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Schedule 3Minor and consequential modifications of enactments

Part 3Modification of other enactments in relation to complaints

Legal Aid (Scotland) Act 1986

14

In section 34 of the Legal Aid (Scotland) Act 1986 (confidentiality of information), in subsection (2)(b), the words “or 15(5)(a)” are repealed.

Law Reform (Miscellaneous Provisions) (Scotland) Act 1990

15 (1)

The 1990 Act is amended as follows.

(2)

In section 17 (conveyancing practitioners), subsection (8)(d) is repealed.

(3)

In section 20 (professional misconduct etc.)—

(a)

in subsection (1), in the opening words, for “6(2)(a) or 15(5)(a) of the 2007 Act” substitute “6(2) of the 2007 Act (or treated as having been so remitted by virtue of section 33A(2) of that Act)”,

(b)

subsection (2)(ca) is repealed,

(c)

subsection (2ZB) is repealed,

(d)

subsection (2B)(aa) is repealed,

(e)

for subsection (4) substitute—

“(4)

Any fine imposed under subsection (2)(cb) or (2B)(b) is payable to the Scottish Ministers.”,

(f)

subsection (6) is repealed,

(g)

subsection (7) is repealed,

(h)

subsections (11ZA) to (11ZC) are repealed,

(i)

subsections (11B) to (11E) are repealed,

(j)

subsection (11G) is repealed,

(k)

subsection (11H) is repealed.

(4)

Section 20ZA (remission of complaint by Tribunal to Council) is repealed.

(5)

In section 20ZB (unsatisfactory professional conduct)—

(a)

in subsection (1), in the opening words—

(i)

for “6(2)(a) or 15(5)(a) of the 2007 Act” substitute “6(2) of the 2007 Act (or is treated as having been so remitted by virtue of section 33A(2) of that Act)”,

(ii)

after “must” insert “(subject to section 47(1A) of the 2007 Act and subsections (1A) and (1B))”,

(b)

after subsection (1), insert—

“(1A)

The Council may propose a settlement in respect of the complaint which they consider is fair and reasonable in the circumstances to the practitioner and the complainer and, if the practitioner accepts the proposal, the Council—

(a)

must make a direction to that effect, and

(b)

may not determine the complaint under subsection (1) unless—

(i)

the practitioner has failed to comply with the direction under paragraph (a), or

(ii)

the direction is quashed under section 20B(2)(f).

(1B)

The practitioner may propose a settlement to the Council and the complainer, and if the Council considers the proposed settlement is fair and reasonable in the circumstances the Council—

(a)

must make a direction to that effect, and

(b)

may not determine the complaint under subsection (1) unless—

(i)

the practitioner has failed to comply with the direction under paragraph (a), or

(ii)

the direction is quashed under section 20B(2)(f).”,

(c)

subsection (2) is repealed,

(d)

in subsection (3), in the opening words—

(i)

the words “or (2)” are repealed,

(ii)

after “complaint” insert “or where the Council make a direction under subsection (1A)(a) or (1B)(a)”,

(e)

after subsection (3), insert—

“(3A)

Where the Council censures a practitioner under subsection (3), the Council may provide that the censure is to have effect for a specified period and must give their reasons for doing so when making an intimation under subsection (8).”,

(f)

subsection (4)(c) is repealed,

(g)

in subsection (5)—

(i)

after “complaint” where it first occurs insert “(including whether to make a proposed settlement under subsection (1A) or accept a proposed settlement made under subsection (1B))”,

(ii)

after “of” where it first occurs insert “—

(a)”,

(iii)

for “(but not a complaint in respect of which an appeal is pending or which has been quashed ultimately on appeal).” substitute ,

(b)

any previous decision made under section 47(1A)(a) of the 2007 Act with respect to a complaint against the practitioner,

(c)

any previous direction made under subsection (1A)(a) or (1B)(a) with respect to a complaint against the practitioner,

(d)

any previous determination of the Commission of a services complaint under section 9(1) of the 2007 Act relating to the same alleged set of circumstances,

but not a determination, decision or direction in respect of which an appeal is pending or which has been quashed ultimately on appeal.”,

(h)

for subsection (7) substitute—

“(7)

Any fine imposed under subsection (4)(b) is payable to the Scottish Ministers.”,

(i)

in subsection (8)—

(i)

in paragraph (a), the words “or (2)” are repealed,

(ii)

in paragraph (c), after “subsection” insert “(1A)(a), (1B)(a) or”,

(iii)

in the closing words, after “practitioner” insert “, and to the Commission and any other relevant party,”,

