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Schedule 3Minor and consequential modifications of enactments

Part 4Miscellaneous modifications of the 1980 Act etc.

The roll and other registers

18 (1)

The 1980 Act is amended as follows.

(2)

In section 7 (keeping the roll)—

(a)

in subsection (1), the words “at the office of their secretary” are repealed,

(b)

for subsection (3) substitute—

“(3)

The roll must be accessible to, and searchable by, the public, free of charge, by such electronic means as the Council consider appropriate.”.

(3)

In section 8 (entry in the roll), for subsection (2) substitute—

“(2)

Any solicitor whose name is entered on the roll (in this Act referred to as “an enrolled solicitor”) must—

(a)

on enrolment, inform the Council of—

(i)

the address of the solicitor’s place of business, and

(ii)

any other information the Council consider necessary for the purpose of maintaining the roll, and

(b)

inform the Council of any change to the information required under paragraph (a) within 28 days of the change.”.

(4)

In section 12A (keeping the register)—

(a)

in subsection (1), the words “, and shall keep the register at the office of their secretary” are repealed,

(b)

for subsection (3) substitute—

“(3)

The register must be accessible to, and searchable by, the public, free of charge, by such electronic means as the Council consider appropriate.”.

(5)

In section 12B (information to be provided by registered European lawyers), for subsection (1) substitute—

“(1)

Any registered European lawyer must—

(a)

on registration, inform the Council of—

(i)

the address of the registered European lawyer’s place of business,

(ii)

the registered European lawyer’s home professional title, and

(iii)

the name and address of the competent authority with which the registered European lawyer is registered in the registered European lawyer’s home state, and

(b)

inform the Council of any change to the information required under paragraph (a) within 28 days of the change.”.

(6)

In section 12C (removal of name from register on request)—

(a)

in subsection (1), for “solicitor” substitute “registered European lawyer”,

(b)

in subsection (2)(a), for “solicitor”, in both places it occurs, substitute “registered European lawyer”.

(7)

In section 13 (applications for practising certificates), for subsection (2) substitute—

“(2)

The register must be accessible to, and searchable by, the public, free of charge, by such electronic means as the Council consider appropriate.”.

(8)

In section 24A (applications for registration certificates), for subsection (2) substitute—

“(2)

The register referred to in subsection (1)(c) must be accessible to, and searchable by, the public, free of charge, by such electronic means as the Council consider appropriate.”.

(9)

In section 60A (registered foreign lawyers)—

(a)

for subsection (4A) substitute—

“(4A)

The register of foreign lawyers must be accessible to, and searchable by, the public, free of charge, by such electronic means as the Council consider appropriate.”,

(b)

in subsection (4B), after “hand” insert “and the Council are satisfied that it is otherwise appropriate to do so”.

(10)

In schedule 2 (the roll: powers of the Council and ancillary provisions)—

(a)

in paragraph 1(b)—

(i)

for “send to any solicitor at his address as shown in the roll a letter enquiring” substitute “contact any solicitor to enquire”,

(ii)

for “6 months” substitute “8 weeks”,

(iii)

for “of the posting of the letter” substitute “the enquiry is made”,

(b)

for paragraph 1(c) substitute—

“(c)

where—

(i)

a solicitor on the roll has been so enrolled based on an undertaking to complete any remaining period of training or to meet any other requirements that the solicitor is required to meet in pursuance of regulations under section 5, and

(ii)

the Council are not satisfied that the solicitor has fulfilled that undertaking—

(A)

within the period of 6 months beginning with the last day of service of the training contract which the solicitor entered into in accordance with those regulations, or

(B)

immediately following the termination of such a training contract,

to contact the solicitor to enquire whether the solicitor intends to fulfil the undertaking and intimating that, unless a reply which the Council regard as satisfactory is received within the period of 8 weeks beginning with the day on which the enquiry is made, the solicitor’s name may be removed from the roll, and”,

(c)

in paragraph 1(d)—

(i)

for “a letter has been so sent” substitute “an enquiry has been made”,

(ii)

for “a letter sent” substitute “an enquiry made”.

(11)

In schedule 4 (constitution, procedure and powers of Tribunal)—

(a)

in paragraph 18, for the words from “shall” to the end of the paragraph substitute “must be accessible to, and searchable by, the public, free of charge, by such electronic means as the Council consider appropriate.”,

(b)

in paragraph 18A, for the words from “open” to the end of the paragraph substitute “accessible to, and searchable by, the public, free of charge, by such electronic means as the Council consider appropriate.”.

19 (1)

The 1990 Act is amended as follows.

(2)

In section 17 (conveyancing practitioners)—

(a)

in subsection (1), for the words from “shall” to the end of the subsection substitute “must be accessible to, and searchable by, the public, free of charge, by such electronic means as the Council consider appropriate.”,

(b)

after subsection (9) insert—

“(9A)

On application to the Council from a conveyancing practitioner whose name has been removed from the register under subsection (9), the Council may, after such inquiry as they think proper, restore the name of that conveyancing practitioner to the register.

(9B)

Rules made by the Tribunal under section 52 of the 1980 Act may—

(a)

regulate the making, hearing and determining of applications under subsection (9A),

(b)

provide for payment by the applicant to the Council of such fee in respect of restoration to the register as the rules may specify.”.

(3)

In section 18 (executry practitioners)—

(a)

(b)

after subsection (8) insert—

“(8A)

On application to the Council from an executry practitioner whose name has been removed from the register under subsection (9), the Council may, after such inquiry as they think proper, restore the name of that executry practitioner, to the register.

(8B)

Rules made by the Tribunal under section 52 of the 1980 Act may—

(a)

regulate the making, hearing and determining of applications under subsection (8A),

(b)

provide for payment by the applicant to the Council of such fee in respect of restoration to the register as the rules may specify.”.

Restoration of name to roll: appeals

20 (1)

The 1980 Act is amended as follows.

