) any other function conferred on the ombudsman by or by virtue of this Part.

(2) Nothing in subsection (1) applies to the following functions—

(a) the function of determining a complaint;

(b) the function of deciding that a complaint should be dismissed by virtue of rules under section 133(3)(a);

(d) the duties imposed on the Chief Ombudsman by section 123 (Chief Ombudsman's report).

Notification requirements

135

(1) This section applies where a complaint—

(a) is excluded from the jurisdiction of the ombudsman scheme under section 126, or by virtue of scheme rules made under section 127;

(b) is dismissed, or referred to another body, by virtue of scheme rules;

(2) The ombudsman must notify—

(a) the complainant;

(b) the respondent;

(c) any relevant authorising body, in relation to the respondent, notified of the complaint in accordance with rules within section 133(3)(k),

and, in a case within subsection (1)(a) or (b), must give reasons for the exclusion, dismissal or referral.

Charges payable by respondents

136

(1) Scheme rules must require respondents, in relation to complaints under the ombudsman scheme, to pay to the OLC such charges as may be specified in the rules.

(2) The rules must provide for charges payable in relation to a complaint to be waived (or wholly refunded) where—

(a) the complaint is determined or otherwise resolved in favour of the respondent, and

(b) the ombudsman is satisfied that the respondent took all reasonable steps to try to resolve the complaint under the respondent's complaints procedures.

(3) The rules may make provision as to—

(a) the circumstances in which a complaint is to be treated as determined or otherwise resolved in favour of the respondent (which may include circumstances where a complaint is settled, withdrawn or abandoned (or treated as withdrawn or abandoned by virtue of scheme rules));

(b) matters to be taken into account by the ombudsman for the purposes of subsection (2)(b).

(4) The respondent's complaints procedures are the procedures established by the respondent, or which the respondent participates in or is subject to, in accordance with regulatory arrangements (or licensing rules of the Board) made in accordance with section 112.

(5) The rules may, among other things—

(a) provide for the OLC to reduce or waive a charge in such other circumstances as may be specified;

(b) set different charges for different stages of the proceedings on a complaint;

(d) provide that if the whole or any part of a charge is not paid by the time by which it is required to be paid under the rules, the unpaid balance from time to time carries interest at the rate specified in, or determined in accordance with, the rules.

(6) Any charge which is owed to the OLC by virtue of rules made under this section may be recovered as a debt due to the OLC.

Determinations under the scheme

Determination of complaints

137

(1) A complaint is to be determined under the ombudsman scheme by reference to what is, in the opinion of the ombudsman making the determination, fair and reasonable in all the circumstances of the case.

(2) The determination may contain one or more of the following—

(a) a direction that the respondent make an apology to the complainant;

(b) a direction that—

(i) the fees to which the respondent is entitled in respect of the services to which the complaint relates (“the fees”) are limited to such amount as may be specified in the direction, and

(ii) the respondent comply, or secure compliance, with such one or more of the permitted requirements as appear to the ombudsman to be necessary in order for effect to be given to the direction under sub-paragraph (i);

(c) a direction that the respondent pay compensation to the complainant of such an amount as is specified in the direction in respect of any loss which has been suffered by, or any inconvenience or distress which has been caused to, the complainant as a result of any matter connected with the complaint;

(d) a direction that the respondent secure the rectification, at the expense of the respondent, of any such error, omission or other deficiency arising in connection with the matter in question as the direction may specify;

(e) a direction that the respondent take, at the expense of the respondent, such other action in the interests of the complainant as the direction may specify.

(3) For the purposes of subsection (2)(b) “the permitted requirements” are—

(a) that the whole or part of any amount already paid by or on behalf of the complainant in respect of the fees be refunded;

(b) that the whole or part of the fees be remitted;

(4) Where—

(a) a direction is made under subsection (2)(b) which requires that the whole or part of any amount already paid by or on behalf of the complainant in respect of the fees be refunded, or

(b) a direction is made under subsection (2)(c),

the direction may also provide for the amount payable under the direction to carry interest from a time specified in or determined in accordance with the direction, at the rate specified in or determined in accordance with scheme rules.

(5) The power of the ombudsman to make a direction under subsection (2) is not confined to cases where the complainant may have a cause of action against the respondent for negligence.

Limitation on value of directions under the ombudsman scheme

138

(1) Where a determination is made under the ombudsman scheme in respect of a complaint, the total value of directions under section 137(2)(c) to (e) contained in the determination must not exceed £50,000.

(2) For this purpose the total value of such directions is the aggregate of—

(a) the amount of any compensation specified in a direction under subsection (2)(c) of section 137, and

(b) the amount of any expenses reasonably incurred by the respondent when complying with a direction under subsection (2)(d) or (e) of that section.

(3) For the purposes of determining that total value, any interest payable on an amount within subsection (2)(a) of this section, by virtue of section 137(4), is to be ignored.

Alteration of limit

139

(1) The Lord Chancellor may by order amend section 138(1) in accordance with a recommendation made by an interested body under subsection (2).

(2) An interested body may, at any time, recommend to the Lord Chancellor that section 138(1) should be amended so as to substitute the amount specified in the recommendation for the amount for the time being specified in that provision.

(3) An interested body must, if requested to do so by the Lord Chancellor, consider whether or not it is appropriate to make a recommendation under subsection (2).

(4) An interested body must, before making a recommendation under subsection (2)—

(a) publish a draft of the proposed recommendation,

(b) invite representations regarding the proposed recommendation, and

(5) Where the Lord Chancellor receives a recommendation under subsection (2), the Lord Chancellor must consider whether to follow the recommendation.

(6) If the Lord Chancellor decides not to follow the recommendation, the Lord Chancellor must publish a notice to that effect which includes the Lord Chancellor's reasons for the decision.

(7) In this section “interested body” means—

(a) the OLC,

(b) the Board, or

Acceptance or rejection of determination

140

(1) When an ombudsman has determined a complaint the ombudsman must prepare a written statement of the determination.

(2) The statement must—

(a) give the ombudsman's reasons for the determination,

(b) be signed by the ombudsman, and

(c) require the complainant to notify the ombudsman, before a time specified in the statement (“the specified time”), whether the complainant accepts or rejects the determination.

(3) The ombudsman must give a copy of the statement to—

(a) the complainant,

(b) the respondent, and

(4) If the complainant notifies the ombudsman that the determination is accepted by the complainant, it is binding on the respondent and the complainant and is final.

(5) If, by the specified time, the complainant has not notified the ombudsman of the complainant's acceptance or rejection of the determination, the complainant is to be treated as having rejected it.

(6) But if—

(a) the complainant notifies the ombudsman after the specified time that the determination is accepted by the complainant,

(b) the complainant has not previously notified the ombudsman of the complainant's rejection of the determination, and

(c) the ombudsman is satisfied that such conditions as may be prescribed by the scheme rules for the purposes of this subsection are satisfied,

the determination is treated as if it had never been rejected by virtue of subsection (5).

(7) The ombudsman must give notice of the outcome to—

(a) the complainant,

(b) the respondent, and

(8) Where a determination is rejected by virtue of subsection (5), that notice must contain a general description of the effect of subsection (6).

