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

(2) The transmission has effect for the purposes of this Act as a delivery of the notice, direction or other document to the recipient, but only if the requirements imposed by or under this section are complied with.

(3) Where the recipient is the Board, the OLC or an ombudsman—

(a) the recipient must have indicated its willingness to receive the notice, direction or other document in a manner mentioned in subsection (1)(b),

(b) the transmission must be made in such manner, and satisfy such other conditions as the recipient may require, and

(4) Where the person making the transmission is the Board, the OLC or an ombudsman, that person may (subject to subsection (5)) determine—

(a) the manner in which the transmission is made, and

(b) the form in which the notice, direction or other document is transmitted.

(5) Where the recipient is a person other than the Board, the OLC or an ombudsman—

(a) the recipient, or

(b) the person on whose behalf the recipient receives the notice, direction or other document,

must have indicated to the person making the transmission the recipient's willingness to receive notices, directions or other documents transmitted in the form and manner used.

(6) An indication to any person for the purposes of subsection (5)—

(a) must be given to that person in such manner as that person may require;

(b) may be a general indication or one that is limited to notices or documents of particular descriptions;

(c) must state the address to be used and must be accompanied by such other information as that person requires for the making of the transmission;

(d) may be modified or withdrawn at any time by a notice given to that person in such manner as that person may require.

(7) An indication, requirement or determination given, imposed or made by the Board, the OLC or an ombudsman for the purposes of this section is to be given, imposed or made by being published by that person.

(8) In this section “electronic communications network” has the same meaning as in the Communications Act 2003 (c. 21).

Orders, rules etc

Orders, regulations and rules

204

(1) Any order or regulations made by the Lord Chancellor under this Act must be made by statutory instrument.

(2) Any rules made by the Board under section 37(4), 95(3) or 173 must be made by statutory instrument, and the Statutory Instruments Act 1946 (c. 36) applies to the Board's powers to make rules under those sections as if the Board were a Minister of the Crown.

(3) An instrument to which this subsection applies may—

(a) provide for a person to exercise a discretion in dealing with any matter;

(b) include incidental, supplementary and consequential provision;

(d) make provision generally or subject to exceptions or only in relation to specified cases;

(e) make different provision for different cases or circumstances or for different purposes.

(4) Subsection (3) applies to—

(a) any order or regulations made by the Lord Chancellor,

(b) any rules or regulations made by the Board, and

under or by virtue of this Act.

Consultation requirements for rules

205

(1) This section applies in relation to—

(a) rules made by the Board under this Act, and

(b) rules made by the OLC under Part 6,

other than excluded rules.

(2) If the Board or the OLC (“the rule-making body”) proposes to make any rules, it must publish a draft of the proposed rules.

(3) The draft must be accompanied by a notice which states that representations about the proposals may be made to the rule-making body within the period specified in the notice.

(4) Before making the rules, the rule-making body must have regard to any representations duly made.

(5) If the rules differ from the draft published under subsection (2) in a way which is, in the opinion of the rule-making body, material, it must publish details of the differences.

(6) The rule-making body must publish any rules it makes, and rules may not take effect before the time they are published.

(7) Subsection (6) does not apply to rules made by the Board under section 37(4), 95(3) or 173.

(8) The rule-making body may make a reasonable charge for providing a person with a copy of—

(a) a draft published under subsection (2), or

(b) rules published under subsection (6).

(9) In this section “excluded rules” means—

(a) rules of procedure made by the Board for the purposes of paragraph 21 of Schedule 1,

(b) rules made by the Board in its capacity as an approved regulator or a licensing authority, and

and references to making rules include references to modifying the rules and, in relation to any modifications of rules, references to the proposed rules are to be read as references to the proposed modifications.

(10) This section is subject to section 156(3) (which disapplies this section to OLC rules made in response to a Board direction under section 156(1)(b)).

Parliamentary control of orders and regulations

206

(1) A statutory instrument containing an order or regulations made by the Lord Chancellor under this Act is subject to annulment in pursuance of a resolution of either House of Parliament.

(2) Subsection (1) is subject to subsections (3) and (4).

(3) Subsection (1) does not apply to an order if it contains only provision made under one or more of the following—

(a) section 23(3)(b) (day appointed as end of transitional period relating to non-commercial bodies);

(b) section 30(4) (appointed day before which first set of rules must be made under section 30);

(d) paragraph 3(1)(b) of Schedule 5 (day appointed as end of transitional period during which rights conferred by virtue of Part 2 of that Schedule);

(e) paragraph 18(1)(b) of Schedule 18 (day appointed as end of transitional period during which rights conferred by virtue of Part 3 of that Schedule).

(4) Subsection (1) does not apply to an order or regulations which contains (whether alone or together with other provision) provision made under any of the following—

(a) section 24(1) (orders adding to reserved legal activities);

(b) section 25(1) or (3) (provisional designation of approved regulators);

(d) section 45(1) (cancellation of designation as approved regulator);

(e) section 46 (transitional arrangements following cancellation under section 45);

(f) section 48(6) (regulations relating to warrants under section 48);

(g) section 62(1) (power to designate Board as an approved regulator, modify its functions or cancel its designation);

(h) section 69(1) (modification of functions of approved regulators etc);

(i) section 76(1) (cancellation of designation as licensing authority);

(j) section 77 (transitional arrangements following cancellation under section 76);

(k) section 79(6) (regulations relating to warrants under section 79);

(l) section 80(1) (order establishing appellate body etc);

(m) section 106(1)(e) (power to prescribe bodies as bodies to which section 106 applies);

(n) section 109 (power to modify application of Part 5 to foreign bodies);

(na) section 111D (order to confer information powers on other approved regulators);

(o) section 173(5)(c) (power to prescribe persons as leviable bodies);

(oa) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(p) section 207(5) (power to modify definition of “manager” in its application to foreign bodies);

(q) section 208(3) (power to make consequential provision etc by amending enactments);

(r) paragraph 9(1) of Schedule 3 (modification of exempt persons);

(s) paragraph 17 of Schedule 4 (designation of approved regulators);

(t) paragraph 9 of Schedule 13 (power to modify definitions of “material interest” and “associates”);

(u) paragraph 2 of Schedule 22 (transitory power to modify functions of designated regulators etc).