(2)

In section 10 (restoration of name to roll on request)—

(a)

after subsection (1ZA), insert—

“(1ZB)

Where under subsection (1) or (1ZA) the Tribunal decides not to restore a solicitor’s name to the roll, the solicitor may appeal the decision to the Court.

(1ZC)

An appeal under subsection (1ZB) must be made before the expiry of the period of 21 days beginning with the day on which the Tribunal’s decision is intimated to the solicitor.

(1ZD)

On an appeal under subsection (1ZB), the Court may give such directions in the matter as it thinks fit, including directions as to the expenses of the proceedings before the Court and as to any order by the Tribunal relating to expenses.

(1ZE)

A decision of the Court under subsection (1ZD) is final.”,

(b)

after subsection (1A), insert—

“(1B)

Where under subsection (1A) the Council decides not to restore a solicitor’s name, or annotation against a solicitor’s name, to the roll, the solicitor may appeal the decision to the Tribunal.

(1C)

An appeal under subsection (1B) must be made before the expiry of the period of 21 days beginning with the day on which the Council’s decision is intimated to the solicitor.

(1D)

On an appeal to the Tribunal under subsection (1B), the Tribunal may—

(a)

restore the solicitor’s name, or annotation against the solicitor’s name, to the roll, or

(b)

confirm the Council’s decision.”.

(3)

In schedule 4 (constitution, procedure and powers of Tribunal)—

(a)

in paragraph 23, in the opening words, after “appeal to the Tribunal under section” insert “10(1B), 12D(2A),”,

(b)

in paragraph 25, at the beginning, insert “Subject to paragraph 26,”,

(c)

after paragraph 25 insert—

“26

In an appeal to the Tribunal under section 10(1B), the Tribunal must—

(a)

give notice of the appeal to the solicitor and to the Council, and

(b)

enquire into the matter, giving the solicitor and the Council reasonable opportunity to make representations to the Tribunal.”.

Restoration of name to register of European lawyers: appeals

21 (1)

The 1980 Act is amended as follows.

(2)

In section 12D (restoration of name to register on request), after subsection (2) insert—

“(2A)

Where under subsection (2) the Council decides not to restore a registered European lawyer’s name, or annotation against a registered European lawyer’s name, to the register, the registered European lawyer may appeal the decision to the Tribunal.

(2B)

An appeal under subsection (2A) must be made before the expiry of the period of 21 days beginning with the day on which the Council’s decision is intimated to the registered European lawyer.

(2C)

On an appeal to the Tribunal under subsection (2A), the Tribunal—

(a)

if the Tribunal considers that a registered European lawyer’s name should be restored to the register, must direct the Council—

(i)

to restore the registered European lawyer’s name to the register, and

(ii)

to issue to the registered European lawyer a registration certificate, subject to such conditions, if any, as the Tribunal thinks fit,

(b)

if the Tribunal considers that an annotation against the registered European lawyer’s name should be restored to the register, must direct the Council to restore the annotation to the register,

(c)

may confirm the Council’s decision.”.

(3)

In section 52 (procedure on complaints and appeals to Tribunal), in subsection (2)(aa), after “section” insert “10(1B), 12D(2A),”.

Restoration of name to register of foreign lawyers: appeals

22 (1)

The 1980 Act is amended as follows.

(2)

In section 60A (registered foreign lawyers), after subsection (4F) insert—

“(4FA)

Where under subsection (4C) the Council decides not to restore a foreign lawyer’s name to the register, the foreign lawyer may appeal the decision to the Court.

(4FB)

Where under subsection (4D) the Tribunal decides not to order the restoration of a foreign lawyer’s name to the register, the foreign lawyer may appeal the decision to the Court.

(4FC)

An appeal under subsection (4FA) or (4FB) must be made before the expiry of the period of 21 days beginning with the day on which the Council’s decision or, as the case may be, the Tribunal’s decision, is intimated to the foreign lawyer.

(4FD)

On an appeal to the Court under subsection (4FA) or (4FB), the Court may—

(a)

order the restoration of the foreign lawyer’s name to the register, or

(b)

confirm the decision of the Council or, as the case may be, the Tribunal.”.

Restoration of name to roll or register: expenses

23 (1)

The 1980 Act is amended as follows.

(2)

In schedule 4 (constitution, procedure and powers of Tribunal)—

(a)

after paragraph 19 insert—

“19A

The Tribunal may make such order as it thinks fit in relation to an application under section 10(1), 12D(1) or 60A(4D) as to the payment by the applicant or the respondent of—

(a)

the expenses incurred by the other party and by the Tribunal, or

(b)

a reasonable contribution towards those expenses.”,

(b)

in paragraph 23, after paragraph (d) insert—

“(e)

paragraph 19A does not apply.”.

Practising certificates

24 (1)

The 1980 Act is amended as follows.

(2)

In section 15 (discretion of Council in special cases)—

(a)

in subsection (2)(i)(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)”,

(b)

after subsection (2)(j) insert—

“(k)

where the solicitor’s practising certificate is subject to conditions.”,

(c)

in subjection (3), for “or (h)” substitute “, (h) or (k)”,

(d)

after subsection (3) insert—

“(3A)

Where the Council decide to issue a practising certificate subject to conditions, the Council may, at the request of the solicitor to whom the certificate is issued or on their own initiative—

(a)

vary the conditions,

(b)

remove conditions, or

(c)

impose further conditions.

(3B)

Before making a decision to vary, remove or impose conditions under subsection (3A), the Council must—

(a)

notify the solicitor of their intention to exercise the power,

(b)

give the solicitor an opportunity to make representations within 14 days of being notified,

and when exercising that power, must take into account any representations made by the solicitor.

(3C)

The Council must notify the solicitor to whom the practising certificate is issued of the decision to vary, remove or impose conditions and the reasons for the decision as soon as practicable after making the decision.”,

(e)

in subsection (4), after “conditions,” insert “or vary, remove or impose conditions under subsection (3A),”,

(f)

after subsection (4) insert—

“(5)

If a solicitor fails to comply with any condition of the solicitor’s practising certificate, that failure may be treated as professional misconduct or unsatisfactory professional conduct.”.