(iv)

in the closing words, after “determination” where it second occurs insert “or the direction under subsection (1A)(a) or (1B)(a)”,

(j)

after subsection (8) insert—

“(8A)

An intimation made under subsection (8) must—

(a)

be sent as soon as practicable after the determination or direction under subsection (1A)(a) or (1B)(a) has been made,

(b)

include information about any right of appeal or ability to make a handling complaint by virtue of section 23 of the 2007 Act.”,

(k)

in subsection (9)—

(i)

in the opening words, for “or (2),” substitute “, a decision to reinstate a discontinued investigation has been made under section 47(1A)(b) of the 2007 Act,”,

(ii)

in the opening words, for “determination or” substitute “determination, decision or”,

(iii)

after paragraph (a) insert—

“(aa)

decision,”,

(l)

in subsection (10)—

(i)

after “which” insert “—

(a)”,

(ii)

the words “or (2)” are repealed,

(iii)

for “him, appeal to the Tribunal against the determination.” substitute the complainer,

(b)

a decision under subsection 47(1A)(a) of the 2007 Act to discontinue an investigation is intimated to the complainer, or

(c)

a direction under subsection (1A)(a) or (1B)(a) is intimated to the complainer,

appeal to the Tribunal against the determination, decision or direction.”,

(m)

subsection (11) is repealed,

(n)

subsection (12) is repealed,

(o)

subsection (13)(b) is repealed,

(p)

subsection (14)(b) is repealed.

(6)

In section 20ZC—

(a)

in subsection (1), for “20ZB(4)” substitute “20ZB(1A)(a), (1B)(a) or (4)”,

(b)

in subsection (2)—

(i)

for “(12)” substitute “(10)”,

(ii)

for “20ZB(4)” substitute “20ZB(1A)(a), (1B)(a) or (4)”,

(c)

the title to the section becomes “Unsatisfactory professional conduct: Council’s powers to monitor compliance with direction under section 20ZB”.

(7)

After section 20ZE, insert—

“20ZFApplication of procedure relating to complaints

(1)

The rules made by the Council under section 42D(1)(a) and (b) of the 1980 Act about the procedure for the making of a decision under section 47(1A) of the 2007 Act apply to such decisions made in relation to a complaint against a practitioner.

(2)

The rules made by the Council under section 42D(1)(c) and (d) of the 1980 Act about the procedure for making and accepting a proposed settlement under section 42ZA(1A) and (1B) of that Act apply to the making and accepting of a proposed settlement under section 20ZB(1A) and (1B).”.

(8)

In section 20B (unsatisfactory professional conduct: powers of Tribunal on appeal)—

(a)

in subsection (1)—

(i)

paragraph (f) is repealed,

(ii)

after paragraph (f) insert—

“(g)

may quash or confirm the decision being appealed against,

(h)

if it confirms the decision, may direct the Council as to which aspects of the complaint should be continued.”,

(b)

in subsection (2)—

(i)

paragraph (b) is repealed,

(ii)

after paragraph (c), insert—

“(d)

may quash or confirm the decision being appealed against,

(e)

if it quashes the decision, may direct the Council as to which aspects of the complaint should be continued,

(f)

may quash or confirm the direction being appealed against,

(g)

if it quashes the direction—

(i)

must quash any censure and any other associated measures accompanying the direction,

(ii)

may direct the Council to carry out their duties under section 20ZB(1),

(iii)

may direct the Council to propose a new settlement under section 20ZB(1A), taking into account any matters specified by the Tribunal,

(iv)

may dismiss the complaint.”,

(c)

subsection (3) is repealed,

(d)

subsection (4) is repealed,

(e)

for subsection (6) substitute—

“(6)

Any fine imposed under subsection (1)(e) is payable to the Scottish Ministers.”,

(f)

subsection (8)(b) is repealed,

(g)

subsection (9)(b) is repealed.

(9)

In section 20D (unsatisfactory professional conduct: appeal from decisions of Tribunal), in subsection (3)—

(a)

paragraphs (b) to (d) are repealed,

(b)

paragraph (f) is repealed,

(c)

paragraph (g) is repealed,

(d)

after paragraph (g), insert—

“(h)

a decision under subsection (2)(d) to quash or confirm a decision made under section 47(1A)(a) of the 2007 Act.”.