(5) An order or regulations within subsection (4) may not be made unless a draft of the order or regulations has been laid before, and approved by a resolution of, each House of Parliament.

(6) A statutory instrument containing rules made by the Board under section 37(4), 95(3) or 173 is subject to annulment in pursuance of a resolution of either House of Parliament.

Interpretation

207

(1) In this Act, except where the context otherwise requires—

“barrister” means an individual who—has been called to the Bar by an Inn of Court, andis not disbarred by order of an Inn of Court;“the CMA” means the Competition and Markets Authority;

“consumers” means (subject to subsection (3)) persons—who use, have used or are or may be contemplating using, services within subsection (2),who have rights or interests which are derived from, or are otherwise attributable to, the use of such services by other persons, orwho have rights or interests which may be adversely affected by the use of such services by persons acting on their behalf or in a fiduciary capacity in relation to them;

“conveyancing services” has the same meaning as in Part 2 of the Administration of Justice Act 1985 (c. 61) (licensed conveyancing) (see section 11(3) of that Act);

“court” includes—a tribunal that was (to any extent) a listed tribunal for, or for any of, the purposes of Schedule 7 to the Tribunals, Courts and Enforcement Act 2007 (functions etc of Administrative Justice and Tribunals Council);immediately before the coming into force of the repeal of that Schedulea court-martial;a statutory inquiry within the meaning of section 16(1) of the Tribunals and Inquiries Act 1992 (c. 53);an ecclesiastical court (including the Court of Faculties);

“functions” includes powers and duties;

“immigration advice” and “immigration services” have the meaning given by section 82 of the Immigration and Asylum Act 1999 (c. 33) (interpretation of Part 5) (see also subsection (4) below);

“independent trade union” has the same meaning as in the Trade Union and Labour Relations (Consolidation) Act 1992 (c. 52) (see section 5 of that Act);

“manager”, in relation to a body, means (subject to subsection (5)) a person who—if the body is a body corporate whose affairs are managed by its members, is a member of the body,if the body is a body corporate and paragraph (a) does not apply, is a director of the body,if the body is a partnership, is a partner, andif the body is an unincorporated body (other than a partnership), is a member of its governing body;

“modify” includes amend, add to or revoke, and references to “modifications” are to be construed accordingly;

“non-commercial legal services” means—legal services carried on otherwise than with a view to profit;legal services carried on by a not for profit body, a community interest company or an independent trade union;

“not for profit body” means a body which, by or by virtue of its constitution or any enactment—is required (after payment of outgoings) to apply the whole of its income, and any capital which it expends, for charitable or public purposes, andis prohibited from directly or indirectly distributing amongst its members any part of its assets (otherwise than for charitable or public purposes);

“ the OFT ” means the Office of Fair Trading;

“person” includes a body of persons (corporate or unincorporate);

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

“solicitor” means solicitor of the Senior Courts.

(2) The services within this subsection are—

(a) any services provided by a person who is an authorised person in relation to an activity which is a reserved legal activity, and

(b) any other services provided by a person which consist of or include a legal activity carried on by, or on behalf of, that person.

(3) For the purposes of the definition of “consumers” in subsection (1)—

(a) if a person (“A”) is carrying on an activity in A's capacity as a trustee, the persons who are, have been or may be beneficiaries of the trust are to be treated as persons who use, have used or are or may be contemplating using services provided by A in A's carrying on of that activity, and

(b) a person who deals with another person (“B”) in the course of B's carrying on of an activity is to be treated as using services provided by B in carrying on that activity.

(4) The references in this Act (other than section 195) to the provision of immigration advice or immigration services are to the provision of such advice or services by a person—

(a) in England and Wales (regardless of whether the persons to whom they are provided are in England and Wales or elsewhere), and

(b) in the course of a business carried on (whether or not for profit) by the person or another person.

(5) The Lord Chancellor may by order make provision modifying the definition of “manager” in its application to a body of persons formed under, or in so far as the body is recognised by, law having effect outside England and Wales.

(6) In this section “enactment” means a provision of—

(a) an Act of Parliament;

(b) an Act of the Scottish Parliament;

(d) Northern Ireland legislation.

Miscellaneous and supplementary

Minor and consequential provision etc

208

(1) Schedule 21 contains minor and consequential amendments.

(2) The Lord Chancellor may by order make any supplementary, incidental or consequential provision and any transitory, transitional or saving provision which the Lord Chancellor considers necessary or expedient—

(a) for the general purposes, or any particular purpose, of this Act, or

(b) in consequence of any provision made by or under it or for giving full effect to it.

(3) An order under this section may make provision amending, repealing or revoking (with or without savings) any provision of—

(a) an Act passed before or in the same session as this Act, or

(b) an instrument made under an Act before the passing of this Act.

(4) An order under this section may make such adaptations of provisions of this Act brought into force as appear to be necessary or expedient in consequence of other provisions of this Act not yet having come into force.

(5) Provision made under this section is additional, and without prejudice, to that made by or under any other provision of this Act.

Transitional and transitory provision

209

Schedule 22 contains transitional and transitory provision.

Repeals

210

Schedule 23 contains repeals (including repeals of spent provisions).

Commencement

211

(1) This section and sections 208(2) to (5), 212 and 214 come into force on the day this Act is passed.

(2) Subject to that, the provisions of this Act come into force on such day as may be appointed by order of the Lord Chancellor.