(9) A copy of the determination on which appears a certificate signed by an ombudsman is evidence that the determination was made under the scheme.

(10) Such a certificate purporting to be signed by an ombudsman is to be taken to have been duly signed unless the contrary is shown.

(11) Neither the complainant nor the respondent, in relation to a complaint, may institute or continue legal proceedings in respect of a matter which was the subject of a complaint, after the time when a determination by an ombudsman of the complaint becomes binding and final in accordance with this section.

Enforcement by complainant of directions under section 137

141

(1) This section applies where—

(a) a determination is made in respect of a complaint under the ombudsman scheme,

(b) one or more directions are made under section 137(2), and

(2) An amount payable in accordance with—

(a) a direction under subsection (2)(b) of section 137 which requires that the whole or part of any amount already paid by or on behalf of the complainant in respect of the fees be refunded, or

(b) a direction under subsection (2)(c) of that section,

including any interest payable by virtue of subsection (4) of that section, is recoverable, if a court so orders on the application of the complainant or an ombudsman, as if it were payable under an order of that court.

(3) If the respondent fails to comply with any other direction under section 137(2), the complainant or an ombudsman may make an application to the court under this subsection.

(4) If, on an application under subsection (3), the court decides that the respondent has failed to comply with the direction in question, it may order the respondent to take such steps as the court directs for securing that the direction is complied with.

(5) An ombudsman may make an application under subsection (2) or (3) only in such circumstances as may be specified in scheme rules, and with the complainant's consent.

(6) If the court makes an order under subsection (2) on the application of an ombudsman, the ombudsman may in such circumstances as may be specified in scheme rules and with the complainant's consent recover the amount mentioned in that subsection on behalf of the complainant.

(7) In this section “court” means the High Court or the county court.

Reporting court orders made against authorised persons

142

(1) Where a court makes an order under section 141, it must give the OLC notice to that effect.

(2) Where the order is made against a person who is an authorised person in relation to any activity which is a reserved legal activity, the OLC must make arrangements to ensure that an ombudsman gives to each relevant authorising body, in relation to that person, a report which states that the order has been made.

(3) A report under subsection (2) may require the relevant authorising body to report to the ombudsman the action which has been or is to be taken by it in response to the report under subsection (2) and the reasons for that action being taken.

(4) If an ombudsman, having regard to any report produced by the relevant authorising body in compliance with a requirement imposed under subsection (3), or any failure to comply with such a requirement, considers—

(a) that there has been a serious failure by the relevant authorising body to discharge its regulatory functions, or

(b) if such a requirement has been imposed on the body on more than one occasion, that the relevant authorising body has persistently failed adequately to discharge its regulatory functions,

the ombudsman may make a report to that effect to the Board.

Reporting misconduct

Reporting possible misconduct to approved regulators

143

(1) This section applies where—

(a) an ombudsman is dealing, or has dealt, with a complaint under the ombudsman scheme, and

(b) the ombudsman is of the opinion that the conduct of the respondent or any other person in relation to any matter connected with the complaint is such that a relevant authorising body in relation to that person should consider whether to take action against that person.

(2) The ombudsman must give the relevant authorising body a report which—

(a) states that the ombudsman is of that opinion, and

(b) gives details of that conduct.

(3) The ombudsman must give the complainant a notice stating that a report under subsection (2) has been given to the relevant authorising body.

(4) A report under subsection (2) may require the relevant authorising body to report to the ombudsman the action which has been or is to be taken by it in response to the report and the reasons for that action being taken.

(5) The duty imposed by subsection (2) is not affected by the withdrawal or abandonment of the complaint.

(6) If an ombudsman, having regard to any report produced by the relevant authorising body in compliance with a requirement imposed under subsection (4), or any failure to comply with such a requirement, considers—

(a) that there has been a serious failure by the relevant authorising body to discharge its regulatory functions, or

(b) if such a requirement has been imposed on the body on more than one occasion, that the relevant authorising body has persistently failed adequately to discharge its regulatory functions,

the ombudsman may make a report to that effect to the Board.

Co-operation with investigations

144

(1) Scheme rules must make provision requiring persons within subsection (3) to disclose to an approved regulator information of such description as may be specified in the rules, in such circumstances as may be so specified.

(2) The regulatory arrangements of an approved regulator must make provision requiring the approved regulator to disclose to persons within subsection (3) information of such description as may be specified in the arrangements, in such circumstances as may be so specified.

(3) The persons are—

(a) the OLC;

(b) an ombudsman;

(4) Provision made under subsection (1) or (2) must satisfy such requirements as the Board may, from time to time, specify.

(5) In specifying requirements under subsection (4) the Board must have regard to the need to ensure that, so far as reasonably practicable—

(a) duplication of investigations is avoided;

(b) the OLC assists approved regulators to carry out their regulatory functions, and approved regulators assist with the investigation, consideration and determination of complaints under the ombudsman scheme.

(6) The Board must publish any requirements specified by it under subsection (4).

(7) The OLC must—

(a) before publishing under section 205(2) a draft of rules it proposes to make under subsection (1), consult each approved regulator to which the proposed rules apply, and

(b) when seeking the Board's consent to such rules under section 155, identify any objections made by an approved regulator to the rules and not withdrawn.

(8) An approved regulator must—

(a) consult the OLC before making provisions in its regulatory arrangements of the kind mentioned in subsection (2), and

(b) where an application is made for the Board's approval of such provisions, identify any objections made by the OLC to the provisions and not withdrawn.

(9) This section applies to the Board in its capacity as a licensing authority and licensing rules made by the Board as it applies to an approved regulator and its regulatory arrangements; and for this purpose the reference in subsection (5)(b) to “regulatory functions” is to be read as a reference to the Board's functions under its licensing rules.

Duties of authorised persons to co-operate with investigations

145

(1) The regulatory arrangements of an approved regulator, and licensing rules made by the Board in its capacity as a licensing authority, must make—

(a) provision requiring each relevant authorised person to give ombudsmen all such assistance requested by them, in connection with the investigation, consideration or determination of complaints under the ombudsman scheme, as that person is reasonably able to give, and

(b) provision for the enforcement of that requirement.

(2) The provision made for the purposes of subsection (1) must satisfy such requirements as the Board may, from time to time, specify for the purposes of that subsection.

(3) The Board must publish any requirements specified by it under subsection (2).

(4) In this section “relevant authorised person”—

(a) in relation to an approved regulator, has the same meaning as in section 112, and

(b) in relation to the Board in its capacity as a licensing authority, means a person licensed by the Board under Part 5.

Reporting failures to co-operate with an investigation to approved regulators

146

(1) This section applies where an ombudsman is of the opinion that an authorised person has failed to give an ombudsman all such assistance requested by the ombudsman, in connection with the investigation, consideration or determination of a complaint under the ombudsman scheme, as that person is reasonably able to give.

(2) The ombudsman must give each relevant authorising body, in relation to that person, a report which—

(a) states that the ombudsman is of that opinion, and

(b) gives details of the failure.