(3)

After section 15 insert—

“15ADiscretion of Council in other cases

(1)

Except in a case where section 15 has effect, the Council may, subject to subsection (2), take any of the following steps in relation to the practising certificate of a solicitor—

(a)

vary any conditions imposed by the Council,

(b)

remove conditions, or

(c)

impose conditions.

(2)

The Council may take any of the steps mentioned in subsection (1) only if they consider it necessary to do so—

(a)

in the public interest, or

(b)

for the protection of the public.

(3)

Before making a decision to vary, remove or impose conditions by virtue of subsection (2)(a), the Council must—

(a)

notify the solicitor of their intention to exercise the power,

(b)

give the solicitor an opportunity to make representations within 14 days of being notified,

and when exercising that power, must take into account any representations made by the solicitor.

(4)

Where the Council have made a decision to vary, remove or impose conditions by virtue of subsection (2)(b), the Council—

(a)

when notifying the solicitor under subsection (5), must give the solicitor an opportunity to make representations within 14 days of being notified, and

(b)

taking into account any representations made, may vary their decision.

(5)

The Council must notify the solicitor to whom the practising certificate is issued of their decision to vary, remove or impose conditions and the reasons for the decision as soon as practicable after making the decision.

(6)

Where the Council decide to vary, remove or impose conditions, they may, if they think fit, postpone the issue of the certificate pending the hearing and determination of an appeal under section 16.

(7)

If a solicitor fails to comply with any condition of the solicitor’s practising certificate, that failure may be treated as professional misconduct or unsatisfactory professional conduct.”.

(4)

In section 16 (appeals from decisions of Council)—

(a)

in subsection (2), after “conditions,” insert “or decide to vary, remove or impose conditions,”,

(b)

after subsection (2) insert—

“(2A)

Where the Council have varied conditions of, removed conditions from or imposed conditions on a practising certificate under section 15A, the solicitor to whom the certificate is issued may appeal to the Court against that decision within 14 days of being notified of it.”,

(c)

in subsection (3), in the opening words, after “(2)” insert “or (2A)”.

(5)

In section 17 (date and expiry of practising certificates), in subsection (2), after “(1)” insert “or a different date specified on the certificate”.

(6)

In section 18 (suspension of practising certificates)—

(a)

after subsection (1ZA) insert—

“(1ZB)

The Council may suspend a solicitor from practice as a solicitor if the Council consider it necessary to do so—

(a)

in the public interest, or

(b)

for the protection of the public.

(1ZC)

Before making a decision to suspend a solicitor from practice by virtue of subsection (1ZB)(a), the Council must—

(a)

notify the solicitor of their intention to make a decision,

(b)

give the solicitor an opportunity to make representations within 14 days of being notified,

and when making a decision, must take into account any representations made by the solicitor.

(1ZD)

Where the Council have made a decision to suspend a solicitor from practice by virtue of subsection (1ZB)(b), the Council—

(a)

when notifying the solicitor under subsection (1ZE), must give the solicitor an opportunity to make representations within 14 days of being notified, and

(b)

taking into account any representations made, may vary their decision.

(1ZE)

Where the Council have made a decision to suspend a solicitor from practice under subsection (1ZB), the Council must notify the solicitor of the suspension as soon as practicable and give reasons for the suspension.”,

(b)

after subsection (3A) insert—

“(4)

Where the Council have been notified by the Commission that a solicitor has failed to comply with a direction under section 10 of the 2007 Act, the Council may, when considering a suspension under this section, contact the Commission to ascertain whether the solicitor has since complied with the direction.”,

(c)

the title of section 18 becomes “Suspension from practice as solicitor”.

(7)

In section 19 (further provisions relating to suspension of practising certificates)—

(a)

subsection (1) is repealed,

(b)

for subsections (4) and (5) substitute—

“(4)

Where a solicitor has been suspended from practice as a solicitor by virtue of section 18(1)(c) or (d), the suspension expires on the solicitor being granted a discharge.

(5)

Where a solicitor has been suspended from practice as a solicitor by virtue of section 18(1)(e), the suspension expires on the judicial factor being granted a discharge.”,

(c)

subsection (5B) is repealed,

(d)

in subsection (5C), for “(5B)” substitute “(5A)”,

(e)

after subsection (5C), insert—

“(5D)

Where a solicitor is suspended from practice as a solicitor by virtue of paragraphs (c), (d) or (e) of section 18(1) or by virtue of section 18(1ZA) or (1ZB), the Council may, on their own initiative, decide to terminate the suspension with or without conditions.”,

(f)

in subsection (6), after “section 18(1ZA)” insert “or (1ZB)”,

(g)

after subsection (7), insert—

“(7A)

Where the Council have made a decision—

(a)

to terminate the suspension of a solicitor under subsection (5D),

(b)

to grant an application to terminate the suspension of a solicitor under subsection (7)(a), or

(c)

to refuse an application to terminate the suspension of a solicitor under subsection (7)(b),

the Council must notify the solicitor of the decision and the reasons for the decision as soon as practicable after making the decision.”,

(h)

the title of section 19 becomes “Further provisions relating to suspension from practice as solicitor”.

(8)

In section 20 (Council’s duty to supply lists of solicitors holding practising certificates), after subsection (1)(b) insert—

“(c)

any other body the Council consider necessary for the fulfilment of the Council’s regulatory duties,”.

Registration certificates

25 (1)

The 1980 Act is amended as follows.

(2)

In section 24C (discretion of Council in special cases)—

(a)

in subsection (2)(h)—

(i)

in the opening words, the words “, after a complaint has been made” are repealed,

(ii)

in sub-paragraph (i), for “relating to his conduct of the business of a client” substitute “the Council are investigating a conduct complaint remitted to them under section 6(2) of the 2007 Act (or is treated as having been so remitted by virtue of section 33A(2) of that Act),”,

(iii)

in sub-paragraph (ii), at beginning insert “after a complaint has been made”,

(b)

after subsection (2)(i) insert—

“(j)

where the registered European lawyer’s registration certificate is subject to conditions.”,

(c)

in subsection (3), for “or (g)” substitute “, (g) or (j)”,

(d)

after subsection (3) insert—

“(3A)

Where the Council decide to issue a registration certificate subject to conditions, the Council may, at the request of the registered European lawyer to whom the certificate is issued or on their own initiative—

(a)

vary the conditions,

(b)

remove conditions, or

(c)

impose further conditions.