Extent

212

(1) Subject to subsections (2) and (3), this Act extends to England and Wales only.

(2) Sections 195 and 196(1) and Schedule 20 extend to Scotland only (and, for the purposes of those provisions, this Part also extends there).

(3) An amendment or repeal contained in this Act (and, for the purposes of such an amendment or repeal, this Part) has the same extent as the enactment or relevant part of the enactment to which the amendment or repeal relates.

Index of defined expressions

213

Schedule 24 lists the places where expressions used in this Act are defined or otherwise explained.

Short title

214

This Act may be cited as the Legal Services Act 2007.

SCHEDULE 1

Membership

1

(1) The Board is to consist of the following members—

(a) a chairman appointed by the Lord Chancellor,

(b) the Chief Executive of the Board (see paragraph 13), and

(2) In this Schedule a reference to an “ordinary member” is a reference to a member of the Board other than the Chief Executive.

(3) Before appointing an ordinary member, the Lord Chancellor must consult the Lord Chief Justice about the process for appointment of the member and about the person selected for appointment.

(4) The Lord Chancellor may by order amend sub-paragraph (1) by substituting for the limit on the maximum number of persons for the time being specified in paragraph (c) of that sub-paragraph a different limit.

2

(1) In appointing persons as ordinary members the Lord Chancellor must ensure that a majority of the members of the Board are lay persons.

(2) The chairman must be a lay person.

(3) It is a condition of the appointment of the chairman that the person appointed must not during the appointment—

(a) carry on any activity which is a reserved legal activity,

(b) carry on a regulated claims management activity (within the meaning given by section 417(1) of the Financial Services and Markets Act 2000 (definitions)), or

for or in expectation of any fee, gain or reward.

(4) In this Schedule a reference to a “lay person” is a reference to a person who has never been—

(a) an authorised person in relation to an activity which is a reserved legal activity;

(b) a person authorised, by a person designated under section 5(1) of the Compensation Act 2006, to provide services which are regulated claims management services (within the meaning of that Act);

(ba) an authorised person (within the meaning given in section 31 of the Financial Services and Markets Act 2000 (authorised persons)) in relation to regulated claims management activity (within the meaning given by section 417(1) of that Act (definitions));

(d) a solicitor in Scotland;

(e) a member of the Bar of Northern Ireland;

(f) a solicitor of the Court of Judicature of Northern Ireland.

(5) For the purposes of sub-paragraph (4), a person is deemed to have been an authorised person in relation to an activity which is a reserved legal activity if that person has before the appointed day been—

(a) a barrister;

(b) a solicitor;

(d) a licensed conveyancer;

(e) granted a certificate issued by the Institute of Legal Executives authorising the person to practise as a legal executive;

(f) a registered patent attorney, within the meaning given by section 275(1) of the Copyright, Designs and Patents Act 1988 (c. 48);

(g) a registered trade mark attorney, within the meaning of the Trade Marks Act 1994 (c. 26); or

(h) granted a right of audience or a right to conduct litigation in relation to any proceedings by virtue of section 27(2)(a) or section 28(2)(a) of the Courts and Legal Services Act 1990 (c. 41) (rights of audience and rights to conduct litigation).

(6) For the purpose of sub-paragraph (5)—

“appointed day” means the day appointed for the coming into force of section 13;

“licensed conveyancer” has the meaning given by section 11(2) of the Administration of Justice Act 1985 (c. 61).

3

In appointing persons to be ordinary members, the Lord Chancellor must have regard to the desirability of securing that the Board includes members who (between them) have experience in or knowledge of—

(a) the provision of legal services;

(b) legal education and legal training;

(d) civil or criminal proceedings and the working of the courts;

(e) competition matters;

(f) the maintenance of the professional standards of persons who provide legal services;

(g) the maintenance of standards in professions other than the legal profession;

(h) the handling of complaints;

(i) commercial affairs;

(j) non-commercial legal services;

(k) the differing needs of consumers;

(l) the provision of claims management services (within the meaning of section 419A of the Financial Services and Markets Act 2000 (c. 8)).

Terms of appointment and tenure of members

4

An ordinary member is to hold and vacate office in accordance with the terms and conditions of that member's appointment (subject to this Schedule).

5

(1) An ordinary member must be appointed for a fixed period.

(2) The period for which an ordinary member is appointed must not exceed 5 years.

(3) A person who has held office as an ordinary member may be re-appointed, once only, for a further period (whether consecutive or not) not exceeding 5 years.

6

If an ordinary member who is a lay person becomes a person within paragraphs (a) to (f) of paragraph 2(4) that person ceases to be a member of the Board.

7

(1) An ordinary member may at any time—

(a) resign from office by giving notice to the Lord Chancellor;

(b) be removed from office by the Lord Chancellor.

(2) The Lord Chancellor may not under sub-paragraph (1)(b) remove an ordinary member from office unless sub-paragraph (3) or (4) applies.

(3) This sub-paragraph applies if the Lord Chancellor is satisfied that the member—

(a) has failed without reasonable excuse to discharge the functions of the office for a continuous period of at least 6 months,

(b) has been convicted of an offence,

(c) is an undischarged bankrupt or is a person in relation to whom a moratorium period under a debt relief order applies (under Part 7A of the Insolvency Act 1986), or

(d) is otherwise unfit to hold the office or unable to discharge its functions.

(4) This sub-paragraph applies if the member is the chairman and has breached the condition imposed on his appointment by paragraph 2(3).

(5) Before removing any ordinary member under sub-paragraph (1)(b), the Lord Chancellor must consult—

(a) the Lord Chief Justice, and

(b) if the ordinary member is not the chairman, the chairman.

(6) The Lord Chancellor may not remove an ordinary member on the ground mentioned in paragraph (a) of sub-paragraph (3) more than 3 months after the end of the period mentioned in that paragraph.

8

The chairman ceases to be chairman upon ceasing to be a member of the Board.