(3) A report under subsection (2) may require the relevant authorising body to report to the ombudsman the action which has been or is to be taken by it in response to the report under that subsection and the reasons for that action being taken.

(4) The duty imposed by subsection (2) is not affected by the withdrawal or abandonment of the complaint.

(5) If an ombudsman, having regard to any report produced by the relevant authorising body in compliance with a requirement imposed under subsection (3), or any failure to comply with such a requirement, considers—

(a) that there has been a serious failure by the relevant authorising body to discharge its regulatory functions, or

(b) if such a requirement has been imposed on the body on more than one occasion, that the relevant authorising body has persistently failed adequately to discharge its regulatory functions,

the ombudsman may make a report to that effect to the Board.

(6) In this section “authorised person” means an authorised person in relation to any activity which is a reserved legal activity.

Information

Information and documents

147

(1) An ombudsman may, by notice, require a party to a complaint under the ombudsman scheme—

(a) to produce documents, or documents of a description, specified in the notice, or

(b) to provide information, or information of a description, specified in the notice.

(2) A notice under subsection (1) may require the information or documents to be provided or produced—

(a) before the end of such reasonable period as may be specified in the notice, and

(b) in the case of information, in such manner or form as may be so specified.

(3) This section applies only to information and documents the provision or production of which the ombudsman considers necessary for the determination of the complaint.

(4) An ombudsman may—

(a) take copies of or extracts from a document produced under this section, and

(b) require the person producing the document to provide an explanation of it.

(5) If a person who is required under this section to produce a document fails to do so, an ombudsman may require that person to state, to the best of that person's knowledge and belief, where the document is.

(6) No person may be required under this section—

(a) to provide any information which that person could not be compelled to provide or give in evidence in civil proceedings before the High Court, or

(b) to produce any document which that person could not be compelled to produce in such proceedings.

(7) In this section “party”, in relation to a complaint, means—

(a) the complainant;

(b) the respondent;

Reporting failures to provide information or produce documents

148

(1) This section applies where an ombudsman is of the opinion that an authorised person has failed to comply with a requirement imposed under section 147(1).

(2) The ombudsman must give each relevant authorising body, in relation to that person, a report which—

(a) states that the ombudsman is of that opinion, and

(b) gives details of the failure.

(3) A report under subsection (2) may require the relevant authorising body to report to the ombudsman the action which has been or is to be taken by it in response to the report under that subsection and the reasons for that action being taken.

(4) The duty imposed by subsection (2) is not affected by the withdrawal or abandonment of the complaint in relation to which the requirement was imposed under section 147(1).

(5) If an ombudsman, having regard to any report produced by the relevant authorising body in compliance with a requirement imposed under subsection (3), or any failure to comply with such a requirement, considers—

(a) that there has been a serious failure by the relevant authorising body to discharge its regulatory functions, or

(b) if such a requirement has been imposed on the body on more than one occasion, that the relevant authorising body has persistently failed adequately to discharge its regulatory functions,

the ombudsman may make a report to that effect to the Board.

(6) In this section “authorised person” means an authorised person in relation to any activity which is a reserved legal activity.

Enforcement of requirements to provide information or produce documents

149

(1) This section applies where an ombudsman is of the opinion that a person (“the defaulter”) has failed to comply with a requirement imposed under section 147(1).

(2) The ombudsman may certify the defaulter's failure to comply with the requirement to the court.

(3) Where an ombudsman certifies a failure to the court under subsection (2), the court may enquire into the case.

(4) If the court is satisfied that the defaulter has failed without reasonable excuse to comply with the requirement, it may deal with—

(a) the defaulter, and

(b) in the case of a body, any manager of the body,

as if that person were in contempt.

(5) Subsection (6) applies in a case where the defaulter is an authorised person in relation to any activity which is a reserved legal activity.

(6) The ombudsman (“the enforcing ombudsman”) may not certify the defaulter's failure to the court until a report by that or another ombudsman has been made as required by section 148(2) and the enforcing ombudsman is satisfied—

(a) that each relevant authorising body to whom such a report was made has been given a reasonable opportunity to take action in respect of the defaulter's failure, and

(b) that the defaulter has continued to fail to provide the information or produce the documents to which the requirement under section 147 related.

(7) In this section “court” means the High Court.

Reports of investigations

150

(1) The OLC may, if it considers it appropriate to do so in any particular case, publish a report of the investigation, consideration and determination of a complaint made under the ombudsman scheme.

(2) A report under subsection (1) must not (unless the complainant consents)—

(a) mention the name of the complainant, or

(b) include any particulars which, in the opinion of the OLC, are likely to identify the complainant.

Restricted information

151

(1) Except as provided by section 152, restricted information must not be disclosed—

(a) by a restricted person, or

(b) by any person who receives the information directly or indirectly from a restricted person.

(2) In this section and section 152—

“restricted information” means information (other than excluded information) which is obtained by a restricted person in the course of, or for the purposes of, an investigation into a complaint made under the ombudsman scheme (including information obtained for the purposes of deciding whether to begin such an investigation or in connection with the settlement of a complaint);

“restricted person” means—the OLC,an ombudsman, ora person who exercises functions delegated under paragraph 22 of Schedule 15.

(3) For the purposes of subsection (2) “excluded information” means—

(a) information which is in the form of a summary or collection of information so framed as not to enable information relating to any particular person to be ascertained from it;

(b) information which at the time of the disclosure is or has already been made available to the public from other sources;

Disclosure of restricted information

152

(1) A restricted person may disclose restricted information to another restricted person.

(2) Restricted information may be disclosed for the purposes of the investigation in the course of which, or for the purposes of which, it was obtained.

(3) Section 151 also does not preclude the disclosure of restricted information—

(a) in a report made under—

(i) section 143(2) (report of possible misconduct to approved regulators),

(ii) section 146(2) (report of failure to co-operate with investigation),

(iii) section 148 (reporting failures to provide information or produce documents), or

(iv) section 150 (reports of investigations),

(b) for the purposes of enabling or assisting the Board to exercise any of its functions,

(c) to an approved regulator for the purposes of enabling or assisting the approved regulator to exercise any of its regulatory functions,

(d) with the consent of the person to whom it relates and (if different) the person from whom the restricted person obtained it,

(e) for the purposes of an inquiry with a view to the taking of any criminal proceedings or for the purposes of any such proceedings,

(f) where the disclosure is required by or by virtue of any provision made by or under this Act or any other enactment or other rule of law,

(g) to such persons (other than approved regulators) who exercise regulatory functions as may be prescribed by order made by the Lord Chancellor, for such purposes as may be so prescribed.

(4) Subsections (2) and (3) are subject to subsection (5).

(5) The Lord Chancellor may by order prevent the disclosure of restricted information by virtue of subsection (2) or (3) in such circumstances, or for such purposes, as may be prescribed in the order.

Data protection

153

In section 31 of the Data Protection Act 1998 (c. 29) (regulatory activity), after subsection (4B) (inserted by section 170) insert—

(4C) Personal data processed for the purposes of the function of considering a complaint under the scheme established under Part 6 of the Legal Services Act 2007 (legal complaints) are exempt from the subject information provisions in any case to the extent to which the application of those provisions to the data would be likely to prejudice the proper discharge of the function.

