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 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,

(e) the alteration would enable the approved regulator to license persons under Part 5 to carry on activities which are reserved legal activities in relation to which it is not a licensing authority, or

(f) the alteration has been or is likely to be made otherwise than in accordance with the procedures (whether statutory or otherwise) which apply in relation to the making of the alteration.

(4) For the purposes of sub-paragraph (3)(b) the designation requirements are—

(a) a requirement that the approved regulator has appropriate internal governance arrangements in place,

(b) a requirement that the applicant is competent, and has sufficient resources to perform the role of approved regulator in relation to the reserved legal activities in respect of which it is designated, and

(5) Sub-paragraph (3) applies in relation to any part of an application as if references to the application were to the part.

(6) The Board must give notice of its decision (“the decision notice”) to the approved regulator.

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

(8) The Board must publish the decision notice.

Failure to decide application during decision period

26

(1) This paragraph applies where the Board gives an approved regulator a warning notice under paragraph 21 in respect of the approved regulator's application.

(2) If the Board does not give the approved regulator notice of its decision under paragraph 25 within the decision period, the application is deemed to have been granted by the Board at the end of that period.

(3) Subject to sub-paragraphs (4) and (5), “the decision period” means the period of 12 months beginning with the day on which the approved regulator received the warning notice.

(4) The Board may, on one or more occasions, give the approved regulator a notice (an “extension notice”) extending the decision period.

(5) But—

(a) an extension notice may only be given before the time when the decision period would end, but for the extension notice, and

(b) the total decision period must not exceed 18 months.

(6) The Board must publish any extension notice given by it.

Effect of grant of application

27

(1) Where an application is granted under paragraph 21(1)(a) or (3), 25(1) or 26(2), the alteration or alterations of the regulatory arrangements to which the application relates are approved.

(2) Where a part of an application is granted under paragraph 25(1), the alteration or alterations of the regulatory arrangements to which the part relates are approved.

(3) Sub-paragraphs (1) and (2) are without prejudice to the Board's power to give directions under section 32 (power to direct an approved regulator to take steps in certain circumstances, including steps to amend its regulatory arrangements).

SCHEDULE 5

Part 1 — Continuity of rights

Rights of audience and conduct of litigation

1

(1) For the purposes of section 18 (authorised persons), in the case of a person who is authorised by a listed body—

(a) to exercise a right of audience before a court in relation to any proceedings, or

(b) to conduct litigation in relation to any proceedings,

it is irrelevant whether the person's authorisation was granted before or on or after the appointed day.

(2) The “listed bodies” are—

(a) The Law Society,

(b) The General Council of the Bar,

(d) The Institute of Trade Mark Attorneys,

(e) The Association of Law Costs Draftsmen, and

(f) for the purposes of sub-paragraph (1)(a) only, The Institute of Legal Executives.

(3) For the purposes of sub-paragraph (1), any authority conferred by section 31 of the Courts and Legal Services Act 1990 (c. 41) (barristers and solicitors deemed to have rights of audience and rights to conduct litigation) is to be disregarded (see paragraphs 4 and 7 below).

Conveyancing services

2

(1) For the purposes of section 18, in the case of a licensed conveyancer who is authorised to carry on an activity which is a reserved instrument activity by a conveyancing licence, it is irrelevant whether the licence was granted before or on or after the appointed day.

(2) For the purposes of this paragraph “conveyancing licence” means a licence to practise as a licensed conveyancer granted under Part 2 of the Administration of Justice Act 1985 (c. 61).

Part 2 — Rights during transitional period

The transitional period

3

(1) In this Part of this Schedule references to “the transitional period” are to the period which—

(a) begins with the appointed day (within the meaning given by paragraph 19), and

(b) ends with the day appointed by the Lord Chancellor by order for the purposes of this paragraph.

(2) Different days may be appointed under sub-paragraph (1)(b) for different purposes.

(3) An order may be made under sub-paragraph (1)(b) only on the recommendation of the Board.

Barristers etc

4

(1) During the transitional period, every barrister is deemed to be authorised by the General Council of the Bar to carry on the activities in sub-paragraph (2).

(2) Those activities are—

(a) the exercise of a right of audience before every court in relation to all proceedings;

(b) reserved instrument activities;

(d) the administration of oaths.

(3) The authority conferred on a barrister by this paragraph is exercisable in accordance with, and subject to, the regulatory arrangements of the General Council of the Bar.

(4) A person is not authorised under sub-paragraph (1) unless the person has in force a certificate issued by the General Council of the Bar authorising the person to practise as a barrister.

5

(1) During the transitional period, every registered European lawyer registered with the Inns of Court and the General Council of the Bar is deemed to be authorised by the General Council of the Bar to carry on activities which—

(a) are within paragraph 4(2), and

(b) the registered European lawyer is entitled to carry on under his Swiss professional title by virtue of the European regulations.

(2) The authority conferred on a registered European lawyer by virtue of this paragraph is exercisable in accordance with, and subject to, the regulatory arrangements of the General Council of the Bar (as they apply to the registered European lawyer by virtue of the European regulations).

(3) In this paragraph—

“European regulations” means the European Communities (Lawyer's Practice) Regulations 2000 (S.I. 2000/1119) , as they have effect by virtue of regulation 6 of the Services of Lawyers and Lawyer’s Practice (Revocation etc.) (EU Exit) Regulations 2020;

“Swiss professional title” and “registered European lawyer” have the same meaning as in the European regulations.

6

During the transitional period members of the Bar not in actual practice are to continue to have the rights conferred by section 102A(2) of the Patents Act 1977 (c. 37) (right of audience, etc in proceedings on appeal from the comptroller).