(3B)

Before making a decision to vary, remove or impose conditions under subsection (3A), the Council must—

(a)

notify the registered European lawyer of their intention to exercise the power,

(b)

give the registered European lawyer an opportunity to make representations within 14 days of being notified,

and when exercising that power, must take into account any representations made by the registered European lawyer.

(3C)

The Council must notify the registered European lawyer to whom the registration certificate is issued of the decision to vary, remove or impose conditions and the reasons for the decision as soon as practicable after making the decision.”,

(e)

in subsection (4), after “conditions,” insert “or vary, remove or impose conditions under subsection (3A),”,

(f)

after subsection (4) insert—

“(5)

If a registered European lawyer fails to comply with any condition of the lawyer’s registration certificate, that failure may be treated as professional misconduct or unsatisfactory professional conduct.”.

(3)

After section 24C insert—

“24CADiscretion of Council in other cases

(1)

Except in a case where section 24C has effect, the Council may, subject to subsection (2), take any of the following steps in relation to the registration certificate of a registered European lawyer—

(a)

vary any conditions imposed by the Council,

(b)

remove conditions, or

(c)

impose conditions.

(2)

The Council may take any of the steps mentioned in subsection (1) only if they consider it necessary to do so—

(a)

in the public interest, or

(b)

for the protection of the public.

(3)

Before making a decision to vary, remove or impose conditions by virtue of subsection (2)(a), the Council must—

(a)

notify the registered European lawyer of their intention to exercise the power,

(b)

give the registered European lawyer an opportunity to make representations within 14 days of being notified,

and when exercising that power, must take into account any representations made by the registered European lawyer.

(4)

Where the Council have made a decision to vary, remove or impose conditions by virtue of subsection (2)(b), the Council—

(a)

when notifying the registered European lawyer under subsection (5), must give the registered European lawyer an opportunity to make representations within 14 days of being notified, and

(b)

taking into account any representations made, may vary their decision.

(5)

The Council must notify the registered European lawyer to whom the registration certificate is issued of their decision to vary. remove or impose conditions and the reasons for their decision.

(6)

Where the Council decide to vary, remove or impose conditions, they may, if they think fit, postpone the issue of the certificate pending the hearing and determination of an appeal under section 24D.”.

(4)

In section 24D (appeals from decisions of Council)—

(a)

in subsection (2), after “conditions,” insert “or decide to vary, remove or impose conditions,”

(b)

after subsection (2) insert—

“(2A)

Where the Council have varied conditions of, removed conditions from or imposed conditions on a registration certificate under section 24C(3A) or 24CA, the registered European lawyer to whom the certificate is issued may appeal to the Court against that decision within 14 days of being notified of it.”,

(c)

subsection (3), in the opening words, after “(2)” insert “or (2A)”.

(5)

In section 24E (date and expiry of registration certificate), in subsection (2), after “(1)” insert “or a different date specified on the certificate”.

(6)

In section 24F (suspension of registration certificate)—

(a)

after subsection (1A) insert—

“(1B)

The Council may suspend a registered European lawyer from practice as a registered European lawyer if the Council consider it necessary to do so—

(a)

in the public interest, or

(b)

for the protection of the public.

(1C)

Before making a decision to suspend a registered European lawyer from practice by virtue of subsection (1B)(a), the Council must—

(a)

notify the lawyer of their intention to make a decision,

(b)

give the lawyer an opportunity to make representations within 14 days of being notified,

and when making a decision, must take into account any representations made by the lawyer.

(1D)

Where the Council have made a decision to suspend a registered European lawyer from practice by virtue of subsection (1B)(b), the Council—

(a)

when notifying the lawyer under subsection (1E), must give the lawyer an opportunity to make representations within 14 days of being notified, and

(b)

taking into account any representations made, may vary their decision.

(1E)

Where the Council have made a decision to suspend a registered European lawyer from practice under subsection (1B), the Council must notify the lawyer of the suspension as soon as practicable and give reasons for the suspension.”,

(b)

after subsection (3) insert—

“(4)

Where the Council have been notified by the Commission that a registered European lawyer has failed to comply with a direction under section 10 of the 2007 Act, the Council may, when considering a suspension under this section, contact the Commission to ascertain whether the lawyer has since complied with the direction.”,

(c)

title of section 24F becomes “Suspension from practice as registered European lawyer”.

(7)

In section 24G (further provisions relating to suspension of registration certificate)—

(a)

subsection (1) is repealed,

(b)

for subsection (2) substitute—

“(2A)

Where a registered European lawyer has been suspended from practice as a registered European lawyer by virtue of section 24F(1)(c) or (d), the suspension expires on the lawyer being granted a discharge.”,

(c)

for subsection (3), substitute—

“(3A)

Where a registered European lawyer has been suspended from practice as a registered European lawyer by virtue of section 24F(1)(e), the suspension expires on the judicial factor being granted a discharge.”,

(d)

subsection (4A) is repealed,

(e)

in subsection (4B), for “(4A)” substitute “(4)”,

(f)

after subsection (4B), insert—

“(4C)

Where a registered European lawyer is suspended from practice as a registered European lawyer by virtue of paragraphs (c), (d) or (e) of section 24F(1) or by virtue of section 24F(1A) or (1B), the Council may, on their own initiative, decide to terminate the suspension with or without conditions.”,

(g)

in subsection (5), after “section 24F(1A)” insert “or (1B)”,

(h)

after subsection (6), insert—

“(6A)

Where the Council have made a decision—

(a)

to terminate the suspension of a registered European lawyer under subsection (4C),

(b)

to grant an application to terminate the suspension of a registered European lawyer under subsection (6)(a), or

(c)

to refuse an application to terminate the suspension of a registered European layer under subsection (6)(b),

the Council must notify the registered European lawyer of the decision and the reasons for the decision as soon as practicable after making the decision.”,

(i)

the title of section 24G becomes “Further provisions relating to suspension from practice as registered European lawyer”.