Defamation

Protection from defamation claims

154

For the purposes of the law of defamation—

(a) proceedings in relation to a complaint under the ombudsman scheme are to be treated as if they were proceedings before a court, and

(b) the publication of any matter by the OLC under this Part is absolutely privileged.

Scheme rules

155

(1) Before making scheme rules under any provision of this Part, the OLC must obtain—

(a) the consent of the Board, and

(b) in the case of rules under section 136 (charges payable by respondents), the consent of the Lord Chancellor.

(2) In subsection (1) the reference to making rules includes a reference to modifying rules.

The Board’s powers in respect of rules

156

(1) The Board may direct the OLC to take such steps as are necessary—

(a) to modify its scheme rules in accordance with such general requirements as are specified in the direction, or

(b) to make a specified modification to its scheme rules.

(2) Before giving a direction under subsection (1)(b), the Board must—

(a) give the OLC a notice giving details of the proposed modification and containing a statement that representations about the proposal may be made to the Board within a period specified in the notice,

(b) publish a copy of that notice, and

(3) The following provisions do not apply in relation to any modification made by the OLC to its rules in compliance with a direction under subsection (1)(b)—

(a) section 155(1)(a) (requirement to obtain the Board's consent to rules);

(b) section 205 (requirement to consult before making rules).

(4) Where the Board revokes a direction, it must—

(a) give the OLC notice of the revocation, and

(b) publish that notice.

Effect on existing arrangements for redress etc

Approved regulators not to make provision for redress

157

(1) The regulatory arrangements of an approved regulator must not include any provision relating to redress.

(2) If at the time this subsection comes into force the regulatory arrangements of an approved regulator contravene subsection (1), any provision relating to redress included in those regulatory arrangements ceases to have effect at that time, subject to subsection (3).

(3) An order under section 211 which appoints a day for the coming into force of subsection (2) may include transitional provision in respect of any proceedings which, immediately before that day are awaiting determination under any provision relating to redress made by an approved regulator.

This subsection is without prejudice to any other transitional provision which may be made by or under this Act.

(4) For the purposes of this section “provision relating to redress” means any provision made in regulatory arrangements (whether it is statutory or non-statutory) for redress in respect of acts or omissions of authorised persons and any provision connected with such provision.

(5) Nothing in this section prevents an approved regulator making—

(a) provision in its regulatory arrangements of the kind required by section 112 (requirement for authorised persons to have complaints procedures etc),

(b) indemnification arrangements or compensation arrangements, or

(6) In subsection (4) “authorised person” means an authorised person in relation to any activity which is a reserved legal activity.

(7) This section applies to licensing rules made by the Board in its capacity as a licensing authority as it applies in relation to the regulatory arrangements of an approved regulator.

Regulatory arrangements not prohibited by section 157

158

(1) Section 157 does not prohibit the regulatory arrangements of an approved regulator from making provision requiring, or authorising the approved regulator to require, a relevant authorised person—

(a) to investigate whether there are any persons who may have a claim against the relevant authorised person in relation to a matter specified by the approved regulator;

(b) to provide the approved regulator with a report on the outcome of the investigation;

(d) to notify affected persons that they may have such a claim;

(e) to provide affected persons with information about the relevant authorised person's complaints procedures and the ombudsman scheme;

(f) to ensure that the relevant authorised person's complaints procedures operate as if an affected person had made a complaint against the relevant authorised person in respect of the act or omission to which the claim relates.

(2) For the purposes of subsection (1) “claim”, in relation to a relevant authorised person, means a claim for redress resulting from an act or omission of that person.

(3) For the purposes of this section—

(a) “relevant authorised person”, in relation to an approved regulator, means a person authorised by that approved regulator to carry on an activity which is a reserved legal activity, and

(b) a relevant authorised person's complaints procedures are the procedures established by that person, or which that person participates in or is subject to, in accordance with regulatory arrangements made in accordance with section 112.

(4) This section applies in relation to the Board in its capacity as a licensing authority as it applies in relation to an approved regulator, and in relation to the Board references to regulatory arrangements are to be read as references to the Board's licensing rules.

Legal Services Complaints Commissioner and Legal Services Ombudsman

159

(1) The offices of Legal Services Complaints Commissioner and Legal Services Ombudsman are abolished.

(2) Accordingly—

(a) sections 51 and 52 of, and Schedule 8 to, the Access to Justice Act 1999 (c. 22), and

(b) sections 21 to 26 of, and Schedule 3 to, the Courts and Legal Services Act 1990 (c. 41),

are repealed.

Interpretation

Interpretation of Part 6

160

In this Part—

“complainant”, in relation to a complaint, means the person who makes the complaint;

“relevant authorising body”, in relation to a person, means—an approved regulator by which the person is authorised to carry on an activity which is a reserved legal activity, orwhere the person is authorised to carry on such an activity by the Board in its capacity as a licensing authority, the Board;

“respondent”, in relation to a complaint, is to be construed in accordance with section 125 (except that, where scheme rules of the kind mentioned in section 133(3)(c) have effect, references to the “respondent” include a person treated as a co-respondent under those rules).

Claims management services

Extension of Part 6 to claims management services

161

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Part 7 — Further provisions relating to the Board and the OLC

Guidance

162

(1) The Board may give guidance—

(a) about the operation of this Act and of any order made under it;

(b) about the operation of any rules made by the Board under this Act;

(d) for the purpose of meeting the regulatory objectives;

(e) about the content of licensing rules;

(f) about any other matters about which it appears to the Board to be desirable to give guidance.

(2) Guidance under this section may consist of such information and advice as the Board considers appropriate.

(3) The Board may give financial or other assistance to persons giving information or advice of a kind which the Board could give under this section.

(4) The Board may—

(a) publish its guidance,

(b) offer copies of its published guidance for sale at a reasonable price, and

(5) When exercising its functions, the Board may have regard to the extent to which an approved regulator has complied with any guidance issued under this section which is applicable to the approved regulator.

(6) When exercising its functions—

(a) in its capacity as an approved regulator by virtue of an order under section 62(1)(a), or

(b) in its capacity as a licensing authority under Part 5,

the Board must have regard to any guidance it has issued under this section.

Voluntary arrangements

163

(1) The Board may enter into arrangements with any person under which the Board is to provide assistance for the purpose of improving standards of service and promoting best practice in connection with the carrying on of any legal activity.

(2) These arrangements may (among other things) provide for the Board to give advice on—

(a) the best regulatory practice, or

(b) the contents of codes of practice or other voluntary arrangements.

(3) Arrangements under this section may include provision as to the terms on which assistance is to be provided by the Board (including provision as to payment).

(4) Where the Board enters into arrangements under this section, it must publish a statement giving details of the arrangements and explaining what they are intended to achieve.

Power to establish voluntary scheme for resolving complaints

164

(1) This section and section 166 provide for a scheme under which legal services complaints may be resolved quickly and with minimum formality by an independent person.

(2) The OLC may make rules (“voluntary scheme rules”) establishing such a scheme (“the voluntary scheme”), but only in relation to such kinds of legal services complaints as may be specified by order made by the Lord Chancellor for the purposes of this section.