Solicitors etc

7

(1) During the transitional period—

(a) every qualified solicitor,

(b) every legal partnership, and

(c) every body recognised under section 9 of the Administration of Justice Act 1985 (c. 61) (incorporated practices) (“a recognised body”),

is deemed to be authorised by the Law Society to carry on the activities in sub-paragraph (2).

(2) Those activities are—

(a) the exercise of a right of audience before every court in relation to all proceedings;

(b) the conduct of litigation in relation to every court and all proceedings;

(d) probate activities;

(e) the administration of oaths.

(3) The authority conferred on a qualified solicitor, legal partnership or recognised body by this paragraph is exercisable in accordance with, and subject to, the regulatory arrangements of the Law Society.

(4) In this paragraph—

“legal partnership” means a partnership in which a qualified solicitor, a registered European Lawyer or a body recognised under section 9 of the Administration of Justice Act 1985 (c. 61) is permitted to practise by virtue of rules made under that section or section 31 of the Solicitors Act 1974 (c. 47);

“qualified solicitor” means a person who is qualified under section 1 of the Solicitors Act 1974 to act as a solicitor;

“registered European lawyer” means a registered European lawyer within the meaning of the European Communities (Lawyer's Practice) Regulations 2000 (S.I. 2000/1119) , as they have effect by virtue of regulation 6 of the Services of Lawyers and Lawyer’s Practice (Revocation etc.) (EU Exit) Regulations 2020, who is registered with the Law Society.

8

(1) During the transitional period, every registered European lawyer registered with the Law Society is deemed to be authorised by the Law Society to carry on activities which—

(a) are within paragraph 7(2), and

(b) the registered European lawyer is entitled to carry on under his Swiss professional title by virtue of the European regulations.

(2) The authority conferred on a registered European lawyer by virtue of this paragraph is exercisable in accordance with, and subject to, the regulatory arrangements of the Law Society (as they apply to the registered European lawyer by virtue of the European regulations).

(3) In this paragraph—

“European regulations” means the European Communities (Lawyer's Practice) Regulations 2000 (S.I. 2000/1119) , as they have effect by virtue of regulation 6 of the Services of Lawyers and Lawyer’s Practice (Revocation etc.) (EU Exit) Regulations 2020;

“Swiss professional title” and “registered European lawyer” have the same meaning as in the European regulations.

9

(1) During the transitional period, solicitors are to continue to have the rights conferred on them by subsection (1) of section 102A of the Patents Act 1977 (c. 37) (rights of audience, etc in proceedings on appeal from the comptroller).

(2) During that period, registered European lawyers are to continue to have the rights conferred on them by that subsection by virtue of the European regulations.

(3) In this paragraph “European regulations” and “registered European lawyer” have the same meaning as in paragraph 8.

Legal Executives

10

(1) During the transitional period, a person authorised by the Institute of Legal Executives to practise as a member of the profession of legal executives is deemed to be authorised by that Institute to administer oaths.

(2) The authority conferred by sub-paragraph (1) is exercisable in accordance with and subject to the regulatory arrangements of the Institute of Legal Executives.

(3) A person is not authorised under sub-paragraph (1) unless the person has in force a certificate issued by the Institute of Legal Executives authorising the person to practise as a legal executive.

Licensed conveyancers

11

(1) During the transitional period every individual who holds a conveyancing licence is deemed to be authorised by the Council for Licensed Conveyancers to administer oaths.

(1A) During the transitional period every individual, not being a licensed conveyancer, who holds a licence under section 53 of the Courts and Legal Services Act 1990 is deemed to be authorised by the Council to administer oaths.

(2) The authority conferred by sub-paragraph (1) or (1A) is exercisable in accordance with and subject to the regulatory arrangements of the Council.

(3) During that period, every conveyancing partnership and every conveyancing services body recognised under section 32 of the Administration of Justice Act 1985 (c. 61) (bodies corporate entitled to provide conveyancing or other services) is deemed to be authorised by the Council—

(a) to carry on conveyancing services, and

(b) to administer oaths.

(3A) During that period, every CLC practitioner services body recognised under section 32 of the Administration of Justice Act 1985 is deemed to be authorised by the Council to administer oaths.

(4) The authority conferred by sub-paragraph (3) or (3A) is exercisable in accordance with and subject to—

(a) in the case of a body recognised under section 32 of the Administration of Justice Act 1985, any condition subject to which its recognition has effect, and

(b) the regulatory arrangements of the Council.

(5) In this paragraph—

“ CLC practitioner services body ” has the meaning given by section 32B of the Administration of Justice Act 1985;

“ conveyancing partnership ” means a partnership at least some of the members of which are licensed conveyancers, but does not include a CLC practitioner services body;

“ conveyancing services body ” has the meaning given by section 32A of the Administration of Justice 1985.

(6) For the purposes of this paragraph a conveyancing licence or a licence under section 53 of the Courts and Legal Services Act 1990 is to be treated as not in force during any period when it is suspended.

Notaries public

12

(1) During the transitional period, every duly certificated notary is deemed to be authorised by the Master of the Faculties to carry on the activities in sub-paragraph (2).

(2) Those activities are—

(a) reserved instrument activities;

(b) probate activities;

(d) the administration of oaths.

(3) The authority conferred by sub-paragraph (1) is exercisable in accordance with and subject to the regulatory arrangements of the Master of the Faculties.

