Source: http://www.legislation.gov.uk/asp/2010/16/part/2/prospective
Timestamp: 2013-05-20 03:04:00
Document Index: 638377007

Matched Legal Cases: ['art. 3', 'art 2', 'art.\n78', 'art 2', 'art 2', 'arts 1', 'art.\n87', 'art.\n88']

Status:Point in time view latest with prospective.This version of this part contains provisions that are prospective.StatusThe term provision is used to describe a definable element in a piece of legislation that has legislative effect – such as a Part, Chapter or section. A version of a provision is prospective either: where the provision (Part, has never come into force or; where the text of the provision is subject to change, but no date has yet been appointed by the appropriate person or body for those changes to come into force. Commencement Orders listed in the ‘Changes to Legislation’ box as not yet applied may bring this prospective version into force.Changes to legislation:There are outstanding changes not yet made by the legislation.gov.uk editorial team to Legal Services (Scotland) Act 2010. Any changes that have already been made by the team appear in the content and are referenced with annotations.Changes to LegislationChanges and effects yet to be applied by the editorial team are only applicable when viewing the latest version or prospective version of legislation. They are therefore not accessible when viewing legislation as at a specific point in time. To view the ‘Changes to Legislation’ information for this provision return to the latest version view using the options provided in the ‘What Version’ box above.Commencement Orders yet to be applied to the Legal Services (Scotland) Act 2010:Commencement OrdersThis section lists the commencement orders yet to be applied to the whole Act. These effects are included in this view as they may be (but won’t necessarily be) relevant to the specific provision that you are viewing. Where applicable the commencement orders are listed under two headings, firstly those that bring some part of the Act you are viewing into force and secondly, those that bring into force legislation that affects some part of the legislation you are viewing. If you are viewing a prospective version or there is a prospective version available there may be commencement orders listed here that are relevant to the provision you are viewing.Commencement Orders bringing provisions within this Act into force:S.S.I. 2011/180 art. 3 4 5 6 7 commences (2010 asp 16) Part 2 SRegulation of licensed legal servicesChapter 1SApproved regulatorsApproved regulatorsS6Approved regulatorsS(1)For the purposes of this Part, an approved regulator is a professional or other body which is approved as such by the Scottish Ministers under section 7.
16Other licensing rulesS(1)Licensing rules may allow for—
17Licensing appealsS(1)An applicant for a licence or (as the case may be) a licensed provider may appeal against a relevant licensing decision taken by virtue of this Part—
Practice rulesS18Practice rules: generalS(1)For the purposes of this Part, the practice rules are rules about—
19Financial sanctionsS(1)Practice rules made in pursuance of section 18(1)(f) may provide for the imposition of a financial penalty.
20Enforcement of dutiesS(1)Practice rules must include provision that it is a breach of the regulatory scheme for a licensed provider to—
21Performance reportS(1)Practice rules made by reference to section 20(2)(a) are (in particular) to give the Head of Practice of a licensed provider the functions of—
22Accounting and auditingSPractice rules must—
23Professional indemnitySPractice rules must—
Compensation arrangementsS24Choice of arrangementsS(1)An approved regulator must proceed with either option A or option B as regards a compensation fund from which to make good such relevant losses as may be suffered by reason of dishonesty on the part of its licensed legal services providers.
25Compensation rules: generalS(1)For the purposes of this Part, the compensation rules are rules in pursuance of (as the case may be)—
26More about compensation arrangementsS(1)Compensation rules may include such further compensation arrangements as to licensed providers for which provision is (in the approved regulator's opinion) necessary or expedient.
Internal governanceS27Internal governance arrangementsS(1)The internal governance arrangements of an approved regulator must incorporate such provision as is necessary with a view to ensuring that the approved regulator will—
28Communicating outsideS(1)The internal governance arrangements of an approved regulator must not, in relation to the persons who are involved in the exercise of its regulatory functions, prevent the persons from engaging in consultation or other communication with—
29More about governanceS(1)The Scottish Ministers may by regulations make further provision about the internal governance arrangements of approved regulators.