9

Where a person ceases to be employed as Chief Executive, that person ceases to be a member of the Board.

Remuneration etc of members

10

The chairman and other ordinary members are to be paid by the Board in accordance with provision made by or under their terms of appointment.

11

The terms of appointment of the chairman or any other ordinary member may provide for the Board to pay, or make payments towards the provision of, a pension, allowance or gratuity to or in respect of that person.

12

If the Lord Chancellor thinks there are circumstances that make it right for a person ceasing to hold office as chairman or another ordinary member to receive compensation, the Board may pay that person such compensation as the Lord Chancellor may determine.

Staff

13

The Board must appoint a person as its Chief Executive.

14

The Board may appoint such other staff as it considers appropriate to assist in the performance of its functions.

15

The Chief Executive and other staff are to be—

(a) appointed on terms and conditions determined by the Board, and

(b) paid by the Board in accordance with provision made by or under the terms of appointment.

16

The terms and conditions on which the Chief Executive or any other member of staff is appointed may provide for the Board to pay, or make payments towards the provision of, a pension, allowance or gratuity to or in respect of that person.

17

The Board may pay compensation for loss of employment to or in respect of a member (or former member) of staff.

18

A member of staff appointed under paragraph 14 may be a member (but not chairman) of the Board.

Arrangements for assistance

19

(1) The Board may make arrangements with such persons as it considers appropriate for assistance to be provided to it.

(2) Arrangements may include the paying of fees to such persons.

Committees

20

(1) The Board may establish committees.

(2) Any committee so established may establish sub-committees.

(3) Only members of the Board may be members of a committee or sub-committee.

(4) A majority of the members of a committee or sub-committee must be lay persons.

Proceedings

21

(1) The Board may regulate its own procedure, and the procedure of its committees and sub-committees, including quorum.

(2) But the quorum of a committee or sub-committee must not be less than 3.

(3) The Board must publish any rules of procedure made under this paragraph.

(4) This paragraph is without prejudice to any other power the Board has under this Act to make rules.

22

The validity of any act of the Board is not affected—

(a) by a vacancy in the office of chairman or amongst the other members, or

(b) by a defect in the appointment or any disqualification of a person as chairman or another member of the Board.

Delegation of functions

23

(1) The Board may authorise—

(a) the chairman, the Chief Executive or any other member of the Board,

(b) a committee or sub-committee of the Board, or

to exercise, on behalf of the Board, such of its functions, in such circumstances, as it may determine.

(2) A committee may delegate functions (including functions delegated to the committee) to—

(a) a sub-committee,

(b) the chairman, the Chief Executive or any other member of the Board, or

(3) Sub-paragraphs (1) and (2) are subject to—

(a) any provision made by an order under section 62 by virtue of section 64(2)(k) (powers to authorise the Board to delegate to any person functions conferred on it in its capacity as an approved regulator), and

(b) section 73(3)(a) (power to delegate to any person functions conferred on the Board in its capacity as a licensing authority).

(4) Sub-paragraph (1) does not apply to any power or duty the Board has to make rules (other than excluded rules) under this Act.

(5) In sub-paragraph (4) “excluded rules” means—

(a) rules of procedure made under paragraph 21 in relation to any committee or sub-committee of the Board, and

(b) rules made by the Board in its capacity as an approved regulator or a licensing authority.

Borrowing

24

The Board is not to borrow money, except—

(a) with the consent of the Lord Chancellor, or

(b) in accordance with a general authorisation given by the Lord Chancellor.

Accounts

25

(1) The Board must—

(a) keep proper accounts and proper records in relation to the accounts, and

(b) prepare in respect of each financial year a statement of accounts.

(2) Each statement of accounts must comply with any directions given by the Lord Chancellor, with the approval of the Treasury, as to—

(a) the information to be contained in it and the manner in which it is to be presented;

(b) the methods and principles according to which the statement is to be prepared;

(3) The Board must give a copy of each statement of accounts—

(a) to the Lord Chancellor, and

(b) to the Comptroller and Auditor General,

before the end of the month of August next following the financial year to which the statement relates.

(4) The Comptroller and Auditor General must—

(a) examine, certify and report on each statement of accounts which is received under sub-paragraph (3), and

(b) give a copy of the Comptroller and Auditor General's report to the Lord Chancellor.

(5) In respect of each financial year, the Lord Chancellor must lay before Parliament a document consisting of—

(a) a copy of the statement of accounts for that year, and

(b) a copy of the Comptroller and Auditor General's report on that statement.

(6) “Financial year” means—

(a) the period beginning with the day on which the Board is established and ending with the next following 31 March, and

(b) each successive period of 12 months.

Status

26

(1) The Board is not to be regarded—

(a) as the servant or agent of the Crown, or

(b) as enjoying any status, immunity or privilege of the Crown.

(2) Accordingly—

(a) the Board's property is not to be regarded as property of or held on behalf of the Crown, and

(b) the Board's staff are not to be regarded as servants or agents of the Crown or as enjoying any status, immunity or privilege of the Crown.

Application of seal and proof of instruments

27

The application of the seal of the Board is to be authenticated by the signature of any member of the Board, or of its staff, who has been authorised (whether generally or specifically) by the Board for the purpose.

28

Any contract or instrument which, if entered into or executed by an individual, would not need to be under seal may be entered into or executed on behalf of the Board by any person who has been authorised (whether generally or specifically) by the Board for the purpose.

29

A document purporting to be duly executed under the seal of the Board or signed on its behalf—

(a) is to be received in evidence, and

(b) is to be taken to be executed or signed in that way, unless the contrary is proved.