(4) In this paragraph “duly certificated notary” means a notary who either—

(a) has in force a practising certificate as a solicitor issued under the Solicitors Act 1974 (c. 47), and is duly entered in the Court of Faculties of the Archbishop of Canterbury in accordance with rules made by the Master of the Faculties, or

(b) has in force a practising certificate as a public notary issued by the said Court of Faculties in accordance with rules so made.

13

(1) During the transitional period, a person (“P”) is an exempt person in relation to the carrying on of an activity (“the relevant activity”) which is a notarial activity if—

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

(b) E is an authorised person in relation to the relevant activity.

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

Patent attorneys

14

(1) During the transitional period, every registered patent attorney is deemed to be authorised by the Chartered Institute of Patent Attorneys to carry on reserved instrument activities.

(2) During that period, every authorised patent attorney is deemed to be authorised by the Chartered Institute of Patent Attorneys to administer oaths.

(3) During that period, every patent attorney body is deemed to be authorised by the Chartered Institute of Patent Attorneys to carry on the activities in sub-paragraph (4).

(4) Those activities are any activities which are reserved legal activities within sub-paragraph (5) and which—

(a) if the body is a partnership, any partner who is a registered patent attorney is authorised to carry on;

(b) if the body is a body corporate, any director who is a registered patent attorney is authorised to carry on.

(5) Those activities are—

(a) the exercise of a right of audience;

(b) the conduct of litigation;

(d) the administration of oaths.

(6) The authority conferred by any of sub-paragraphs (1) to (3) is exercisable in accordance with and subject to the regulatory arrangements of the Chartered Institute of Patent Attorneys.

(7) In this paragraph—

“authorised patent attorney” means a registered patent attorney who is authorised by the Chartered Institute of Patent Attorneys to carry on one or both of the following activities—the exercise of a right of audience;the conduct of litigation;

“patent attorney body” means—a partnership all the partners of which are registered patent attorneys,a body corporate all the directors of which are registered patent attorneys,a partnership or body corporate which satisfies the conditions prescribed under section 279 of the Copyright, Designs and Patents Act 1988 (c. 48), ora body corporate to which section 276(4) of that Act applies;

“registered patent attorney” has the meaning given by section 275(2) of that Act;

and, in the case of a patent attorney body to which section 276(4) of that Act applies, the reference in sub-paragraph (4)(b) to a director includes a reference to the manager (within the meaning of section 276(4) of that Act) of the company.

15

(1) During the transitional period registered patent attorneys are to continue to have the rights conferred by section 102A(2) of the Patents Act 1977 (c. 37) and section 292 of the Copyright, Designs and Patents Act 1988 (c. 48).

(2) In this paragraph “registered patent attorney” has the same meaning as in paragraph 14.

Trade mark attorneys

16

(1) During the transitional period, every registered trade mark attorney is deemed to be authorised by the Institute of Trade Mark Attorneys to carry on reserved instrument activities.

(2) During that period, every authorised trade mark attorney is deemed to be authorised by the Institute of Trade Mark Attorneys to administer oaths.

(3) During that period, every trade mark attorney body is deemed to be authorised by the Institute of Trade Mark Attorneys to carry on the activities in sub-paragraph (4).

(4) Those activities are any activities which are reserved legal activities within sub-paragraph (5) and which—

(a) if the body is a partnership, any partner who is a registered trade mark attorney is authorised to carry on, or

(b) if the body is a body corporate, any director who is a registered trade mark attorney is authorised to carry on.

(5) Those activities are—

(a) the exercise of a right of audience;

(b) the conduct of litigation;

(d) the administration of oaths.

(6) The authority conferred by any of sub-paragraphs (1) to (3) is exercisable in accordance with and subject to the regulatory arrangements of the Institute of Trade Mark Attorneys.

(7) In this paragraph—

“authorised trade mark attorney” means a registered trade mark attorney who is authorised by the Institute of Trade Mark Attorneys to carry on one or both of the following activities—the exercise of a right of audience;the conduct of litigation;

“trade mark attorney body” means—a partnership all the partners of which are registered trade mark attorneys,a body corporate all the directors of which are registered trade mark attorneys, ora partnership or body corporate which satisfies the conditions prescribed under section 85 of the Trade Marks Act 1994 (c. 26);

“registered trade mark attorney” has the same meaning as in the Trade Marks Act 1994.

Law costs draftsmen

17

(1) During the transitional period, every authorised member of the Association of Law Costs Draftsmen is deemed to be authorised by that Association to administer oaths.

(2) In this paragraph, “authorised member of the Association of Law Costs Draftsmen” means a member of that Association who has been authorised by that Association to carry on one or both of the following activities—

(a) the exercise of a right of audience;

(b) the conduct of litigation.

(3) The authority conferred by sub-paragraph (1) is exercisable in accordance with and subject to the regulatory arrangements of the Association of Law Costs Draftsmen.

18

(1) During the transitional period, a person (“P”) is an exempt person in relation to the carrying on of an activity (“the relevant activity”) which is a reserved legal activity within sub-paragraph (2), if—

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

(b) E is an authorised member of the Association of Law Costs Draftsmen (within the meaning of paragraph 17(2) of this Schedule).

(2) The reserved legal activities mentioned in sub-paragraph (1) are—

(a) the exercise of a right of audience;

(b) the conduct of litigation;

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

Part 3 — Interpretation

19

In this Schedule—

“the appointed day” means the day appointed for the coming into force of section 13 (entitlement to carry on a reserved legal activity);

“conveyancing licence” has the meaning given by paragraph 2.