Regulatory functions etc.S30Regulatory and representative functionsS(1)For the purposes of this Part, the regulatory functions of an approved regulator are the approved regulator's functions of regulating its licensed legal services providers including (in particular) its functions—
31Assessment of licensed providersS(1)An approved regulator must assess the performance of each of its licensed providers at least once in every successive period of 3 years from (in each case) the date on which the approved regulator issued the licensed provider with its licence.
Relationship with other bodiesS32Giving information to SLABS(1)An approved regulator must provide the Scottish Legal Aid Board with such information as the Board may reasonably require for the purpose mentioned in subsection (2).
33Reporting to Law SocietyS(1)This section applies in relation to any licensed legal services provider (whose approved regulator is not the Law Society) that is required, by compensation rules made by reference to section 25(3), to make contributions to the Guarantee Fund.
34Steps open to SocietyS(1)Where—
35Financial inspection by SocietyS(1)If the relevant consent is given under subsection (4)(b) of section 34, the Law Society may take the step mentioned in subsection (5) of that section.
Performance and measuresS36Review of own performanceS(1)An approved regulator must review annually its performance.
37Monitoring by MinistersS(1)The Scottish Ministers may monitor the performance of approved regulators in such manner as they consider appropriate.
38Measures open to MinistersS(1)The Scottish Ministers may, in relation to an approved regulator, take one or more of the measures mentioned in subsection (4) if they consider that to be appropriate in the circumstances of the case.
Ceasing to regulateS39Surrender of authorisationS(1)An approved regulator may, with the prior agreement of the Scottish Ministers, surrender the authorisation given to it under section 10.
40Cessation directionsS(1)This section applies where—
41Transfer arrangementsS(1)This section applies where—
42Extra arrangementsS(1)The Scottish Ministers may by regulations make provision in connection with section 41 as to the arrangements for the transfer of licensed providers to the regulation of a different approved regulator (a “new regulator”).
Change of regulatorS43Change of approved regulatorS(1)A licensed legal services provider may transfer voluntarily to the regulation of a different approved regulator (a “new regulator”) from the one which issued its current licence (the “current regulator”).
44Step-in by MinistersS(1)The Scottish Ministers may by regulations make provision which establishes a body with a view to its becoming an approved regulator.
Additional functions etc.S45Additional powers and dutiesS(1)The Scottish Ministers may by regulations make provision conferring on approved regulators such additional functions as they consider appropriate for the purposes of this Part.
Chapter 2SLicensed legal services providersLicensed providersS47Licensed providersS(1)For the purposes of this Part, a licensed legal services provider is a business entity which, through the designated and other persons within it—
48Eligibility criteriaS(1)This section—
49Majority ownershipS(1)An entity is eligible to be a licensed provider only if the qualifying investors in it (taken together) have at least a 51% stake in the total ownership or control of the entity.
Key duties and positionsS50Key dutiesS(1)A licensed legal services provider must—
51Head of Legal ServicesS(1)It is for a licensed provider to make such administrative arrangements as it considers appropriate in respect of its Head of Legal Services.
52Head of PracticeS(1)It is for a licensed provider to make such administrative arrangements as it considers appropriate in respect of its Head of Practice.
53Practice CommitteeS(1)It is for a licensed provider—
Appointment to position etc.S54Notice of appointmentS(1)Subsection (2) applies whenever a licensed legal services provider appoints a person as its—
55Challenge to appointmentS(1)An approved regulator may by written notice challenge the appointment by any of its licensed providers of a person (“P”)—
56Disqualification from positionS(1)An approved regulator has the functions exercisable—
57Effect of disqualificationS(1)A disqualification under section 56—
58Conditions for disqualificationS(1)This section applies for the purposes of section 56.