Powers where excessive fees etc. charged

26 (1)

Section 39A of the 1980 Act (powers where excessive fees etc. charged) is amended as follows.

(2)

After subsection (2), insert—

“(2A)

On their own initiative the Council may decide to terminate the suspension of a solicitor under subsection (2) and, where they do so, must restore to the solicitor any practising certificate held by the solicitor for the practice year then current and may impose conditions on the certificate.

(2B)

Where the Council have made a decision to terminate the suspension of a solicitor under subsection (2A), the Council must notify the solicitor of the decision and the reasons for the decision as soon as practicable after making the decision.”.

(3)

In subsection (3)—

(a)

for the words “, unless they are of the opinion that the solicitor or incorporated practice is liable to disciplinary proceedings under Part IV, shall” substitute “may”,

(b)

for the words “and shall” substitute “and, where they do so, must”,

(c)

after “current” insert “and may impose conditions on the certificate”.

(4)

In subsection (8)—

(a)

the words from “a decision” to “certificate,” become paragraph (a),

(b)

after that paragraph insert—

“(b)

a decision under subsection (2A) to restore a solicitor’s practising certificate subject to conditions,

(c)

a decision under subsection (3) to refuse to terminate a solicitor’s suspension from practice or to restore a solicitor’s practising certificate subject to conditions,”,

(c)

the words from “appeal” to the end of the subsection become the closing words of the subsection.

(5)

After subsection (8) insert—

“(8A)

Nothing in subsection (8) prevents a solicitor or authorised legal business from subsequently satisfying the Council under subsection (3).”.

Powers where failure to comply with rules

27 (1)

Section 40 of the 1980 Act (power where failure to comply with accounts rules etc.) is amended as follows.

(2)

After subsection (1) insert—

“(1A)

On their own initiative the Council may decide to terminate the suspension of a solicitor under subsection (1) and, where they do so, must restore to the solicitor any practising certificate held by the solicitor for the practice year then current and may impose conditions on the certificate.

(1B)

Where the Council have made a decision to terminate the suspension of a solicitor under subsection (1A), the Council must notify the solicitor of the decision and the reasons for the decision as soon as practicable after making the decision.”.

(3)

In subsection (2)—

(a)

after “provisions” insert “or has complied with the provisions”,

(b)

for the words “, unless they are of opinion that the solicitor or, as the case may, the incorporated practice is liable to disciplinary proceedings under Part IV, shall” substitute “may”,

(c)

for “shall” where it second occurs substitute “, where they do so, must”,

(d)

after “current” insert “and may impose conditions on the certificate”.

(4)

After subsection (2), insert—

“(2A)

If the Council make a decision under subsection (2) to terminate the suspension of a solicitor from practice on the basis that the solicitor (or the authorised legal business) is willing and able to comply with the applicable provisions—

(a)

the Council must specify the period within which the solicitor or authorised legal business is to comply with the provisions, and

(b)

the solicitor or authorised legal business must, before the end of that period, notify the Council of having complied with the provisions.

(2B)

If a solicitor or authorised legal business, without reasonable excuse, fails to comply with the requirements of subsection (2A), the Council may, as the case may be—

(a)

withdraw the practising certificate held by the solicitor, or

(b)

withdraw the practising certificate or certificates of any or all of the solicitors who are members, owners, partners or, as the case may be, directors of the authorised legal business,

and suspend the solicitor from practice as a solicitor.”.

(5)

In subsection (3), after “certificate” insert “or a decision under subsection (1A) or (2) to restore a solicitor’s practising certificate subject to conditions”.

Previous findings of record

28

After section 42E of the 1980 Act (powers relating to regulatory complaints) as inserted by this Act insert—

“42FPrevious findings of record

(1)

This section applies where the Council are exercising their functions under this Part.

(2)

Where a person has been convicted of a criminal offence committed in the United Kingdom—

(a)

an extract conviction of the crime bearing to have been issued by an officer whose duties include the issue of extract convictions is conclusive proof of—

(i)

the conviction, and

(ii)

the findings of fact upon which the conviction is based, and

(b)

the only evidence which may be adduced by the person in rebuttal of the conviction is evidence for the purpose of proving that the person is not the person referred to in the extract conviction.

(3)

Where the Council have made a finding based upon an extract conviction for a conviction which is subsequently quashed the Council may, on the application of the person who was convicted of the criminal offence, revoke their finding.

(4)

The judgment of any civil court in or outside Scotland may be proved by producing a certified copy of the judgment and the findings of fact upon which that judgment was based are admissible as proof but not conclusive proof of those facts.

(5)

In this section, “extract conviction” includes a copy of a certificate of conviction issued from any court of justice of the United Kingdom.”.

The Client Protection Fund

29 (1)

The 1980 Act is amended as follows.

(2)

In section 21 (consultants to hold practising certificates)—

(a)

in subsection (1), for “Guarantee” substitute “Client Protection”,

(b)

in subsection (2), for “the Guarantee” substitute “The Client Protection”.

(3)

In section 37A (accounts and anti-money laundering fees), in subsection (1)(a), for “Guarantee” substitute “Client Protection”.

(4)

In section 41 (appointment of judicial factor)—

(a)

in paragraph (b)(iii), for “Guarantee” substitute “Client Protection”,

(b)

in paragraph (c)(iii), for “guarantee fund” substitute “Client Protection Fund”.