SCHEDULE 6

Introductory

1

In this Schedule, in relation to an activity—

“section 24 investigation” means an investigation held with a view to determining whether or not the Board should make a recommendation in respect of the activity for the purposes of section 24 (recommendations and orders to extend the reserved legal activities);

“section 26 investigation” means an investigation held with a view to determining whether or not the Board should make a recommendation in respect of the activity for the purposes of section 26 (recommendations that an activity should cease to be a reserved legal activity).

Requests for Board to hold a full investigation

2

(1) A person may—

(a) request the Board to hold a section 24 investigation in respect of an activity, or

(b) request the Board to hold a section 26 investigation in respect of an activity.

(2) A request under sub-paragraph (1) must be in writing and specify the activity to which it relates.

(3) In the case of a request for a section 24 investigation, the activity in respect of which the request is made must be a legal activity.

Board’s duty to hold preliminary inquiries in certain cases

3

(1) This paragraph applies where the Board receives a request under paragraph 2, in respect of an activity, from—

(a) the Lord Chancellor,

(b) the CMA,

(d) the Lord Chief Justice.

(2) The Board must—

(a) carry out such inquiries as it considers appropriate to enable it to determine whether it is appropriate to hold a section 24 investigation or, as the case may be, a section 26 investigation in respect of the activity, and

(b) make that determination within the preliminary inquiry period.

(3) “The preliminary inquiry period” means the period of 3 months beginning with the day on which the request under paragraph 2 was received by the Board.

(4) The Board may, before the end of the preliminary inquiry period in relation to a request, issue a notice extending that period by a period specified in the notice.

(5) More than one notice may be issued under sub-paragraph (4), but the total preliminary inquiry period must not exceed 4 months.

(6) A notice under sub-paragraph (4) must state the Board's reasons for extending the preliminary inquiry period.

(7) The Board must publish a notice issued under sub-paragraph (4).

Board’s power to hold preliminary inquiries in other cases

4

(1) The Board may—

(a) where it receives a request under paragraph 2 to which paragraph 3 does not apply, or

(b) in any other case where it considers it appropriate to do so,

carry out such inquiries as it considers appropriate to enable it to determine whether it is appropriate to hold a section 24 investigation or a section 26 investigation in respect of an activity.

(2) In the case of a section 24 investigation, that activity must be a legal activity.

Advice

5

(1) Before determining whether it is appropriate to hold a section 24 investigation or a section 26 investigation in respect of an activity, the Board may seek the advice of one or both of the following bodies—

(a) the OFT;

(b) the Consumer Panel.

(2) The OFT or the Consumer Panel must, if its advice is sought, give the Board such advice as it thinks fit, within such reasonable period as the Board may specify.

(3) In deciding what advice to give—

(a) the OFT must, in particular, consider whether making an order under section 24 or (as the case may be) provision in accordance with a recommendation under section 26, in respect of the activity would (or would be likely to) prevent, restrict or distort competition within the market for reserved legal services to any significant extent, and

(b) the Consumer Panel must have regard to the likely impact which making that order or (as the case may be) provision would have on consumers.

(4) The OFT or the Consumer Panel may, for the purposes of giving advice under this paragraph, request any person to provide it with such information as may be specified by it.

6

(1) Before determining whether it is appropriate to hold a section 24 investigation or a section 26 investigation in respect of an activity the Board may also seek the advice of the Lord Chief Justice.

(2) If the Board has sought advice under paragraph 5, the Board may not seek advice from the Lord Chief Justice until—

(a) the period for giving advice under paragraph 5 has ended, and

(b) it has given the Lord Chief Justice a copy of any advice duly given under that paragraph.

(3) If advice is sought under sub-paragraph (1), the Lord Chief Justice—

(a) must give the Board such advice as the Lord Chief Justice thinks fit, within such reasonable period as may be specified by the Board, and

(b) may, for the purposes of giving that advice, request any person to provide the Lord Chief Justice with such information as may be specified by the Lord Chief Justice.

(4) 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 section 24 or (as the case may be) provision in accordance with a recommendation under section 26, in respect of the activity in question.

7

(1) The Board must consider, and publish, any advice given under paragraph 5 or 6.

(2) Nothing in this paragraph operates to prevent a person who gives such advice from publishing it.

Restrictions on refusing a paragraph 2 request

8

(1) This paragraph applies where—

(a) a request has been made under paragraph 2, and

(b) paragraph 3 applies to that request.

(2) The Board may refuse the request only if—

(a) the consultation requirements are satisfied, and

(b) either the consent requirement is satisfied or the request was made by the Lord Chancellor.

(3) The consultation requirements are—

(a) that the Board has consulted the OFT, the Consumer Panel and the Lord Chief Justice under paragraphs 5 and 6, and

(b) that—

(i) the Board has obtained advice from the OFT and the Consumer Panel or the period within which that advice is required to be given has expired, and

(ii) the Board has obtained advice from the Lord Chief Justice or the period within which that advice is required to be given has expired.

(4) The consent requirement is that—

(a) the Board has given the Lord Chancellor a copy of any advice given under paragraph 5 or 6, and

(b) the Lord Chancellor has consented to the Board’s refusal of the request.

Decision to hold investigation

9

(1) This paragraph applies where the Board has decided, following inquiries under paragraph 3 or 4, to hold a section 24 investigation or a section 26 investigation in respect of an activity.

(2) The Board must, as soon as reasonably practicable, give notice of its decision to—

(a) the Lord Chancellor,

(b) the CMA,

(d) the Lord Chief Justice,

and publish the notice.

(3) The notice must—

(a) state the Board's reasons for its decision to hold the investigation, and

(b) contain a description (in general terms) of the procedure set out in paragraphs 10 to 17 and in rules under this Schedule, including any relevant time limits.