Disqualification

30

(1) In Part 2 of Schedule 1 to the House of Commons Disqualification Act 1975 (c. 24) (bodies of which all members are disqualified) at the appropriate place insert— “ The Legal Services Board. ”

(2) In Part 2 of Schedule 1 to the Northern Ireland Assembly Disqualification Act 1975 (c. 25) (bodies of which all members are disqualified) at the appropriate place insert— “ The Legal Services Board. ”

Freedom of information

31

In Part 6 of Schedule 1 to the Freedom of Information Act 2000 (c. 36) (other public bodies and offices which are public authorities) at the appropriate place insert— “ The Legal Services Board. ”

Public records

32

In Schedule 1 to the Public Records Act 1958 (c. 51) (definition of public records) at the appropriate place in Part 2 of the Table at the end of paragraph 3 insert— “ The Legal Services Board. ”

Exemption from liability in damages

33

(1) This paragraph applies to—

(a) the Board,

(b) a member of the Board,

(d) a person to whom the Board (in its capacity as an approved regulator) delegates any of its functions by virtue of provision made under section 64(2)(k), and

(e) a person to whom the Board (in its capacity as a licensing authority) delegates any of its functions by virtue of section 73(3)(a).

(2) A person to whom this paragraph applies is not liable in damages for anything done or omitted in the exercise or purported exercise of the functions of the Board conferred by or by virtue of this or any other enactment.

(3) But sub-paragraph (1) does not apply—

(a) if it is shown that the act or omission was in bad faith, or

(b) so as to prevent an award of damages made in respect of an act or omission on the ground that the act or omission was unlawful as a result of section 6(1) of the Human Rights Act 1998 (c. 42).

SCHEDULE 2

Introduction

1

This Schedule makes provision about the reserved legal activities.

2

In this Schedule “the appointed day” means the day appointed for the coming into force of section 13 (entitlement to carry on reserved legal activities).

Rights of audience

3

(1) A “right of audience” means the right to appear before and address a court, including the right to call and examine witnesses.

(2) But a “right of audience” does not include a right to appear before or address a court, or to call or examine witnesses, in relation to any particular court or in relation to particular proceedings, if immediately before the appointed day no restriction was placed on the persons entitled to exercise that right.

Conduct of litigation

4

(1) The “conduct of litigation” means—

(a) the issuing of proceedings before any court in England and Wales,

(b) the commencement, prosecution and defence of such proceedings, and

(c) the performance of any ancillary functions in relation to such proceedings (such as entering appearances to actions).

(2) But the “conduct of litigation” does not include any activity within paragraphs (a) to (c) of sub-paragraph (1), in relation to any particular court or in relation to any particular proceedings, if immediately before the appointed day no restriction was placed on the persons entitled to carry on that activity.

Reserved instrument activities

5

(1) “Reserved instrument activities” means—

(a) preparing any instrument of transfer or charge for the purposes of the Land Registration Act 2002 (c. 9);

(b) making an application or lodging a document for registration under that Act;

(c) preparing any other instrument relating to real or personal estate for the purposes of the law of England and Wales or instrument relating to court proceedings in England and Wales.

(2) But “reserved instrument activities” does not include the preparation of an instrument relating to any particular court proceedings if, immediately before the appointed day, no restriction was placed on the persons entitled to carry on that activity.

(3) In this paragraph “instrument” includes a contract for the sale or other disposition of land (except a contract to grant a short lease), but does not include—

(a) a will or other testamentary instrument,

(b) an agreement not intended to be executed as a deed, other than a contract that is included by virtue of the preceding provisions of this sub-paragraph,

(d) a transfer of stock containing no trust or limitation of the transfer.

(4) In this paragraph a “short lease” means a lease such as is referred to in section 54(2) of the Law of Property Act 1925 (c. 20) (short leases).

Probate activities

6

(1) “Probate activities” means preparing any probate papers for the purposes of the law of England and Wales or in relation to any proceedings in England and Wales.

(2) In this paragraph “probate papers” means papers on which to found or oppose—

(a) a grant of probate, or

(b) a grant of letters of administration.

Notarial activities

7

(1) “Notarial activities” means activities which, immediately before the appointed day, were customarily carried on by virtue of enrolment as a notary in accordance with section 1 of the Public Notaries Act 1801 (c. 79).

(2) Sub-paragraph (1) does not include activities carried on—

(a) by virtue of section 22 or 23 of the Solicitors Act 1974 (c. 47) (reserved instrument activities and probate activities), or

(b) by virtue of section 113 of the Courts and Legal Services Act 1990 (c. 41) (administration of oaths).

Administration of oaths

8

The “administration of oaths” means the exercise of the powers conferred on a commissioner for oaths by—

(a) the Commissioners for Oaths Act 1889 (c. 10);

(b) the Commissioners for Oaths Act 1891 (c. 50);

SCHEDULE 3

Rights of audience

1

(1) This paragraph applies to determine whether a person is an exempt person for the purpose of exercising a right of audience before a court in relation to any proceedings (subject to paragraph 7).

(2) The person is exempt if the person—

(a) is not an authorised person in relation to that activity, but

(b) has a right of audience granted by that court in relation to those proceedings.

(3) The person is exempt if the person—

(a) is not an authorised person in relation to that activity, but

(b) has a right of audience before that court in relation to those proceedings granted by or under any enactment.

(4) The person is exempt if the person is the Attorney General or the Solicitor General and—

(a) the name of the person is on the roll kept by the Law Society under section 6 of the Solicitors Act 1974 (c. 47), or

(b) the person has been called to the Bar by an Inn of Court.

(5) The person is exempt if the person is the Advocate General for Scotland and is admitted—

(a) as a solicitor in Scotland under section 6 of the Solicitors (Scotland) Act 1980 (c. 46), or

(b) to practise as an advocate before the courts of Scotland.

(6) The person is exempt if the person—

(a) is a party to those proceedings, and

(b) would have a right of audience, in the person's capacity as such a party, if this Act had not been passed.