(3) An order under subsection (2) may in particular specify a kind of legal services complaint by reference to the description of the complainant, of the respondent, or of the legal services to which the complaint relates.

(4) “Legal services complaint” means a complaint which relates to an act or omission of an eligible person (“the respondent”) in the course of that person providing legal services.

(5) For that purpose a person is eligible if at the time the act or omission took place there was no activity in relation to which the person—

(a) was an authorised person, or

(b) is to be regarded as having been such a person by virtue of section 129.

(6) Under the voluntary scheme—

(a) redress may be provided to the complainant, but

(b) no disciplinary action may be taken against the respondent.

(7) Voluntary scheme rules may confer functions on ombudsmen for the purposes of the voluntary scheme.

(8) Section 131 applies for the purposes of the voluntary scheme as it applies for the purposes of the ombudsman scheme.

(9) Sections 155 and 156 apply in relation to voluntary scheme rules as they apply in relation to scheme rules.

(10) In this section—

“legal services” means services provided by a person which consist of or include legal activities carried on by, or on behalf of, that person;

“the voluntary scheme” and “voluntary scheme rules” have the meaning given by subsection (2).

Procedure for making orders under section 164

165

(1) The Lord Chancellor may make an order under section 164(2) only on the recommendation of an interested body.

(2) An interested body must, if requested to do so by the Lord Chancellor, consider whether or not it is appropriate to make a recommendation for such an order.

(3) An interested body must, before making a recommendation for such an order—

(a) publish a draft of the proposed recommendation,

(b) invite representations regarding the proposed recommendation, and

(4) Where the Lord Chancellor receives a recommendation from an interested body for an order under section 164(2), the Lord Chancellor must consider whether to follow the recommendation.

(5) If the Lord Chancellor decides not to follow the recommendation, the Lord Chancellor must publish a notice to that effect which includes the Lord Chancellor's reasons for the decision.

(6) In this section “interested body” means—

(a) the OLC,

(b) the Board, or

Operation of voluntary scheme

166

(1) A complaint may be determined under the voluntary scheme only if—

(a) the complainant falls within a class of persons specified in voluntary scheme rules as qualified to make a complaint,

(b) the complainant wishes to have the complaint dealt with under the scheme,

(c) at the time of the act or omission to which the complaint relates, the respondent was participating in the scheme and voluntary scheme rules were in force in relation to the legal services in question, and

(d) at the time the complaint is made under the scheme the respondent has not withdrawn from the scheme in accordance with its provisions.

(2) A person qualifies for participation in the voluntary scheme if the person falls within a class of persons specified as qualified in voluntary scheme rules.

(3) In such circumstances as may be specified in voluntary scheme rules, a complaint may be dealt with under the voluntary scheme even though subsection (1)(c) would otherwise prevent that.

(4) Subsection (3) applies only if the respondent participates in the voluntary scheme on the basis that complaints of that kind are to be dealt with under the scheme.

(5) Complaints are to be dealt with and determined under the voluntary scheme on standard terms fixed by the OLC with the consent of the Board.

(6) The OLC may modify standard terms only with the consent of the Board.

(7) Section 204(3) applies to standard terms as it applies to rules made by the OLC.

(8) The standard terms may in particular make provision—

(a) requiring the making of payments to the OLC by persons participating in the scheme of such amounts, at such times and in such circumstances, as may be determined by the OLC;

(b) as to the award of costs on the determination of a complaint (including provision for an award of costs in favour of the OLC for the purpose of providing a contribution to resources deployed in dealing with the complaint).

(9) In this section “legal services”, “the voluntary scheme” and “voluntary scheme rules” have the same meaning as in section 164.

Disclosure and use of information

Restricted information

167

(1) Except as provided by section 168, restricted information must not be disclosed—

(a) by a restricted person, or

(b) by any person who receives the information directly or indirectly from a restricted person.

(2) In this section and section 168—

“restricted information” means information (other than excluded information) which is obtained by the Board in the exercise of its functions;

“restricted person” means—the Board (including the Board in its capacity as an approved regulator or a licensing authority),a person who exercises functions delegated under paragraph 23 of Schedule 1 or section 73 or by virtue of section 64(2)(k).

(3) For the purposes of subsection (2) “excluded information” means—

(a) information which is in the form of a summary or collection of information so framed as not to enable information relating to any particular person to be ascertained from it;

(b) information which at the time of the disclosure is or has already been made available to the public from other sources;

Disclosure of restricted information

168

(1) A restricted person may disclose restricted information to another restricted person.

(2) Restricted information may be disclosed for the purposes of enabling or assisting the Board to exercise its functions (whether as an approved regulator, a licensing authority or otherwise).

(3) Section 167 also does not preclude the disclosure of restricted information—

(a) where the disclosure is a result of the Board exercising any power to publish information under this Act;

(b) for the purposes of enabling or assisting the OLC, ombudsmen or persons who exercise functions delegated under paragraph 22 of Schedule 15, to exercise any of its or their functions,

(c) to an approved regulator for the purposes of enabling or assisting the approved regulator to exercise any of its functions,

(d) with the consent of the person to whom it relates and (if different) the person from whom the restricted person obtained it,

(e) for the purposes of an inquiry with a view to the taking of any criminal proceedings or for the purposes of any such proceedings,

(f) where the disclosure is required by or by virtue of any provision made by or under this Act or any other enactment or other rule of law, or

(g) to such persons (other than approved regulators) who exercise regulatory functions as may be prescribed by order made by the Lord Chancellor, for such purposes as may be so prescribed.

(4) Subsections (2) and (3) are subject to subsection (5).

(5) The Lord Chancellor may by order prevent the disclosure of restricted information by virtue of subsection (2) or (3) in such circumstances, or for such purposes, as may be prescribed in the order.

Disclosure of information to the Board

169

(1) Information which is held by or on behalf of a permitted person (whether obtained before or after this section comes into force) may be disclosed to the Board for the purposes of enabling or assisting the Board to exercise its functions (whether as an approved regulator, a licensing authority or otherwise).

(2) A disclosure under this section is not to be taken to breach any restriction on the disclosure of information (however imposed).

(3) But nothing in this section authorises the making of a disclosure—

(a) which contravenes the data protection legislation, or

(b) which is prohibited by any of Parts 1 to 7 or Chapter 1 of Part 9 of the Investigatory Powers Act 2016.

(4) This section does not affect a power to disclose which exists apart from this section.

(5) The following are permitted persons—

(a) a chief officer of police of a police force in England and Wales;

(b) the chief constable of the Police Service of Scotland;

(d) the Director General of the National Crime Agency;

(e) the Commissioners for Her Majesty's Revenue and Customs;

(f) the Financial Conduct Authority;

(g) the Prudential Regulation Authority;

(h) the Bank of England.

(6) The Lord Chancellor may by order designate as permitted persons other persons who exercise functions which the Lord Chancellor considers are of a public nature (including a person discharging regulatory functions in relation to any description of activities).