Duty to investigate and produce a provisional report within the investigation period

10

(1) This paragraph applies where the Board has given notice under paragraph 9(2) of—

(a) a decision to hold a section 24 investigation, or

(b) a decision to hold a section 26 investigation,

in respect of an activity.

(2) The Board must within the investigation period—

(a) carry out such investigations as it considers appropriate for the purposes of enabling it to produce a provisional report in respect of the activity, and

(b) produce and publish such a report.

(3) A provisional report is a report stating—

(a) in a case within sub-paragraph (1)(a), whether or not the Board is minded to make a recommendation for the purposes of section 24 (recommendation that activity should become a reserved legal activity);

(b) in a case within sub-paragraph (1)(b), whether or not the Board is minded to make a recommendation for the purposes of section 26 (recommendation that activity should cease to be a reserved legal activity).

(4) A provisional report must also state the Board's reasons for it being, or not being, minded to make the recommendation in question.

“The investigation period”

11

(1) “The investigation period” means the period of 12 months beginning with the day on which the notice was given under paragraph 9(2).

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

(3) More than one notice may be issued under sub-paragraph (2) but the total investigation period must not exceed 16 months.

(4) The Board may issue a notice under sub-paragraph (2) only after it has consulted—

(a) the CMA,

(b) the Consumer Panel, and

(5) A notice under sub-paragraph (2) must state the Board's reasons for extending the investigation period.

(6) The Board must publish any notice issued under sub-paragraph (2).

Supplementary provisions about the investigation

12

(1) This paragraph applies for the purposes of investigations under paragraph 10(2)(a).

(2) The Board may make rules governing the making of oral and written representations, and the giving of oral and written evidence, to the Board.

(3) Rules under sub-paragraph (2) may (among other things) include—

(a) provision about the time and place at which any oral evidence is to be given or oral representations are to be heard;

(b) provision about the period within which any written evidence is to be given or written representations are to be made.

(4) In relation to each investigation, the Board must determine if, and to what extent—

(a) oral evidence or representations should be heard, and

(b) written evidence or representations should be received.

(5) The Board must, so far as is reasonably practicable, consider any written or oral representations duly made under this paragraph.

Consideration of the provisional report

13

(1) The Board may make rules governing the making to the Board of oral and written representations in respect of provisional reports.

(2) Rules under sub-paragraph (1) may (among other things) include—

(a) provision about the time and place at which any oral representations are to be heard;

(b) provision about the period within which any written representations are to be made.

(3) The Board must exercise the power conferred by sub-paragraph (1) to make provision—

(a) enabling written representations and, so far as is reasonably practicable, oral representations to be made by affected practitioners, and

(b) enabling written or oral representations to be made by bodies which represent affected practitioners.

(4) An “affected practitioner” is a person carrying on the activity in respect of which the investigation is being held.

14

(1) For the purpose of making a decision under paragraph 16(1)(a) or (b), the Board must, after publication of a provisional report, determine if and to what extent further evidence should be heard or received.

(2) The Board may make rules governing the giving of such evidence.

(3) Rules under sub-paragraph (2) may (among other things) include—

(a) provision about the time and place at which any oral evidence is to be given;

(b) provision about the period within which any written evidence is to be given.

15

The Board must, so far as is reasonably practicable, consider—

(a) any written or oral representations made in accordance with rules to which paragraph 13(3) applies, and

(b) any other representations made in accordance with rules under paragraph 13(1), and any written or oral evidence given in accordance with rules under paragraph 14(2), which the Board considers relevant.

Duty to prepare final report within the final reporting period

16

(1) After complying with paragraph 15, the Board must decide—

(a) in the case of a section 24 investigation, whether or not to make a recommendation for the purposes of that section, and

(b) in the case of a section 26 investigation, whether or not to make a recommendation for the purposes of that section.

(2) The Board must prepare a report (“the final report”) which sets out—

(a) its decision and the reasons for it,

(b) where it decides to make a recommendation for the purposes of section 24 or 26, that recommendation, and

(c) where it decides to make a recommendation for the purposes of section 24, a statement of the provision which, in the Board's opinion, will need to be made by virtue of section 204(3) or in an order under section 208 (power to make consequential provision, transitional provision etc) if an order is made under section 24 in accordance with that recommendation.

(3) The Board must—

(a) give a copy of the final report to the Lord Chancellor, and

(b) publish that report.

(4) The Board must comply with the obligations imposed by this paragraph within the final reporting period.

“The final reporting period”

17

(1) “The final reporting period” means the period of 3 months beginning with the date on which the provisional report was published under paragraph 10(2).

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

(3) More than one notice may be issued under sub-paragraph (2), but the total final reporting period must not exceed 5 months.

(4) The Board may issue a notice under sub-paragraph (2) only after it has consulted—

(a) the CMA,

(b) the Consumer Panel, and

(5) A notice under sub-paragraph (2) must state the Board's reasons for extending the final reporting period.

(6) The Board must publish a notice issued under sub-paragraph (2).

Costs

18

The Board may pay such costs of a person as the Board considers reasonable for the purpose of facilitating the giving of oral evidence or the making of oral representations, by or on behalf of that person, in accordance with rules made under this Schedule.

SCHEDULE 7

Introductory

1

This Schedule applies where the Board proposes giving a direction to an approved regulator under section 32.

Notification of the approved regulator

2

(1) The Board must give the approved regulator a notice (“a warning notice”) accompanied by a copy of the proposed direction.