(7) The person is exempt if—

(a) the person is an individual whose work includes assisting in the conduct of litigation,

(b) the person is assisting in the conduct of litigation—

(i) under instructions given (either generally or in relation to the proceedings) by an individual to whom sub-paragraph (8) applies, and

(ii) under the supervision of that individual, and

(i) in the High Court or county court, or

(ii) in the family court by a judge who is not, or by two or more judges at least one of whom is not, within section 31C(1)(y) of the Matrimonial and Family Proceedings Act 1984 (lay justices).

(8) This sub-paragraph applies to—

(a) any authorised person in relation to an activity which constitutes the conduct of litigation;

(b) any person who by virtue of section 193 is not required to be entitled to carry on such an activity.

(9) The person is an exempt person in relation to the exercise of a right of audience in proceedings on an appeal from the Comptroller-General of Patents, Designs and Trade Marks to the Patents Court under the Patents Act 1977 (c. 37), if the person is a solicitor of the Court of Judicature of Northern Ireland.

(10) For the purposes of this paragraph—

“family proceedings” has the same meaning as in the Matrimonial and Family Proceedings Act 1984 (c. 42) and also includes any proceedings in the family court and any other proceedings which are family proceedings for the purposes of the Children Act 1989 (c. 41);

“reserved family proceedings” means such category of family proceedings as the Lord Chancellor may, after consulting the President of the Law Society and with the concurrence of the President of the Family Division, by order prescribe;

and any order made under section 27(9) of the Courts and Legal Services Act 1990 (c. 41) before the day appointed for the coming into force of this paragraph is to have effect on and after that day as if it were an order made under this sub-paragraph.

Conduct of litigation

2

(1) This paragraph applies to determine whether a person is an exempt person for the purpose of carrying on any activity which constitutes the conduct of litigation in relation to any proceedings (subject to paragraph 7).

(2) The person is exempt if the person—

(a) is not an authorised person in relation to that activity, but

(b) has a right to conduct litigation granted by a court in relation to those proceedings.

(3) The person is exempt if the person—

(a) is not an authorised person in relation to that activity, but

(b) has a right to conduct litigation in relation to those proceedings granted by or under any enactment.

(4) The person is exempt if the person—

(a) is a party to those proceedings, and

(b) would have a right to conduct the litigation, in the person's capacity as such a party, if this Act had not been passed.

(5) The person is an exempt person in relation to any activity which is carried on in or in connection with proceedings on an appeal from the Comptroller-General of Patents, Designs and Trade Marks to the Patents Court under the Patents Act 1977 (c. 37), if the person is a solicitor of the Court of Judicature of Northern Ireland.

Reserved instrument activities

3

(1) This paragraph applies to determine whether a person is an exempt person for the purpose of carrying on any activity which constitutes reserved instrument activities (subject to paragraph 7).

(2) The person is exempt if the person prepares the instruments or applications in the course of the person's duty as a public officer.

(3) The person (“E”) is exempt if—

(a) E is an individual,

(b) E carries on the activity at the direction and under the supervision of another individual (“P”),

(d) P is entitled to carry on the activity, otherwise than by virtue of sub-paragraph (10).

(4) For the purposes of sub-paragraph (3), P and E are connected if—

(a) P is E's employer,

(b) P is a fellow employee of E,

(c) P is a manager or employee of a body which is an authorised person in relation to the activity, and E is also a manager or employee of that body.

(5) If the person is an accredited person, the person is exempt to the extent that the activity consists of the preparation of any instrument—

(a) which creates, or which the person believes on reasonable grounds will create, a farm business tenancy (within the meaning of the Agricultural Tenancies Act 1995 (c. 8)), or

(b) which relates to an existing tenancy which is, or which the person believes on reasonable grounds to be, such a tenancy.

(6) In sub-paragraph (5) “accredited person” means a person who is—

(a) a Fellow of the Central Association of Agricultural Valuers, or

(b) a Member or Fellow of the Royal Institution of Chartered Surveyors.

(7) The person is exempt to the extent that the activity carried on by the person is also a reserved legal activity within sub-paragraph (8) and the person is—

(a) authorised to carry on that activity (other than under Part 5) by a relevant approved regulator in relation to the activity,

(b) authorised to carry on that activity by a licence under Part 5, or

(8) The activities are—

(a) the exercise of a right of audience;

(b) the conduct of litigation.

(9) The person is exempt if the person is employed merely to engross the instrument or application.

(10) The person is exempt if the person is an individual who carries on the activity otherwise than for, or in expectation of, any fee, gain or reward.

(11) The person is exempt if—

(a) the person is a person qualified to practise as a solicitor in Scotland in accordance with section 4 of the Solicitors (Scotland) Act 1980 (c. 46), and

(b) the reserved instrument activities fall within paragraph 5(1)(c) of Schedule 2 (preparation of certain instruments relating to real or personal property or legal proceedings).

Probate activities

4

(1) This paragraph applies to determine whether a person is an exempt person for the purpose of carrying on any activity which constitutes probate activities (subject to paragraph 7).

(2) The person (“E”) is an exempt person if—

(a) E is an individual,

(b) E provides the probate activities at the direction and under the supervision of another individual (“P”),

(d) P is entitled to carry on the activity, otherwise than by virtue of sub-paragraph (4).

(3) For the purposes of sub-paragraph (2), P and E are connected if—

(a) P is E's employer,

(b) P is a fellow employee of E,

(c) P is a manager or employee of a body which is an authorised person in relation to the activity, and E is also a manager or employee of that body.

(4) The person is exempt if the person is an individual who carries on the activity otherwise than for, or in expectation of, any fee, gain or reward.

Notarial activities

5

(1) This paragraph applies to determine whether a person is an exempt person for the purpose of carrying on any activity which constitutes notarial activities (subject to paragraph 7).

(2) The person is exempt if the person is not an authorised person in relation to that activity under this Act, but is authorised to carry on that activity by or by virtue of any other enactment.