Designated personsS59Designated personsS(1)In this Part, a “designated person” within a licensed legal services provider is a person who is designated as such under subsection (2).
60Working contextS(1)A Head of Legal Services is, in furtherance of section 51(5)(b) and (c), responsible for ensuring that there is (by or under the direction of the Head) adequate supervision of the legal work carried out by the designated persons within the licensed provider.
61Listing and informationS(1)The Head of Practice of a licensed provider must—
Non-solicitor investorsS62Fitness for involvementS(1)An approved regulator must—
63Exemption from fitness testS(1)Section 62(1) is subject to this section.
64Factors as to fitnessS(1)This section applies for the purposes of section 62.
65Ban for improper behaviourS(1)Where an approved regulator determines that a non-solicitor investor in a licensed provider has contravened section 66(1) or (2), the approved regulator must disqualify the investor from having an interest in the licensed provider.
66Behaving properlyS(1)A non-solicitor investor in a licensed provider must not (in that capacity) act in a way that is incompatible with—
67More about investorsS(1)Schedule 8 provides for other—
Discontinuance of servicesS68Duty to warnS(1)Subsection (2) applies where a licensed legal services provider—
69Inability to operateS(1)Subsections (2) to (7) apply where—
70Safeguarding clientsS(1)Subsections (2) and (3) apply where—
71Distribution of client accountS(1)Any sums of the kind to which section 42 of the 1980 Act applies that are held in a client account (as referred to in that section) kept by a licensed provider are, in any of the events mentioned in subsection (2A) of that section, to be distributed in the same way as they would if they were subject to that section.
Professional practice etc.S72Employing disqualified lawyerS(1)Subsection (2) applies in relation to—
73Concealing disqualificationS(1)Subsection (2) applies to—
74Pretending to be licensedS(1)A person commits an offence if the person—
75Professional privilegeS(1)Subsection (2) applies to any communication made to or by—
Chapter 3SFurther provisionAchieving regulatory aimsS76Input by the OFTS(1)The Scottish Ministers or (as the case may be) an approved regulator must, whenever consulting the OFT under this Part, request the OFT—
77Role of approved regulatorsS(1)Subsections (2) to (4) apply in relation to the exercise by an approved regulator of its functions under this Part.
78Policy statementS(1)An approved regulator must prepare and issue a statement of policy as to how, in exercising its functions under this Part, it will comply with its duties under section 77.
ComplaintsS79Complaints about regulatorsS(1)Any complaint about an approved regulator is to be made to the Scottish Legal Complaints Commission.
80Levy payable by regulatorsS(1)An approved regulator must pay to the Scottish Legal Complaints Commission—
81Complaints about providersSIn the 2007 Act, after Part 2 insert—
“Part 2A SSpecial provision for licensed providers57AComplaints about licensed providers(1)Parts 1 and 2 apply in relation to complaints made about licensed legal services providers as they apply in relation to complaints made about practitioners.
Registers and listsS82Register of approved regulatorsS(1)The Scottish Ministers—
83Registers of licensed providersS(1)An approved regulator must keep and publish a register of its licensed legal services providers.
84Lists of disqualified personsS(1)An approved regulator must keep a list of the persons whom it has disqualified under section 56 (that is, from holding a certain position in a licensed legal services provider).
MiscellaneousS85Privileged materialS(1)Subsection (2) applies to the publication under this Part of any—
86Immunity from damagesS(1)Neither an approved regulator nor any of its officers, members or employees is liable in damages for any act or omission occurring in the exercise (or purported exercise) of its functions under this Part.
87Appeal procedureS(1)This section applies in relation to an appeal to the sheriff under this Part.
88Corporate offencesS(1)Subsection (2) applies where—
89Effect of professional or other rulesS(1)Sections 121(5) and 124(3) respectively make provision (in connection with this Part) as to the effect of professional rules to which advocates and solicitors are subject.