(7) Information must not be disclosed under this section on behalf of the Commissioners for Her Majesty's Revenue and Customs unless the Commissioners authorise the disclosure.

(8) The power to authorise a disclosure under subsection (7) may be delegated (either generally or for a specific purpose) to an officer of Revenue and Customs.

(9) In this section, “the data protection legislation” has the same meaning as in the Data Protection Act 2018 (see section 3 of that Act).

Data protection

170

In section 31 of the Data Protection Act 1998 (c. 29) (regulatory activity), after subsection (4A) insert—

(4B) Personal data processed for the purposes of discharging any function of the Legal Services Board are exempt from the subject information provisions in any case to the extent to which the application of those provisions to the data would be likely to prejudice the proper discharge of the function.

Use of information

171

Information obtained by the Board (whether in its capacity as an approved regulator or licensing authority or otherwise) may be used by the Board for the purposes of, or for any purpose connected with or incidental to, the exercise of its functions.

Payments by Lord Chancellor

Funding

172

(1) The Lord Chancellor may—

(a) pay to the Board such sums as the Lord Chancellor may determine as appropriate for the purpose of meeting the expenditure of the Board incurred under or for the purposes of this Act or any other enactment (including any expenditure incurred by it in its capacity as an approved regulator or its capacity as a licensing authority), and

(b) pay to the OLC such sums as the Lord Chancellor may determine as appropriate for the purposes of meeting the expenditure of the OLC incurred under or for the purposes of this Act.

(2) The Lord Chancellor may—

(a) determine the manner in which and times at which the sums mentioned in subsection (1) are to be paid, and

(b) impose conditions on the payment of those sums.

The levy

173

(1) The Board must make rules providing for the imposition of a levy on leviable bodies for the purpose of raising an amount corresponding to the aggregate of—

(a) the leviable Board expenditure,

(b) the leviable OLC expenditure, and

(2) A levy imposed under this section is payable to the Board.

(3) Before making rules under this section, the Board must satisfy itself that the apportionment of the levy as between different leviable bodies will be in accordance with fair principles.

(4) The Board may not make rules under this section except with the consent of the Lord Chancellor.

(5) “Leviable body” means—

(a) an approved regulator,

(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6) The “leviable Board expenditure” means the difference between—

(a) the expenditure of the Board incurred under or for the purposes of this Act or any other enactment (including any expenditure incurred in connection with its establishment and any expenditure incurred by it in its capacity as an approved regulator or its capacity as a licensing authority), and

(b) the aggregate of the amounts which the Board pays into the Consolidated Fund under section 175(1)(a), (c) to (e) and (k) to (m) ....

(7) The “leviable OLC expenditure” means the difference between—

(a) the expenditure of the OLC incurred under or for the purposes of this Act (including any expenditure incurred in connection with its establishment), and

(b) the aggregate of the amounts which the OLC pays into the Consolidated Fund under section 175(1)(g), (h) or (n).

(8) But subsection (7)(a) does not include such proportion of the expenditure of the OLC incurred under or for the purposes of this Act as may reasonably be attributed to the exercise of its functions under sections 164 to 166.

(9) The “leviable Lord Chancellor expenditure” means any expenditure incurred by the Lord Chancellor in connection with the establishment of the Board or the OLC (including expenditure incurred under or for the purposes of paragraph 10 of Schedule 22 (Interim Chief Executive of the OLC)).

(10) But the leviable Lord Chancellor expenditure does not include any expenditure under section 172 (funding of Board and OLC).

(11) In subsection (5) the reference to “an approved regulator” does not include the Board where it is designated as an approved regulator under section 62.

The levy: supplementary provisions

174

(1) In this section—

“leviable body” has the meaning given by section 173;

“the levy” means the levy payable by virtue of that section;

“the levy rules” means the rules made in accordance with that section.

(2) The levy is to be payable at such rate and at such times as may be specified in the levy rules.

(3) The provision made in the levy rules for determining the amount of the levy payable in respect of a particular period—

(a) may require account to be taken of estimated as well as actual expenditure and receipts, and

(b) must require the Board to obtain the Lord Chancellor's agreement to the amount payable in respect of a particular period.

(4) The levy rules may provide for different parts of the levy to be payable at different rates.

(5) Any amount which is owed to the Board in accordance with the levy rules may be recovered as a debt due to the Board.

(6) The levy rules must require the Board—

(a) to calculate the amount of the levy payable by each leviable body,

(b) to notify each leviable body of its liability to pay an amount of levy and the time or times at which it becomes payable.

(7) Without prejudice to subsections (2) to (6), the levy rules may—

(a) make provision about the collection and recovery of the levy;

(b) make provision about the circumstances in which any amount of the levy payable may be waived;

(c) provide that if the whole or any part of an amount of the levy payable under the levy rules is not paid by the time when it is required to be paid under the rules, the unpaid balance from time to time carries interest at the rate determined by or in accordance with the levy rules.

Payments into the Consolidated Fund

Amounts payable into the Consolidated Fund

175

(1) The following must be paid into the Consolidated Fund—

(a) any application fee received by the Board;

(b) any sum received by the Board under sections 37 to 40 (financial penalties and interest);

(d) any sums received by the Board in its capacity as an approved regulator by virtue of rules within section 64(2)(f) (practising fees etc);

(e) any sums received by the Board in its capacity as a licensing authority by virtue of its licensing rules within paragraph 1, 4, 6, 7 or 21 of Schedule 11 or by virtue of paragraph 17 or 18 of Schedule 14;

(f) any sums received by the Board in its capacity as a licensing authority under sections 95 to 97 (financial penalties and interest);

(g) any charges received by the OLC by virtue of rules under section 136 (charges payable by respondents), together with any interest payable in accordance with those rules;

(h) any amount payable to the OLC in accordance with scheme rules within subsection (3)(i) of section 133 (costs of OLC payable by the complainant or the respondent in relation to a complaint), together with any interest payable on such an amount under subsection (6) of that section;

(i) any amount payable to the OLC by virtue of standard terms within section 166(8);

(j) any sum received by the Board in accordance with rules under section 173 (the levy);

(k) amounts paid to the Board under section 162(4)(c) (charges for providing copies of guidance);

(l) any amount payable to the Board under arrangements entered into under section 163 (voluntary arrangements);

(m) amounts paid to the Board under subsection (8) of section 205 (charges for providing copies of rules and draft rules);

(n) amounts paid to the OLC under that subsection.

(2) In this section “application fee” means a fee within—

(a) paragraph 3(3)(d) of Schedule 4 (application fees in respect of designation as approved regulator);

(b) section 45(3)(b) (application fees in respect of cancellation of designation as approved regulator);

(d) section 76(3)(b) (application fees in respect of cancellation of designation as licensing authority);

(e) paragraph 3(4)(c) of Schedule 18 (application fees in respect of designation as qualifying regulator for the purposes of Part 5 of the Immigration and Asylum Act 1999 (c. 33)).

Part 8 — Miscellaneous provisions about lawyers etc

Duties of regulated persons

176

(1) A person who is a regulated person in relation to an approved regulator has a duty to comply with the regulatory arrangements of the approved regulator as they apply to that person.