(3) The person is exempt if section 14 of the Public Notaries Act 1801 (c. 79) applies to the person, and—

(a) where that section applies by virtue of the person holding or exercising an office or appointment, the person carries on the activity for ecclesiastical purposes;

(b) where that section applies by virtue of the person performing a public duty or service under government, the person carries on the activity in the course of performing that duty or service.

(4) The person is exempt if the person is an individual who carries on the notarial activities otherwise than for or in expectation of a fee, gain or reward.

Administration of oaths

6

(1) This paragraph applies to determine whether a person is an exempt person for the purpose of carrying on any activity which constitutes the administration of oaths (subject to paragraph 7).

(2) The person is exempt if the person is not an authorised person in relation to that activity under this Act, but is authorised to carry on that activity by or by virtue of any other enactment.

(3) The person is exempt if the person has a commission under section 1(1) of the Commissioners for Oaths Act 1889 (c. 10).

European lawyers

7

A European lawyer (within the meaning of the European Communities (Services of Lawyers) Order 1978 (S.I. 1978/1910) , as it has effect by virtue of regulation 5 of the Services of Lawyers and Lawyer’s Practice (Revocation etc.) (EU Exit) Regulations 2020) is an exempt person for the purposes of carrying on an activity which is a reserved legal activity and which the European lawyer is entitled to carry on by virtue of that order , as it has effect by virtue of that regulation.

Employers etc acting through exempt person

8

(1) This paragraph applies where—

(a) a person (“P”) carries on an activity (“the relevant activity”) which is a reserved legal activity,

(b) P carries on the relevant activity by virtue of an employee of P (“E”) carrying it on in E's capacity as such an employee, and

(2) P is an exempt person in relation to the relevant activity to the extent that P carries on that activity by virtue of E so carrying it on.

(3) This paragraph does not apply where E—

(a) carries on the relevant activity at the direction and under the supervision of an authorised person in relation to that activity, and

(b) is exempt in relation to that activity by virtue of paragraph 1(7), 3(3) or 4(2).

(4) If P is a body, in this paragraph references to an employee of P include references to a manager of P.

Further exempt persons

9

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

(a) for persons to be exempt persons in relation to any activity which is a reserved legal activity (including any activity which is a reserved legal activity by virtue of an order under section 24 (extension of reserved legal activities)),

(b) for persons to cease to be such persons, or

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

SCHEDULE 4

Part 1 — Existing regulators

1

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

(2) Each body so listed is an approved regulator in relation to the reserved legal activities listed in relation to it in the second column of the Table.

Approved regulator	Reserved legal activities
The Law Society	The exercise of a right of audience.The conduct of litigation.Reserved instrument activities.Probate activities.The administration of oaths.
The General Council of the Bar	The exercise of a right of audience.The conduct of litigation.Reserved instrument activities.Probate activities.The administration of oaths.
The Master of the Faculties	Reserved instrument activities.Probate activities.Notarial activities.The administration of oaths.
The Institute of Legal Executives	The exercise of a right of audience.The administration of oaths.
The Council for Licensed Conveyancers	Reserved instrument activities.The administration of oaths.Probate activities.
The Chartered Institute of Patent Attorneys	The exercise of a right of audience.The conduct of litigation.Reserved instrument activities.The administration of oaths.
The Institute of Trade Mark Attorneys	The exercise of a right of audience.The conduct of litigation.Reserved instrument activities.The administration of oaths.
The Association of Law Costs Draftsmen	The exercise of a right of audience.The conduct of litigation.The administration of oaths.
The Institute of Chartered Accountants of Scotland	Probate activities.
The Association of Chartered Certified Accountants	Probate activities.

2

(1) The regulatory arrangements of a listed body, as they have effect immediately before paragraph 1 comes into force, are to be treated as having been approved by the Board for the purposes of this Act at the time that paragraph comes into force.

(2) “Listed body” means a body listed in the first column of the Table in paragraph 1 as that Table has effect at the time that paragraph comes into force.

(3) Sub-paragraph (1) is without prejudice to the Board's power to give directions under section 32 (powers to direct an approved regulator to take steps in certain circumstances, including steps to amend its regulatory arrangements).

Part 2 — Designation of bodies by order

Application to the Board

3

(1) This paragraph applies where a body wishes to authorise persons to carry on one or more activities which constitute one or more reserved legal activities.

(2) The body may apply to the Board for the Board—

(a) to recommend that an order be made by the Lord Chancellor designating the body as an approved regulator in relation to the reserved legal activity or activities in question, and

(b) to approve what the body proposes as its regulatory arrangements if such an order is made (“the proposed regulatory arrangements”).

(3) An application under this paragraph must be made in such form and manner as the Board may specify in rules and must be accompanied by—

(a) a statement of the reserved legal activity or activities to which it relates,

(b) details of the applicant's proposed regulatory arrangements,

(c) such explanatory material (including material about the applicant's constitution and activities) as the applicant considers is likely to be needed for the purposes of this Part of this Schedule, and

(d) the prescribed fee.

(4) The prescribed fee is the fee specified in, or determined in accordance with, rules made by the Board with the consent of the Lord Chancellor.

(5) The proposed regulatory arrangements must, in particular, include—

(a) details of the authority which the applicant proposes to give persons to carry on activities which are reserved legal activities and of the nature of the persons to whom the authority is to be given,

(b) regulations (however they may be described) as to the education and training which persons must receive, and any other requirements which must be met by or in respect of them, in order for them to be authorised, and

(c) rules (however they may be described) as to the conduct required of persons in carrying on any activity by virtue of the authority.

(6) An applicant may, at any time, withdraw the application by giving notice to that effect to the Board.

Dismissal of application

4

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

(2) The Board must make rules about the procedures and criteria that it will apply when determining whether to refuse to consider, or to continue its consideration of, an application under sub-paragraph (1).