(5)

In section 43 (Guarantee Fund)—

(a)

in subsection (1)—

(i)

for ““The Scottish Solicitors Guarantee Fund”” substitute ““The Client Protection Fund””,

(ii)

for ““the Guarantee Fund”,” substitute ““the Client Protection Fund)””,

(b)

in subsection (2), in the opening words, for “Guarantee” substitute “Client Protection”,

(c)

in subsection (6), for “Guarantee” substitute “Client Protection”,

(d)

in subsection (7), for “Guarantee” in both places it occurs substitute “Client Protection”.

(6)

In schedule 3—

(a)

in paragraph 1(1), for “Guarantee” substitute “Client Protection”,

(b)

in paragraph 1(2B), for “Guarantee Fund” substitute “Client Protection Fund—”,

(c)

in paragraph 1(4)—

(i)

for “Guarantee” substitute “Client Protection”,

(ii)

for “£250,000 or such other” substitute “such”,

(d)

in paragraph 1(5), for “Guarantee” substitute “Client Protection”,

(e)

in paragraph 1A(2)(b), for “Guarantee” substitute “Client Protection”,

(f)

in paragraph 1B(2)(b), for “Guarantee” substitute “Client Protection”,

(g)

in paragraph 1B(4), for “Guarantee” substitute “Client Protection”,

(h)

in paragraph 2(1), for “Guarantee” substitute “Client Protection”,

(i)

in paragraph 2(2), for “Guarantee” substitute “Client Protection”,

(j)

in paragraph 2(3), for “Guarantee” substitute “Client Protection”,

(k)

in paragraph 2(5), for “Guarantee” in each place it occurs substitute “Client Protection”,

(l)

in paragraph 3(1), for “Guarantee” substitute “Client Protection”,

(m)

in paragraph 4(1), for “Guarantee” substitute “Client Protection”,

(n)

in paragraph 4(2), for “Guarantee” substitute “Client Protection”,

(o)

in paragraph 4(3), for “Guarantee” substitute “Client Protection”,

(p)

in paragraph 4(3A), for “Guarantee” substitute “Client Protection”,

(q)

in paragraph 4(4), for “Guarantee Fund” in both places it occurs substitute “Client Protection Fund”,

(r)

the title of Part 1 becomes “The Client Protection Fund”.

30 (1)

The 2007 Act is amended as follows.

(2)

In section 39 (monitoring effectiveness of guarantee funds etc.)—

(a)

in subsection (1)—

(i)

in paragraph (a)—

(A)

for “Scottish Solicitors Guarantee Fund” substitute “Client Protection Fund”,

(B)

for ““the Guarantee Fund”” substitute ““the Client Protection Fund””,

(ii)

in paragraph (c), for “Guarantee” substitute “Client Protection”,

(b)

the title of section 39 becomes “Monitoring effectiveness of funds etc.”.

31 (1)

The 2010 Act is amended as follows.

(2)

In section 24 (choice of arrangements)—

(a)

in subsection (2), for “Guarantee” substitute “Client Protection”,

(b)

in subsection (3)—

(i)

in paragraph (a), for “Guarantee” substitute “Client Protection”,

(ii)

in paragraph (b), for “Guarantee” substitute “Client Protection”,

(c)

in subsection (4), for “Guarantee” substitute “Client Protection”.

(3)

In section 25 (compensation rules: general), in subsection (3), for “Guarantee” substitute “Client Protection”.

(4)

In section 26 (more about compensation arrangements), subsection (3)—

(a)

for “the Guarantee” substitute “the Client Protection”,

(b)

for “Scottish Solicitors Guarantee” substitute “Client Protection”.

(5)

In section 33 (reporting to Law Society)—

(a)

in subsection (1), for “Guarantee” substitute “Client Protection”,

(b)

in subsection (2)(b), for “Guarantee” substitute “Client Protection”,

(c)

in subsection (5), for “Guarantee” substitute “Client Protection”.

(6)

In section 34 (steps open to Society), in subsection (4)(a), for “Guarantee” substitute “Client Protection”.

Investment business certificates

32 (1)

The 1980 Act is amended as follows.

(2)

In section 53 (powers of Tribunal)—

(a)

in subsection (2)(g), for “an investment business certificate” substitute “a licence to carry on incidental financial business”,

(b)

in subsection (7A), for the words from ““investment” to the end of the subsection substitute ““licence to carry on incidental financial business” means a licence issued by the Society as a designated professional body under section 326(1) of the Financial Services and Markets Act 2000.”,

(c)

for subsection (8)(b) substitute—

“(b)

the definition of “licence to carry on incidental financial business” in subsection (7A).”,

(d)

after subsection (8) insert—

“(8A)

The power in subsection (8)(b) includes the power to make supplementary, incidental, consequential, transitional, transitory or saving provision.”.

(3)

In section 53D (suspension etc. of investment business certificates: appeal to Tribunal)—

(a)

in subsection (1)—

(i)

for “an investment business certificate” substitute “a licence to carry on incidental financial business”,

(ii)

for “incorporated practice” substitute “authorised legal business”,

(b)

in subsection (2A), for “incorporated practice” substitute “authorised legal business”,

(c)

the title of section 53D becomes “Suspension etc. of licence to carry on incidental financial business: appeal to Tribunal”.

(4)

In schedule 4 (constitution, procedure and powers of Tribunal), in paragraph 16(h), for “an investment business certificate” substitute “a licence to carry on incidental financial business”.

Appeals from decisions of Tribunal

33 (1)

Section 54 of the 1980 Act (appeals from decisions of Tribunal) is amended as follows.

(2)

After subsection (1B) insert—

“(1BA)

Section 43 of the Regulation of Legal Services (Scotland) Act 2025 does not apply to an appeal under subsection (1B)(c).”.

(3)

In subsection (1C)—

(a)

for “a decision by the Tribunal under section 53(2) or (5)” substitute “any decision by the Tribunal mentioned in subsection (1CA)”,

(b)

the words “; but the Council may not appeal to the Court against a decision of the Tribunal under section 53(2)(bb) or (bc)” are repealed.

(4)

After subsection (1C) insert—

“(1CA)

The decision is—

(a)

the finding that the solicitor has been not guilty of professional misconduct,

(b)

a decision under section 53(2), (5) or (5A).”.