(10)

In section 20E (unsatisfactory professional conduct: powers of court on appeal)—

(a)

subsection (1)(b) is repealed,

(b)

subsection (3)(b) is repealed,

(c)

subsection (4)(b) is repealed.

(11)

In section 21B (procedures of the Tribunal etc.), in subsection (2)—

(a)

“15” substitute “15A, 16A”,

(b)

for “, (10), (11) or (12)” substitute “or (10)”.

Legal Profession and Legal Aid (Scotland) Act 2007

16 (1)

The 2007 Act is amended as follows.

(2)

In section 2 (receipt of complaints: preliminary steps)—

(a)

in subsection (1)(a)(i), for “other than a firm of solicitors or an incorporated practice” substitute “who is an individual”,

(b)

in subsection (3), for the words from “the”, where it first occurs, to “further” substitute “any”.

(3)

In section 3 (existence of specified regulatory scheme)—

(a)

in subsection (1), after “2(1)” insert “or 2A(1)”,

(b)

in subsection (2), in the opening words, the words “in writing” are repealed,

(c)

in subsection (4), the words “taking the preliminary steps referred to in section 2(4) and” are repealed.

(4)

In section 8 (services complaint: local resolution or mediation)—

(a)

in subsection (2), the words “, by notice in writing to the complainer and the practitioner” are repealed,

(b)

in subsection (3), the words “, by notice in writing,” are repealed,

(c)

in subsection (4), the words “, by notice in writing to the complainer and the practitioner,” are repealed,

(d)

in subsection (6), the words from “; and,” to the end of the subsection are repealed.

(5)

In section 9 (services complaint: Commission’s duty to investigate and determine)—

(a)

in subsection (1)—

(i)

in paragraph (d), the words “under section 2(1A)(a)” are repealed,

(ii)

in paragraph (d), at the end insert “(in whole or in part)”,

(iii)

in the closing words, the words “and section 15(2) and (5)” are repealed,

(iv)

in the closing words, after “complaint” insert “(or the part of the complaint constituting a services complaint)”,

(v)

in the closing words, for “(4)” substitute “(7)”,

(b)

subsection (1B) is repealed.

(6)

In section 16 (power to monitor compliance with directions under section 10(2))—

(a)

in subsection (1), the words “in writing” are repealed,

(b)

in subsection (2)—

(i)

for “an appeal” substitute “a review”,

(ii)

for “section 21(1)” substitute “section 20A”,

(iii)

for “the appeal” substitute “the review”.

(7)

In section 17 (power to examine documents and demand explanations in connection with conduct or services complaints)—

(a)

in subsection (1)—

(i)

after “2,” insert “2A,”,

(ii)

for “15 or 16” substitute “16, 23 or 24 or any provision in rules made under section 32(1) (but only in so far as the provision in the rules relates to the categorisation of complaints)”,

(iii)

the words “in writing” are repealed,

(b)

in subsection (3)(b), for “incorporated practice of which the practice” substitute “authorised legal business of which the business”,

(c)

in subsection (4)—

(i)

after “2,” insert “2A,”,

(ii)

for “or 15, it may give notice in writing” substitute “, 23 or 24 or any provision in rules made under section 32(1), it may give notice”.

(8)

In section 23 (handling by relevant professional organisations of conduct complaints: investigation by Commission), in subsection (5), in paragraph (a), the words “the handling complaint is that” are repealed.

(9)

In section 24 (investigation under section 23: final report and recommendations), in subsection (5), the words “, in writing,” are repealed.

(10)

In section 33 (duty of relevant professional organisations to forward complaints to Commission), in subsection (1)(b), the words “or 15(5)(a)” are repealed.

(11)

In section 34 (Commission’s duty to provide advice)—

(a)

in subsection (1), the words “services complaint or a handling” are repealed,

(b)

in subsection (2), for “a firm of solicitors or an incorporated practice” substitute “not an individual”.

(12)

In section 37 (obtaining of information from relevant professional organisations), in subsection (2), for “or 15(5)(a)” substitute “(or treated as having been remitted to it under that section by virtue of section 33A(2))”.

(13)

In section 42 (reports: privilege)—

(a)

the title of the section becomes “Disclosure of information by Commission: privilege”,

(b)

for “publication of any report” insert “disclosure of any information by the Commission”,

(c)

the words “13(1), 23(8),” are repealed,

(d)

after “36(2)” insert “, 41A”,

(e)

for “publication” where it second occurs substitute “disclosure”.