(2) A person is a regulated person in relation to an approved regulator if the person—

(a) is authorised by the approved regulator to carry on an activity which is a reserved legal activity, or

(b) is not so authorised, but is a manager or employee of a person who is so authorised.

(3) This section applies in relation to the Board in its capacity as a licensing authority and its licensing rules, as it applies in relation to an approved regulator and its regulatory arrangements.

Solicitors, the Law Society and the Disciplinary Tribunal

The Law Society, solicitors, recognised bodies and foreign lawyers

177

Schedule 16 contains amendments of—

(a) the Solicitors Act 1974 (c. 47),

(b) Part 1 of the Administration of Justice Act 1985 (c. 61) (recognised bodies), and

(c) section 89 of, and Schedule 14 to, the Courts and Legal Services Act 1990 (c. 41) (foreign lawyers: partnerships and recognised bodies).

The Solicitors Disciplinary Tribunal: approval of rules

178

(1) If the Solicitors Disciplinary Tribunal (“the Tribunal”) makes an alteration of its rules under section 46(9)(b) of the Solicitors Act 1974 (“the tribunal rules”), 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 the Board under Part 3 of Schedule 4 (alteration of approved regulator's regulatory arrangements),

(b) it is an exempt alteration, or

(3) For the purposes of subsection (2)(a), paragraphs 20 to 27 of Schedule 4 (procedure for approval of alterations of regulatory arrangements) apply in relation to an application by the Tribunal for approval of an alteration or alterations of the tribunal rules as they apply in relation to an application by an approved regulator for approval of an alteration or alterations of its regulatory arrangements, but as if—

(a) paragraph 23 of that Schedule applied in relation to the Law Society as well as the Tribunal,

(b) in paragraph 25(3) (grounds for refusal of application), paragraphs (d) and (e) were omitted, and

(c) in paragraph 27(3) the reference to section 32 were a reference to that section as applied (with modifications) by section 179.

(4) For the purposes of subsection (2)(b), an exempt alteration is an alteration which the Board has directed is to be treated as exempt for the purposes of this section.

(5) A direction under subsection (4) may be specific or general, and must be published by the Board.

(6) In this section references to an “alteration” of the tribunal rules include the making of such rules and the modification of such rules.

Board’s power to give directions to the Tribunal

179

Sections 32 to 34 and Schedule 7 (Board's powers to give directions) apply in relation to the Tribunal as they apply in relation to an approved regulator, but as if—

(a) in section 32(1)—

(i) paragraphs (a) and (c) were omitted, and

(ii) in paragraph (b) after “failed” there were inserted “ to perform any of its functions to an adequate standard (or at all) or ”,

(b) in subsection (4)(b) of that section for “regulatory arrangements” there were substituted “ rules under section 46(9)(b) of the Solicitors Act 1974 ”,

(d) paragraphs 2 and 10 of Schedule 7 applied in relation to the Law Society, as well as the Tribunal, where it is proposed to give the Tribunal a direction under section 32.

Functions of the Tribunal

180

Sections 69 and 70 (modification of functions of approved regulators) apply in relation to the Tribunal as they apply in relation to an approved regulator, but as if—

(a) for section 69(3) (purpose for which modifying order may be made) there were substituted—

(3) The Board may make a recommendation under this section only with a view to an order being made which enables the Tribunal to carry out its role more effectively or efficiently.

, and

(b) subsections (4), (5) and (7) of that section were omitted.

Other lawyers

Unqualified person not to pretend to be a barrister

181

(1) It is an offence for a person who is not a barrister—

(a) wilfully to pretend to be a barrister, or

(b) with the intention of implying falsely that that person is a barrister to take or use any name, title or description.

(2) A person who is guilty of an offence under subsection (1) is liable—

(a) on summary conviction, to imprisonment for a term not exceeding the general limit in a magistrates’ court or a fine not exceeding the statutory maximum (or both), and

(b) on conviction on indictment, to imprisonment for a term not exceeding 2 years or a fine (or both).

(3) In relation to an offence under subsection (1) committed before 2 May 2022, the reference in subsection (2)(a) to the general limit in a magistrates’ court is to be read as a reference to 6 months.

Licensed conveyancers

182

Schedule 17 contains amendments relating to the Council for Licensed Conveyancers, licensed conveyancers and bodies recognised under section 32 of the Administration of Justice Act 1985 (c. 61).

Commissioners for oaths

183

(1) For the purposes of any enactment or instrument (including an enactment passed or instrument made after the passing of this Act) “commissioner for oaths” includes an authorised person in relation to the administration of oaths (“a relevant authorised person”).

(2) A relevant authorised person has the right to use the title “Commissioner for Oaths”.

(3) A relevant authorised person may not carry on the administration of oaths in any proceedings in which that person represents any of the parties or is interested.

(4) A relevant authorised person before whom an oath or affidavit is taken or made must state in the jurat or attestation at which place and on what date the oath or affidavit is taken or made.

(5) A document containing such a statement and purporting to be sealed or signed by a relevant authorised person must be admitted in evidence without proof of the seal or signature, and without proof that that person is a relevant authorised person.

(6) The Lord Chancellor may by order prescribe the fees to be charged by relevant authorised persons in respect of the administration of an oath or the taking of an affidavit.

(7) The Lord Chancellor may make an order under subsection (6) only—

(a) after consultation with the Board, and

(b) with the consent of the Lord Chief Justice and the Master of the Rolls.

(8) In this section “affidavit” has the same meaning as in the Commissioners for Oaths Act 1889 (c. 10).

Trade mark attorneys

184

(1) The Trade Marks Act 1994 (c. 26) is amended as follows.

(2) In section 82 (recognition of agents) after “rules” insert “ and subject to the Legal Services Act 2007 ”.