(2) The warning notice must—

(a) state that the Board proposes to give the approved regulator a direction in the form of the accompanying draft,

(b) specify why the Board is satisfied as mentioned in section 32(1) and (2), and

(3) The period specified under sub-paragraph (2)(c)—

(a) must begin with the date on which the warning notice is given to the approved regulator, and

(b) must not be less than 14 days.

(4) 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 proposed direction.

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

(6) The Board must consider any representations duly made by the approved regulator.

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

(8) 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.

Board’s duty to seek advice

3

(1) After complying with paragraph 2, the Board must give each of the persons listed in sub-paragraph (2)—

(a) a copy of the warning notice and the accompanying draft direction,

(b) a copy of any written representations duly made under paragraph 2 and a copy of the report (if any) prepared under that paragraph, and

(2) Those persons are—

(a) the Lord Chancellor,

(b) the CMA ,

(d) the Lord Chief Justice, and

(e) such other persons as the Board considers it reasonable to consult in respect of the proposed direction.

(3) In this Schedule, in relation to a proposed direction, “selected consultee” means a person within sub-paragraph (2)(e).

Advice of the Lord Chancellor

4

The Lord Chancellor must give the Board such advice as the Lord Chancellor thinks fit in respect of the proposed direction.

Advice of Office of Fair Trading

5

(1) The CMA must give the Board such advice as it thinks fit regarding whether the proposed direction should be given.

(2) In deciding what advice to give, the CMA must, in particular, have regard to whether giving the proposed direction 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

6

(1) The Consumer Panel must give the Board such advice as it thinks fit regarding whether the proposed direction should be given.

(2) In deciding what advice to give, the Consumer Panel must, in particular, have regard to the likely impact of the proposed direction on consumers.

Advice of selected consultees

7

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

Advice of the Lord Chief Justice

8

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

(a) a copy of any advice duly given under paragraphs 4 to 7, 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 as the Lord Chief Justice thinks fit regarding whether the proposed direction should be given.

(3) In deciding what advice to give, the Lord Chief Justice must, in particular, have regard to the likely impact of the proposed direction on the courts in England and Wales.

Consultees' powers to request information

9

A person (“the consultee”) to whom a copy of the warning notice is given under paragraph 3(1) may, for the purposes of giving advice under paragraphs 4 to 8, 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 approved regulator

10

(1) The Board must give the approved regulator a copy of any advice duly given under paragraphs 4 to 8.

(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 etc

11

(1) The Board must, as soon as practicable after the end of the period within which representations under paragraph 10 may be made, publish—

(a) any advice duly given under paragraphs 4 to 8, and

(b) any written representations duly made under paragraph 10 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 4 to 8 from publishing that advice, or

(b) to prevent a person who makes representations under paragraph 10 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

12

(1) After considering—

(a) any advice duly given under paragraphs 4 to 8,

(b) any representations duly made under paragraph 10, and

the Board must decide whether to give the approved regulator the proposed direction.

(2) The Board must give notice of its decision (“the decision notice”) to the approved regulator.

(3) Where the Board decides to give the proposed direction, the decision notice must—

(a) contain the direction,

(b) state the time at which the direction is to take effect, and

(4) The Board must publish the decision notice.

SCHEDULE 8

Part 1 — Giving intervention directions

Introductory

1

(1) This Part of this Schedule applies where the Board proposes giving an intervention direction to an approved regulator in respect of a regulatory function.

(2) In this Schedule “intervention direction” has the same meaning as in section 41.

Notification of the approved regulator

2

(1) The Board must give the approved regulator a notice (“a warning notice”) accompanied by a draft of the proposed intervention direction.

(2) The warning notice must—

(a) state that the Board proposes to give the approved regulator an intervention direction in the form of the accompanying draft and the time when it is proposed that direction should take effect, and

(b) state the reasons why the Board is satisfied of the matters mentioned in section 41(1)(a) and (b).

(3) The Board must publish a copy of the warning notice.

(4) 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 proposed intervention direction.

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

(6) Any representations under sub-paragraph (4) must be made before the end of—

(a) the period of 28 days beginning with the day on which the warning notice is given to the approved regulator, or

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

(7) Where oral representations are duly made under this paragraph, the Board must prepare a report of those representations.

(8) 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.

Board’s duty to seek advice

3

(1) After complying with paragraph 2, the Board must give each of the persons listed in sub-paragraph (2)—

(a) a copy of the warning notice and the accompanying draft,

(b) a copy of any written representations duly made under paragraph 2 and a copy of the report (if any) prepared under that paragraph, and

(2) Those persons are—

(a) the Lord Chancellor,

(b) the CMA,

(d) the Lord Chief Justice, and

(e) such other persons as the Board considers it reasonable to consult in respect of the proposed intervention direction.

(3) In this Part of this Schedule, in relation to a proposed intervention direction, “selected consultee” means a person within sub-paragraph (2)(e).

Advice of the Lord Chancellor

4

The Lord Chancellor must give the Board such advice as the Lord Chancellor thinks fit in respect of the proposed intervention direction.

Advice of Office of Fair Trading

5

(1) The CMA must give the Board such advice as it thinks fit regarding whether the proposed intervention direction should be given.

(2) In deciding what advice to give, the CMA must, in particular, have regard to whether giving the proposed intervention direction 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

6

(1) The Consumer Panel must give the Board such advice as it thinks fit regarding whether the proposed intervention direction should be given.

(2) In deciding what advice to give, the Consumer Panel must, in particular, have regard to the likely impact of the proposed direction on consumers.

Advice of selected consultees

7

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

Advice of the Lord Chief Justice

8

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

(a) a copy of any advice duly given under paragraphs 4 to 7, 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 as the Lord Chief Justice thinks fit regarding whether the proposed intervention direction should be given.