(3) Where the Board decides to refuse to consider, or to continue its consideration of, an application it must give the applicant notice of that decision and of its reasons for it.

(4) The Board must publish a notice given under sub-paragraph (3).

Board’s duty to seek advice

5

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

(a) a copy of the application and accompanying material, and

(b) a notice specifying a period within which any advice given under paragraphs 6 to 8 must be given.

(2) Those persons are—

(a) the CMA,

(b) the Consumer Panel,

(d) such other persons as the Board considers it reasonable to consult regarding the application.

(3) In this Part of this Schedule, in relation to an application, “selected consultee” means a person within sub-paragraph (2)(d).

Advice of Office of Fair Trading

6

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

(2) In deciding what advice to give, the CMA must, in particular, have regard to whether making an order under paragraph 17 in accordance with the recommendation applied for would (or would be likely to) prevent, restrict or distort competition within the market for reserved legal services to any significant extent.

Advice of the Consumer Panel

7

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

(2) In deciding what advice to give, the Consumer Panel must, in particular, have regard to the likely impact on consumers of the making of an order under paragraph 17 in accordance with the recommendation applied for.

Advice of selected consultees

8

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

Advice of the Lord Chief Justice

9

(1) The Board must give the Lord Chief Justice—

(a) a copy of any advice duly given under paragraphs 6 to 8, and

(b) a notice specifying a period within which any advice under this paragraph must be given.

(2) The Lord Chief Justice must then give such advice to the Board as the Lord Chief Justice thinks fit regarding whether the application should be granted.

(3) In deciding what advice to give, the Lord Chief Justice must, in particular, have regard to the likely impact on the courts in England and Wales of the making of an order under paragraph 17 in accordance with the recommendation applied for.

Information obtained by consultees

10

A person (“the consultee”) to whom a copy of the application is given under paragraph 5(1) may, for the purposes of giving advice under paragraphs 6 to 9, request the applicant or any other person to provide the consultee with such additional information as may be specified by the consultee.

Representations by applicant

11

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

(2) The applicant may make to the Board—

(a) written representations, and

(b) if the Board authorises it to do so, oral representations,

about the advice.

(3) The Board must make rules governing the making of oral and written representations.

(4) Representations under this paragraph must be made within—

(a) the period of 28 days beginning with the day on which the copy of the advice is given to the applicant, or

(b) such longer period as the Board may specify in a particular case.

(5) Where oral representations are made, the Board must prepare a report of those representations.

(6) Before preparing that report, the Board must—

(a) give the applicant a reasonable opportunity to comment on a draft of the report, and

(b) have regard to any comments duly made.

Publication of advice and representations etc

12

(1) The Board must, as soon as practicable after the end of the period within which representations under paragraph 11 may be made, publish—

(a) any advice duly given under paragraphs 6 to 9, and

(b) any written representations duly made under paragraph 11 and the report (if any) prepared under that paragraph.

(2) Nothing in sub-paragraph (1) operates—

(a) to prevent a person who gives advice under paragraphs 6 to 9 from publishing that advice, or

(b) to prevent a person who makes representations under paragraph 11 from publishing those representations.

(3) A person (“the publisher”) publishing any such material (whether under sub-paragraph (1) or otherwise) must, so far as practicable, exclude any matter which relates to the private affairs of a particular individual the publication of which, in the opinion of the publisher, would or might seriously and prejudicially affect the interests of that individual.

Rules governing decisions by the Board

13

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

(2) Rules under sub-paragraph (1) must, in particular, provide that the Board may grant an application in relation to a particular reserved legal activity only if it is satisfied—

(a) that, if an order were to be made under paragraph 17 designating the body in relation to that activity, the applicant would have appropriate internal governance arrangements in place at the time the order takes effect,

(b) that, if such an order were to be made, the applicant would be competent, and have sufficient resources, to perform the role of approved regulator in relation to the reserved legal activity at that time,

(d) that the applicant's proposed regulatory arrangements comply with the requirement imposed by sections 52 and 54 (resolution of regulatory conflict), and

(e) that those arrangements comply with the requirements imposed by sections 112 and 145 (requirements imposed in relation to the handling of complaints).

(3) The rules made for the purposes of sub-paragraph (2)(a) must in particular require the Board to be satisfied—

(a) that the exercise of the applicant's regulatory functions would not be prejudiced by any of its representative functions, and

(b) that decisions relating to the exercise of its regulatory functions would so far as reasonably practicable be taken independently from decisions relating to the exercise of its representative functions.

Determination of applications

14

(1) After considering—

(a) the application and accompanying material,

(b) any other information provided by the applicant,

(d) any representations duly made under paragraph 11, and

(e) any other information which the Board considers relevant to the application,

the Board must decide whether to grant the application.

(2) Where the application relates to more than one reserved legal activity, the Board may grant the application in relation to all or any of them.

(3) The Board must give notice of its decision to the applicant (“the decision notice”).

(4) Where the Board decides to refuse the application (in whole or in part), the decision notice must specify the reasons for that decision.

(5) The Board must publish the decision notice.

15

(1) Where an application is made under this Part, the Board must give the decision notice under paragraph 14 within the decision period.

(2) The “decision period” is the period of 12 months beginning with the day on which the application is made to the Board.

(3) The Board may, before the end of the decision period, issue a notice extending that period by a period specified in the notice.

(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 CMA,

(b) the Consumer Panel, and

(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 application

16

(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

Lord Chancellor’s decision to make an order

17

(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 arrangements

18

(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 arrangements

Requirement for approval

19

(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,

(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 Board

20

(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 determination

21

(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.

Advice

22

(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 applicant

23

(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 etc

24

(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 Board

25

(1) After considering—

(a) the application and any accompanying material,

(b) any other information provided by the approved regulator,

(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,

(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,

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