Constitution of Tribunal

34 (1)

Schedule 4 of the 1980 Act (constitution, procedure and powers of Tribunal) is amended as follows.

(2)

In paragraph 1A—

(a)

in paragraph (a), after “Council” insert “after consultation with the Tribunal”, and

(b)

in paragraph (b), after “the Scottish Ministers” insert “and the Tribunal”.

(3)

After paragraph 1A insert—

“1AA

Each solicitor member must have in force a practising certificate when appointed under paragraph 1A(a) or re-appointed under paragraph 2(b).

1AB

The Council must notify the Tribunal where—

(a)

a solicitor member has been suspended from practice as a solicitor,

(b)

a solicitor member’s practising certificate ceases to have effect,

(c)

the Council have—

(i)

issued a solicitor member’s practising certificate subject to conditions, or

(ii)

placed a condition on, added a condition to, removed a condition from or varied a condition of a solicitor member’s practising certificate.

1AC

When notifying the Tribunal under paragraph 1AB, the Council must give reasons for, as the case may be—

(a)

the solicitor member’s suspension,

(b)

the solicitor member’s practising certificate ceasing to have effect,

(c)

the solicitor member’s practising certificate being issued subject to conditions,

(d)

the condition being placed on or added to the solicitor member’s practising certificate,

(e)

the condition of the solicitor member’s practising certificate being varied, or

(f)

the condition being removed from the solicitor member’s practising certificate.

1AD

Where the Tribunal has been notified about a solicitor member under paragraph 1AB, the Chair (see paragraph 4) may request that the Lord President terminates the appointment of the solicitor member (see paragraph 3).”.

(4)

In paragraph 2—

(a)

in paragraph (a), after “the Secretary of State” insert “and the Tribunal”,

(b)

in paragraph (b), after “Council” insert “after consultation with the Tribunal”.

(5)

In paragraph 3—

(a)

after “Council” insert “after consultation with the Tribunal”, and

(b)

after “the Secretary of State” insert “and the Tribunal”.

(6)

In paragraph 4, for “chairman” substitute “Chair”.

(7)

After paragraph 4 insert—

“4A

The Tribunal may appoint one or more of their number to be vice-Chair.

4B

The Chair may arrange for any of the Chair’s functions to be discharged on the Chair’s behalf by a vice-Chair.”.

(8)

In paragraph 14, for “chairman” substitute “Chair”.

Procedure of Tribunal

35 (1)

The 1980 Act is amended as follows.

(2)

In section 52 (procedure on complaints and appeals to Tribunal), after subsection (2)(ab) insert—

“(ac)

for regulating an arrangement under paragraph 6A of schedule 4,”.

(3)

In schedule 4 (constitution, procedure and powers of Tribunal), after the title to Part 2 insert—

“Procedure

6A

The Tribunal may arrange for any of their functions (other than an excepted function) to be discharged on their behalf by one of their number.

6B

An “excepted function” is the making of a decision under—

(a)

section 10,

(b)

section 12D,

(c)

section 42ZD,

(d)

section 47,

(e)

section 52,

(f)

section 53,

(g)

section 53ZAA,

(h)

section 53ZB,

(i)

section 53ZD,

(j)

section 53ZE,

(k)

section 53D,

(l)

section 54,

(m)

section 60A.”.

Communicating and giving effect to Tribunal decisions

36 (1)

The 1980 Act is amended as follows.

(2)

In schedule 4 (constitution, procedure and powers of tribunal)—

(a)

in paragraph 15, after “of appeal” insert “, if any,”,

(b)

after paragraph 15, insert—

“15A

A copy of every decision by the Tribunal certified by the clerk must be sent to the Commission.”,

(c)

in paragraph 16—

(i)

after paragraph (d), insert—

“(da)

directing a solicitor to undertake education or training, or

(db)

ordering that the practising certificate of a solicitor be subject to such conditions as they may direct, or”,

(ii)

in the closing words, for the words “shall forthwith” to the end of the closing words substitute “must comply with paragraph 16A.”,

(d)

after paragraph 16, insert—

“16A

When the Council receives a copy of a decision by virtue of paragraph 16, the Council must—

(a)

give effect to any order as to striking the solicitor off the roll,

(b)

give effect to any conditions directed by the Tribunal under section 53(5), 53ZAA(4)(c), 53ZB(2)(a)(iii), 53ZD(2)(b) or 53ZE(1)(h) or (2)(g),

(c)

give effect to any direction requiring a solicitor to undertake education or training,

(d)

in any other case in relation to a solicitor, cause a note of the effect of the decision to be entered against the name of the solicitor in the roll,

(e)

give effect to any order revoking the recognition under section 34(1A) of an incorporated practice, or

(f)

give effect to the withdrawal of, or imposition of conditions in relation to, the authorisation of a legal business to provide legal services.

16B

In the case of a decision by the Tribunal—

(a)

relating to the discontinuation of an investigation of a conduct complaint or a regulatory complaint,

(b)

relating to the reinstatement of a discontinued investigation of a conduct complaint or a regulatory complaint,

(c)

directing the Council to carry out their duties under section 42ZA(1),

(d)

directing the Council to propose a new settlement under section 42ZA(1A)(a),

(e)

under section 53ZD,

(f)

under section 53ZE,

on the expiration of the days of appeal without an appeal being lodged or, where an appeal has been lodged, as soon as the appeal is withdrawn or a decision by the Court confirming the decision of the Tribunal is given, the clerk of the Tribunal must send a certified copy of the decision of the Tribunal to the Council, and where relevant the Council must give effect to the decision.”.

(3)

In section 53, in subsection (5), the words “terms and” are repealed.

Appeal against decision of Tribunal to dismiss before enquiry

37 (1)

The 1980 Act is amended as follows.

(2)

After section 54B (as inserted by this Act), insert—

“54CAppeals from decisions of Tribunal to dismiss without inquiry

(1)

Where under paragraph 9, 9A or 9B of schedule 4, the Tribunal dismisses a complaint against a solicitor, an authorised legal business or, as the case may be, a licensed provider, the Council may appeal the decision to the Court.