(3) For section 83 (the register of trade mark agents) substitute—

(83) (1) There is to continue to be a register of persons who act as agent for others for the purpose of applying for or obtaining the registration of trade marks. (2) In this Act a registered trade mark attorney means an individual whose name is entered on the register kept under this section. (3) The register is to be kept by the Institute of Trade Mark Attorneys. (4) The Secretary of State may, by order, amend subsection (3) so as to require the register to be kept by the person specified in the order. (5) Before making an order under subsection (4), the Secretary of State must consult the Legal Services Board. (6) An order under this section must be made by statutory instrument. (7) An order under this section may not be made unless a draft of it has been laid before, and approved by a resolution of, each House of Parliament. (83A) (1) The person who keeps the register under section 83 may make regulations which regulate— (a) the keeping of the register and the registration of persons; (b) the carrying on of trade mark agency work by registered persons. (2) Those regulations may, amongst other things, make— (a) provision as to the educational and training qualifications, and other requirements, which must be satisfied before an individual may be registered or for an individual to remain registered; (b) provision as to the requirements which must be met by a body (corporate or unincorporate) before it may be registered or for it to remain registered, including provision as to the management and control of the body; (c) provision as to the educational, training or other requirements to be met by regulated persons; (d) provision regulating the practice, conduct and discipline of registered persons or regulated persons; (e) provision authorising in such cases as may be specified in the regulations the erasure from the register of the name of any person registered in it, or the suspension of a person's registration; (f) provision requiring the payment of such fees as may be specified in or determined in accordance with the regulations; (g) provision about the provision to be made by registered persons in respect of complaints made against them; (h) provision about the keeping of records and accounts by registered persons or regulated persons; (i) provision for reviews of or appeals against decisions made under the regulations; (j) provision as to the indemnification of registered persons or regulated persons against losses arising from claims in respect of civil liability incurred by them. (3) Regulations under this section may make different provision for different purposes. (4) Regulations under this section which are not regulatory arrangements within the meaning of the Legal Services Act 2007 are to be treated as such arrangements for the purposes of that Act. (5) Before the appointed day, regulations under this section may be made only with the approval of the Secretary of State. (6) The powers conferred to make regulations under this section are not to be taken to prejudice— (a) any other power which the person who keeps the register may have to make rules or regulations (however they may be described and whether they are made under an enactment or otherwise); (b) any rules or regulations made by that person under any such power. (7) In this section— - “appointed day” means the day appointed for the coming into force of paragraph 1 of Schedule 4 to the Legal Services Act 2007; - “manager”, in relation to a body, has the same meaning as in the Legal Services Act 2007 (see section 207); - “registered person” means— 1. a registered trade mark attorney, or 2. a body (corporate or unincorporate) registered in the register kept under section 83; - “regulated person” means a person who is not a registered person but is a manager or employee of a body which is a registered person; - “trade mark agency work” means work done in the course of carrying on the business of acting as agent for others for the purpose of— 1. applying for or obtaining the registration of trade marks in the United Kingdom or elsewhere , or 2. conducting proceedings before the Comptroller relating to applications for or otherwise in connection with the registration of trade marks.

(4) In section 84 (unregistered persons not to be described as registered trade mark agents)—

(a) in subsection (2)—

(i) after “partnership” (in the first place) insert “ or other unincorporated body ”, and

(ii) for “all the partners” to the end substitute “ the partnership or other body is registered in the register kept under section 83. ”, and

(b) in subsection (3) for “all the directors” to the end substitute “ the body corporate is registered in the register kept under section 83. ”

(5) Omit section 85 (power to prescribe conditions etc for mixed partnerships and bodies corporate).

(6) In section 87 (privilege for communications with registered trade mark attorneys), in subsection (3)(c) at the beginning insert “ any other unincorporated body or ”.

Patent attorneys

185

(2) In section 274 (persons permitted to carry on business of a patent agent) in subsection (1) after “this Part” insert “ and to the Legal Services Act 2007 ”.

(3) For section 275 (the register of patent agents) substitute—

(275) (1) There is to continue to be a register of persons who act as agent for others for the purpose of applying for or obtaining patents. (2) In this Part a registered patent attorney means an individual whose name is entered on the register kept under this section. (3) The register is to be kept by the Chartered Institute of Patent Attorneys. (4) The Secretary of State may, by order, amend subsection (3) so as to require the register to be kept by the person specified in the order. (5) Before making an order under subsection (4), the Secretary of State must consult the Legal Services Board. (6) An order under this section must be made by statutory instrument. (7) An order under this section may not be made unless a draft of it has been laid before, and approved by a resolution of, each House of Parliament. (275A) (1) The person who keeps the register under section 275 may make regulations which regulate— (a) the keeping of the register and the registration of persons; (b) the carrying on of patent attorney work by registered persons. (2) Those regulations may, amongst other things, make— (a) provision as to the educational and training qualifications, and other requirements, which must be satisfied before an individual may be registered or for an individual to remain registered; (b) provision as to the requirements which must be met by a body (corporate or unincorporate) before it may be registered, or for it to remain registered, including provision as to the management and control of the body; (c) provision as to the educational, training and other requirements to be met by regulated persons; (d) provision regulating the practice, conduct and discipline of registered persons or regulated persons; (e) provision authorising in such cases as may be specified in the regulations the erasure from the register of the name of any person registered in it, or the suspension of a person's registration; (f) provision requiring the payment of such fees as may be specified in or determined in accordance with the regulations; (g) provision about the provision to be made by registered persons in respect of complaints made against them; (h) provision about the keeping by registered persons or regulated persons of records and accounts; (i) provision for reviews of or appeals against decisions made under the regulations; (j) provision as to the indemnification of registered persons or regulated persons against losses arising from claims in respect of civil liability incurred by them. (3) Regulations under this section may make different provision for different purposes. (4) Regulations under this section which are not regulatory arrangements within the meaning of the Legal Services Act 2007 are to be treated as such arrangements for the purposes of that Act. (5) Before the appointed day, regulations under this section may be made only with the approval of the Secretary of State. (6) The powers conferred to make regulations under this section are not to be taken to prejudice— (a) any other power which the person who keeps the register may have to make rules or regulations (however they may be described and whether they are made under an enactment or otherwise); (b) any rules or regulations made by that person under any such power. (7) In this section— - “appointed day” means the day appointed for the coming into force of paragraph 1 of Schedule 4 to the Legal Services Act 2007; - “manager”, in relation to a body, has the same meaning as in the Legal Services Act 2007 (see section 207); - “patent attorney work” means work done in the course of carrying on the business of acting as agent for others for the purpose of— 1. applying for or obtaining patents, in the United Kingdom or elsewhere, or 2. conducting proceedings before the comptroller relating to applications for, or otherwise in connection with, patents; - “registered person” means— 1. a registered patent attorney, or 2. a body (corporate or unincorporate) registered in the register kept under section 275; - “regulated person” means a person who is not a registered person but is a manager or employee of a body which is a registered person.

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Legal Services Act 2007

Pre-commencement acts and omissions

129

Orders under section 128

130

Acts and omissions by employees etc

131

Continuity of complaints

132

Operation of the ombudsman scheme

133

Delegation of an ombudsman’s functions

134

Notification requirements

135

Charges payable by respondents

136

Determinations under the scheme

Determination of complaints

137

Limitation on value of directions under the ombudsman scheme

138

Alteration of limit

139

Acceptance or rejection of determination

140

Enforcement by complainant of directions under section 137

141

Reporting court orders made against authorised persons

142

Reporting misconduct

Reporting possible misconduct to approved regulators

143

Co-operation with investigations

Duties to share information

144

Duties of authorised persons to co-operate with investigations

145

Reporting failures to co-operate with an investigation to approved regulators

146

Information

Information and documents

147

Reporting failures to provide information or produce documents

148

Enforcement of requirements to provide information or produce documents

149

Reports of investigations

150

Restricted information

151

Disclosure of restricted information

152

Data protection

153

Defamation

Protection from defamation claims

154

Scheme rules

Consent requirements for rules

155

The Board’s powers in respect of rules

156

Effect on existing arrangements for redress etc

Approved regulators not to make provision for redress

157

Regulatory arrangements not prohibited by section 157

158

Legal Services Complaints Commissioner and Legal Services Ombudsman

159

Interpretation

Interpretation of Part 6

160

Claims management services

Extension of Part 6 to claims management services

161

Part 7 — Further provisions relating to the Board and the OLC

Guidance

Guidance

162