(14)

In section 43(2) (restriction upon disclosure of information: Commission), in paragraph (a), after “services complaint” insert “, regulatory complaint”.

(15)

In section 46(1) (interpretation of Part 1)—

(a)

after the definition of “annual general levy” insert—

““authorised legal business” is a legal business (within the meaning of section 39(2) of the 2025 Act) that is authorised to provide legal services by a category 1 regulator,

“category 1 regulator” means a body that regulates the provision of legal services and which has been assigned as a category 1 regulator in or under section 7 of the 2025 Act,

“category 2 regulator” means a body that regulates the provision of legal services and which has been assigned as or deemed a category 2 regulator in or under section 7 of the 2025 Act,”,

(b)

in the definition of “employing practitioner” for “section 4(4)(a)” substitute “section 2(1ZB)”,

(c)

in the definition of “inadequate professional services”, in paragraph (a), for sub-paragraphs (iii) and (iv) substitute—

“(i)
an authorised legal business, professional services which are in any respect not of the quality which could reasonably be expected of a competent authorised legal business,

(ii)
a person exercising a right to provide legal services acquired by virtue of Chapter 3 of Part 1 of the 2025 Act (or section 27 of the 1990 Act), professional services which are in any respect not of the quality which could reasonably be expected of a competent person exercising such a right,”,

(d)

after the definition of “incorporated practice” insert—

““legal services” has the meaning given by section 5 of the 2025 Act,”,

(e)

in the definition of “practitioner” for paragraph (d), substitute—

“(a)
an authorised legal business, whether or not since that time there has been any change in the persons exercising the management and control of the business, the business has ceased to be authorised to provide legal services by a category 1 regulator or the business has ceased to operate;”,

(f)

paragraph (e) is repealed,

(g)

for paragraph (f) substitute—

“(a)
a person exercising a right to provide legal services acquired by virtue of Chapter 3 of Part 1 of the 2025 Act (or section 27 of the 1990 Act) and includes any such person, whether or not the person had acquired the right at that time and notwithstanding that subsequent to that time the person no longer has the right,”,

(h)

after the definition of “practitioner”, insert—

““professional services” includes legal services,”,

(i)

after the definition of “registered European or foreign lawyer” insert—

““regulatory complaint”—

(a)

in relation to an authorised legal business, has the meaning given by section 2(1)(c),

(b)

in relation to a licensed legal services provider (within the meaning of section 47 of the Legal Services (Scotland) Act 2010), has the meaning given by section 57A(4A)(a),”,

(j)

for the definition of “relevant professional organisation” substitute—

““relevant professional organisation” means, in relation to a complaint as respects a practitioner who is regulated by—

(a)

a category 1 regulator, that category 1 regulator,

(b)

a category 2 regulator, that category 2 regulator,”,

(k)

in the definition of “unsatisfactory professional conduct”, in paragraph (c), for “conduct litigation or a right of audience acquired by virtue of section 27 of the 1990 Act” substitute “provide legal services acquired by virtue of Chapter 3 of Part 1 of the 2025 Act (or section 27 of the 1990 Act)”.

(16)

In Part 2, the title of the Part becomes “CONDUCT, SERVICES AND REGULATORY COMPLAINTS ETC.: OTHER MATTERS”.

(17)

In section 47 (conduct complaints: duty of relevant professional organisations to investigate etc.)—

(a)

in subsection (1)—

(i)

for “or 15(5)(a)” substitute “(or treated as having been remitted to it under that section by virtue of section 33A(2))”,

(ii)

for “section 15(1) and (6)” substitute “section 33(4) and any rules made under section 32(1)”,

(b)

in subsection (4), for “52” substitute “52A”.

(18)

In section 48 (conduct complaints and reviews: power of relevant professional organisations to examine documents and demand explanations), in subsection (1), in the opening words—

(a)

after “section 47” insert “or a regulatory complaint under section 52A,”,

(b)

for “a conduct”, where it second occurs, substitute “such a”.

(19)

The title of section 48 becomes “Conduct complaints, regulatory complaints and reviews: power of relevant professional organisations to examine documents and demand explanations”.

(20)

In section 49 (conduct complaints: financial impropriety), in subsection (1), after “section 47” insert “or a regulatory complaint under section 52A”.

(21)

The title of section 49 becomes “Conduct complaints and regulatory complaints: financial impropriety”.