(3) In deciding what advice to give, the Lord Chief Justice must, in particular, have regard to the likely impact of the proposed intervention direction on the courts in England and Wales.

Consultees' powers to request information

9

Representations by the approved regulator etc

10

(1) The Board must—

(a) give the approved regulator a copy of any advice duly given under paragraphs 4 to 8, and

(b) publish that advice together with any written representations duly made by the approved regulator under paragraph 2 and the report (if any) prepared under that paragraph.

(2) The approved regulator and any body within sub-paragraph (3) may make to the Board—

(a) written representations, and

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

about the advice.

(3) A body is within this sub-paragraph if it represents persons authorised by the approved regulator to carry on activities which are reserved legal activities.

(4) The Board may allow any other person to make written or oral representations about the advice.

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

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

(a) the period of 28 days beginning with the day on which the representations and advice are published under sub-paragraph (1)(b), or

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

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

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

(a) give each person who made oral representations a reasonable opportunity to comment on a draft of the report of those representations, and

(b) have regard to any comments duly made.

(9) The Board must, as soon as reasonably practicable after the end of the period within which representations may be made under this paragraph, publish any written representations duly made and the report (if any) prepared under sub-paragraph (7).

Further provision about publishing of advice and representations

11

(1) Nothing in paragraph 10 operates—

(a) to prevent a person who gives advice under paragraphs 4 to 8 from publishing that advice, or

(b) to prevent a person who makes representations under paragraph 2 or 10 from publishing those representations.

(2) A person (“the publisher”) publishing any such material (whether under paragraph 10 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

12

(1) After considering—

(a) any advice duly given under paragraphs 4 to 8,

(b) any representations duly made under paragraph 2 or 10, and

the Board must decide whether to give an intervention direction.

(2) Where it decides to give an intervention direction, it may decide—

(a) to give an intervention direction in the form of the proposed intervention direction, or

(b) to amend the form of the proposed intervention direction and give an intervention direction in that amended form.

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

(4) Where the Board decides to give an intervention direction, the decision notice must—

(a) contain the intervention direction,

(b) state the time at which the intervention direction is to take effect,

(d) if the decision is under sub-paragraph (2)(b), set out the nature of any amendments made and the reasons for them.

(5) The time specified under sub-paragraph (4)(b) must not be before—

(a) the time specified in the warning notice in accordance with paragraph 2(2)(a), or

(b) the time the decision notice is given to the approved regulator.

(6) The Board must publish the decision notice.

Part 2 — Revoking intervention directions

Introductory

13

(1) Where an intervention direction has effect in respect of a regulatory function of an approved regulator—

(a) the approved regulator may apply to the Board for the Board to revoke the direction, or

(b) the Board may give the approved regulator a notice stating the Board's intention to revoke the direction.

(2) An application under sub-paragraph (1)(a) must—

(a) be made in the form and manner specified by the Board, and

(b) be accompanied by such material as the applicant considers is likely to be needed for the purposes of this Part of this Schedule.

Board’s duty to seek advice

14

(1) Where the Board has received an application under paragraph 13(1)(a), it must give each of the persons listed in sub-paragraph (3)—

(a) a copy of the application,

(b) a copy of any material which accompanied it, and

(2) Where the Board has given a notice under paragraph 13(1)(b), it must give each of the persons listed in sub-paragraph (3)—

(a) a copy of the notice, and

(b) a notice specifying a period within which any advice under paragraphs 15 to 18 must be given.

(3) The persons are—

(a) the Lord Chancellor,

(b) the CMA,

(d) the Lord Chief Justice, and

(e) such other persons as the Board considers it reasonable to consult in respect of the proposed revocation.

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

Advice of the Lord Chancellor

15

The Lord Chancellor must give the Board such advice as the Lord Chancellor thinks fit in respect of the proposed revocation.

Advice of Office of Fair Trading

16

(1) The CMA must give the Board such advice as it thinks fit regarding the proposed revocation.

(2) In deciding what advice to give, the CMA must, in particular, have regard to whether revoking the intervention direction 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

17

(1) The Consumer Panel must give the Board such advice as it thinks fit regarding the proposed revocation.

(2) In deciding what advice to give, the Consumer Panel must, in particular, have regard to the likely impact which revoking the intervention direction would have on consumers.

Advice of the selected consultees

18

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

Advice of the Lord Chief Justice

19

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

(a) a copy of any advice duly given under paragraphs 15 to 18, 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 the Board such advice as the Lord Chief Justice thinks fit in respect of the proposed revocation.

(3) In deciding what advice to give, the Lord Chief Justice must, in particular, have regard to the likely impact which revoking the intervention direction would have on the courts in England and Wales.

Information obtained by consultees

20

A person to whom a copy of the application or notice is given under paragraph 14(1) or (2) may, for the purposes of giving advice under paragraphs 15 to 19, request the approved regulator or any other person to provide that person with such additional information as may be specified by that person.

Representations by approved regulator etc

21

(1) The Board must—

(a) give the approved regulator a copy of any advice duly given under paragraphs 15 to 19, and

(b) publish that advice.

(2) The approved regulator and any body within sub-paragraph (3) may make to the Board—

(a) written representations, and

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

about the advice.

(3) A body is within this sub-paragraph if it represents persons authorised by the approved regulator to carry on activities which are reserved legal activities.

(4) The Board may allow any other person to make written or oral representations about the advice.