(2)

An appeal under subsection (1) must be made before the expiry of the period of 21 days beginning with the day on which the Tribunal’s decision is intimated to the Council.

(3)

Where under paragraph 24 of schedule 4, the Tribunal dismisses an appeal, the appellant may appeal the decision to the Court.

(4)

An appeal under subsection (3) must be made before the expiry of the period of 21 days beginning with the day on which the Tribunal’s decision is intimated to the appellant.”.

Finality of decisions

38 (1)

The 1980 Act is amended as follows.

(2)

In section 16 (appeals from decisions of Council), after subsection (3) insert—

“(4)

A decision of the Court under subsection (1), (2) or (2A) is final.”.

(3)

In section 19 (further provisions relating to suspension of practising certificates), after subsection (8) insert—

“(9)

A decision of the Court under subsection (8) is final.”.

(4)

In section 24D (appeals from decisions of Council), after subsection (3) insert—

“(4)

A decision of the Court under subsection (1), (2) or (2A) is final.”.

(5)

In section 24G (further provisions relating to suspension of registration certificate), after subsection (7) insert—

“(8)

A decision of the Court under subsection (7) is final.”.

(6)

In section 47 (restriction on employing solicitor struck off or suspended), after subsection (4) insert—

“(5)

A decision of the Court under subsection (3) or (4) is final.”.

Other modifications

39 (1)

The 1980 Act is amended as follows.

(2)

In section 18 (suspension of practising certificates)—

(a)

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

(b)

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

(3)

In section 19 (further provisions relating to suspension of practising certificates), in subsection (5C), the words “in writing” are repealed.

(4)

In section 23B, the following section title is inserted: “Professional misconduct for registered foreign lawyer to practise without a registration certificate”.

(5)

In section 24D (appeals from decisions of Council), subsection (1)(b) is repealed.

(6)

In section 24F (suspension of registration certificate)—

(a)

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

(b)

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

(7)

In section 24G (further provisions relating to suspension of registration certificate), in subsection (4B), the words “in writing” are repealed.

(8)

In section 26 (offence for solicitors to act as agents for unqualified persons), in subsection (2), the words “employed full-time on a fixed salary by a body corporate or” are repealed.

(9)

In section 30 (liability for fees of other solicitor)—

(a)

after “employs” insert “or otherwise engages”,

(b)

for “employed” substitute “other”,

(c)

after “employment” insert “or engagement”.

(10)

In section 32 (offence for unqualified persons to prepare certain documents), for subsection (2B) substitute—

“(2B)

Subsection (1)(b) does not apply to—

(a)

a person who is, by virtue of an act of sederunt made under section 104(1) of the Courts Reform (Scotland) Act 2014 (power to regulate procedure etc. in the sheriff court and the Sheriff Appeal Court) permitted to represent—

(i)

a party to a simple procedure case,

(ii)

a debtor or hirer in proceedings for—

(A)

a time order under section 129 of the Consumer Credit Act 1974 (time orders), or

(B)

variation or revocation, under section 130(6) of that Act (variation and revocation of time orders), of a time order made under section 129,

(b)

an approved lay representative within the meaning of section 5F of the Heritable Securities (Scotland) Act 1894 or section 24E of the Conveyancing and Feudal Reform (Scotland) Act 1970 (lay representation in proceedings by creditors for repossession of residential property) while acting in pursuance of the section in question.”.

(11)

In section 33B, the following section title is inserted: “Privilege of registered foreign lawyers from disclosure etc.”.

(12)

In section 34 (rules as to professional practice, conduct and discipline), after subsection (4D) insert—

“(5)

Where the Council refuse to recognise a body corporate as being suitable in terms of subsection (1A)(b), the body corporate may apply to the Court, who may make such order in the matter as it thinks fit.

(6)

A decision of the Court under subsection (5) is final.”.

(13)

In section 44 (professional indemnity), in subsection (5)—

(a)

in paragraph (a), for “Part 4” substitute “Part 4A”,

(b)

in paragraph (b), for “Part 4” substitute “Part 4A”,

(c)

paragraphs (c) and (d) are repealed.

(14)

In section 55 (powers of Court), in subsection (2), after “(3)” insert “and (3A)”.

(15)

In section 61A (solicitors’ fees), in subsection (1), for paragraphs (a) and (b) substitute—

“(a)

section 103(2)(j) of the Courts Reform (Scotland) Act 2014, or

(b)

section 104(2)(j) of that Act,”.

(16)

In section 63, subsections (3) and (4) are repealed.

(17)

After section 63, insert—

“63AIndividual culpability for offending by an organisation

(1)

Subsection (2) applies where—

(a)

an offence under this Act is committed by a relevant organisation, and

(b)

the commission of the offence involves the connivance or consent of, or is attributable to the neglect of—

(i)

a responsible official of the organisation, or

(ii)

an individual purporting to act in the capacity of a responsible official.

(2)

The responsible official (or, as the case may be, the individual purporting to act in that capacity), as well as the organisation, commits the offence.

(3)

“Relevant organisation” means—

(a)

a company,

(b)

a partnership (including a limited liability partnership),

(c)

another body or association.

(4)

“Responsible official” means—

(a)

in the case of a company—

(i)

a director, secretary, manager or similar officer, or

(ii)

where the affairs of the company are managed by its members, a member,

(b)

in the case of a limited liability partnership, a member,

(c)

in the case of a partnership other than a limited liability partnership, a partner,

(d)

in the case of another body or association, a person who is concerned in the management or control of its affairs.”.

(18)

In section 65 (interpretation)—

(a)

after the definition of “building society” insert—

““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 Regulation of Legal Services (Scotland) Act 2025,

“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 Regulation of Legal Services (Scotland) Act 2025,”,

(b)

after the definition of “law centre” insert—

““legal services” has the meaning given by section 5 of the Regulation of Legal Services (Scotland) Act 2025,”.