(22)

In section 51 (powers in relation to documents and information from third parties), in subsection (1)—

(a)

after “section 47” insert “or a regulatory complaint under section 52A,”,

(b)

for “a conduct”, where it second occurs, substitute “such a”.

(23)

After section 51, insert—

“51BDisclosure of information by relevant professional organisation: privilege

For the purposes of the law of defamation, disclosure of any information by a relevant professional organisation under section 51A is privileged unless the disclosure is proved to be made with malice.”.

(24)

In section 52 (restriction upon disclosure of information: relevant professional organisations), in subsection (2)(a), after “complaint” insert “or a regulatory complaint”.

(25)

In section 57A (complaints about licensed providers)—

(a)

in subsection (2), for the words “and (4)” substitute “to (4A)”,

(b)

in subsection (4), paragraph (b) is repealed,

(c)

after subsection (4) insert—

“(4A)

In relation to a regulatory complaint about a licensed provider—

(a)

a regulatory complaint is where any person suggests that the licensed provider is failing (or has failed) to—

(i)

have regard to the regulatory objectives,

(ii)

adhere to the professional principles,

(iii)

comply with the approved regulator’s regulatory scheme,

(iv)

comply with the terms and conditions of its licence, and

(b)

its approved regulator is to be regarded as the relevant professional organisation.”,

(d)

subsection (5) is repealed.

(26)

Section 57B (regulatory complaints) is repealed.

(27)

In section 57C (levy, advice and guidance)—

(a)

in subsection (2), after the words “28(1)” insert “to the extent it relates to the annual general levy and the complaints levy”,

(b)

subsections (4) and (5) are repealed,

(c)

the title of the section becomes “Levy”.

(28)

In section 57E (handling complaints), in subsection (1), after “conduct complaint” insert “or a regulatory complaint”.

(29)

In section 78 (ancillary provision), in subsection (1), for “of” where it second occurs substitute “made under”.

(30)

In section 79 (regulations or orders), in subsection (3)(b), after “section” insert “28A(3) or”.

(31)

In section 80 (interpretation), after the definition of “the 1990 Act” insert—

““the 2025 Act” means the Regulation of Legal Services (Scotland) Act 2025.”.

(32)

In schedule 1, paragraph 2 (membership of the Commission), for sub-paragraph (6)(d) substitute—

“(d)

persons exercising a right to provide legal services acquired by virtue of Chapter 3 of Part 1 of the 2025 Act (or section 27 of the 1990 Act).”.

(33)

In schedule 4—

(a)

after paragraph 1(b), insert—

“(c)

under section 48A(2) to any person having possession or control of any documents mentioned in subsection (9) of that section,”,

(b)

after paragraph 2(b), insert—

“(c)

in the case mentioned in paragraph 1(c), without delay serve on the practitioner in respect of whom the relevant professional organisation is considering initiating the potential complaint mentioned in section 48A(1), and any other person to whom the notice was given,”,

(c)

the title to the schedule becomes “FURTHER POWERS OF RELEVANT PROFESSIONAL ORGANISATIONS UNDER SECTIONS 48 AND 48A”.

Legal Services (Scotland) Act 2010

17 (1)

The 2010 Act is amended as follows.

(2)

In section 19 (financial sanctions)—

(a)

in subsection (1)—

(i)

the words from “the” to the end of the subsection become paragraph (a),

(ii)

after that paragraph, insert—

“(b)

the withdrawal of the imposition of a financial penalty if the regulator considers that it would not be reasonable to seek (or to continue to seek) payment of the financial penalty.”,

(b)

for subsection (2) substitute—

“(2)

The Scottish Ministers may by regulations specify the maximum amount of a financial penalty that may be imposed by virtue of subsection (1).”,

(c)

after subsection (5) insert—

“(6)

Before making regulations under subsection (2), the Scottish Ministers must consult—

(a)

each approved regulator, and

(b)

such other person or body as the Scottish Ministers consider appropriate.

(7)

Regulations under subsection (2) may not be made without the agreement of the Lord President.”.

(3)

In section 38 (measures open to Ministers), in subsection (6), the words “except paragraph (d)” are repealed.

(4)

In section 121 (professional rules), after subsection (3) insert—

“(3A)

Before making any rule which relates to complaints against advocates, the Faculty must consult the Scottish Legal Complaints Commission.”.

(5)

In schedule 4 (financial penalties), paragraphs 8 to 10 are repealed.