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

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

(a) the period of 28 days beginning with the day on which the advice is published under sub-paragraph (1), or

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

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

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

(a) give each person who made oral representations a reasonable opportunity to comment on a draft of the report of those representations, and

(b) have regard to any comments duly made.

(9) The Board must, as soon as practicable after the end of the period within which representations may be made under this paragraph, publish any written representations duly made and the report (if any) prepared under sub-paragraph (7).

Further provision about publishing advice and representations

22

(1) Nothing in paragraph 21 operates—

(a) to prevent a person who gives advice under paragraphs 15 to 19 from publishing that advice, or

(b) to prevent a person who makes representations under paragraph 21 from publishing those representations.

(2) A person (“the publisher”) publishing any such material (whether under paragraph 21 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

23

(1) After considering—

(a) in a case within paragraph 13(1)(a), the application and any accompanying material,

(b) any advice duly given under paragraphs 15 to 19,

(d) any other information which the Board considers relevant to the application or notice,

the Board must decide whether to revoke the intervention direction in accordance with the application or notice.

(2) The Board must give notice of its decision (“the decision notice”) to the approved regulator.

(3) Where the Board decides to revoke the intervention direction, the decision notice must state the time the revocation is to take effect.

(4) Where the Board decides not to revoke the intervention direction, the decision notice must specify the reasons for that decision.

(5) The Board must publish the decision notice.

SCHEDULE 9

Introductory

1

This Schedule applies where the Board considers that it may be appropriate for it to make a recommendation under section 45(5).

Notification of the approved regulator

2

(1) The Board must give the approved regulator a notice (“a warning notice”) accompanied by a draft of the proposed recommendation.

(2) The warning notice must—

(a) state that the Board proposes to make a recommendation under subsection (5) of section 45 in the form of the accompanying draft, and

(b) state the reasons why the Board is satisfied of the matters mentioned in paragraphs (a) and (b) of that subsection.

(3) The Board must publish a copy of the warning notice.

(4) 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 proposed recommendation.

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

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

(a) the period of 28 days beginning with the day on which the warning notice is given to the approved regulator, or

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

(7) The Board must consider any representations duly made by the approved regulator.

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

(9) 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.

Board’s duty to seek advice

3

(1) After complying with paragraph 2, the Board must give each of the persons listed in sub-paragraph (2)—

(a) a copy of the warning notice and the accompanying draft,

(b) a copy of any written representations duly made by the approved regulator under paragraph 2 and a copy of the report (if any) prepared under that paragraph, and

(2) Those persons are—

(a) the CMA,

(b) the Consumer Panel,

(d) such other persons as the Board considers it reasonable to consult in respect of the proposed recommendation.

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

Advice of Office of Fair Trading

4

(1) The CMA must give the Board such advice as it thinks fit regarding whether the proposed recommendation should be made.

(2) In deciding what advice to give, the CMA must, in particular, have regard to whether making an order under section 45 in accordance with the proposed recommendation 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

5

(1) The Consumer Panel must give the Board such advice as it thinks fit regarding whether the proposed recommendation should be made.

(2) In deciding what advice to give, the Consumer Panel must, in particular, have regard to the likely impact on consumers of making an order under section 45 in accordance with the proposed recommendation.

Advice of selected consultees

6

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

Advice of the Lord Chief Justice

7

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

(a) a copy of any advice duly given under paragraphs 4 to 6, and

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

(2) The Lord Chief Justice must then give such advice as the Lord Chief Justice thinks fit in respect of the proposed recommendation.

(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 making an order under section 45 in accordance with the proposed recommendation.

Information obtained by consultees

8

A person (“the consultee”) to whom a copy of the warning notice is given under paragraph 3(1) may, for the purposes of giving advice under paragraphs 4 to 7, 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 the approved regulator etc

9

(1) The Board must—

(a) give the approved regulator a copy of any advice duly given under paragraphs 4 to 7, and

(b) publish that advice together with any written representations duly made by the approved regulator under paragraph 2 and the report (if any) prepared under that paragraph.

(2) The approved regulator and any body within sub-paragraph (3) may make to the Board—

(a) written representations, and

(b) if authorised to do so by the Board, oral representations,

about the advice.

(3) A body is within this sub-paragraph if it represents persons authorised by the approved regulator to carry on activities which are reserved legal activities.

(4) The Board may allow any other person to make written or oral representations about the advice.

(5) The Board may make rules governing the making to the Board of written or oral representations.

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

(a) the period of 28 days beginning with the day on which the representations and advice are published under sub-paragraph (1)(b), or

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

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

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

(a) give each person who made oral representations a reasonable opportunity to comment on a draft of the report of those representations, and

(b) have regard to any comments duly made.

(9) The Board must, as soon as reasonably practicable after the end of the period within which representations under this paragraph may be made, publish any written representations duly made and the report (if any) prepared under sub-paragraph (7).

Publication of advice etc

10

(1) Nothing in paragraph 9 operates—

(a) to prevent a person who gives advice under paragraphs 4 to 7 from publishing that advice, or

(b) to prevent a person who makes representations under paragraph 2 or 9 from publishing those representations.

(2) A person (“the publisher”) publishing any such material (whether under paragraph 9 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

11

(1) After considering—

(a) any advice duly given under paragraphs 4 to 7,

(b) any representations duly made under paragraph 2 or 9, and

the Board must decide whether to make the proposed recommendation.

(2) The Board must give notice of its decision (“the decision notice”) to the approved regulator and to the Lord Chancellor.

(3) If the Board decides to make the proposed recommendation, the decision notice must—

(a) contain the recommendation, and

(b) state why the Board is satisfied of the matters mentioned in section 45(5)(a) and (b).

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