Article 3

SCHEDULE

Column 1

(provisions of the Act)

Column 2

(subject matter)

Column 3

(purpose)

Part 1The regulatory objectives etc.
Section 6Approved regulators
Section 7Approval of regulators
Section 8Pre-approval consideration
Section 9Lord President’s agreement
Section 10(1)Approved regulator not to exercise regulatory functions unless authorised
Section 10(2) to (6)Authorisation to act as approved regulatorThe purpose of enabling Regulations to be made
Sections 12 and 13Regulatory schemes
Section 14Licensing rules: general
Section 15Initial considerations
Section 16Other licensing rules
Sections 18 to 23Practice rules
Sections 24 to 26Compensation arrangements
Sections 27 to 29Internal governance
Section 30Regulatory and representative functions
Section 31 in so far as it relates to section 21(3)Assessment of licensed providers
Section 31Assessment of licensed providersThe purpose of enabling Regulations to be made
Section 38Measures open to MinistersThe purpose of enabling Regulations to be made
Section 42Extra arrangements
Section 43Change of approved regulatorThe purpose of enabling Regulations to be made
Section 44Step-in by Ministers
Section 45Additional powers and duties
Section 47Licensed providers
Section 48Eligibility criteriaThe purpose of enabling Regulations to be made
Section 49Majority ownershipThe purpose of enabling Regulations to be made
Section 51Head of legal servicesThe purpose of enabling Regulations to be made
Section 52Head of PracticeThe purpose of enabling Regulations to be made
Section 53Practice CommitteeThe purpose of enabling Regulations to be made
Section 55, in so far as it relates to sections 14 and 18Challenge to appointment
Section 56, in so far as it relates to sections 14 and 18Disqualification from position
Section 57, in so far as it relates to sections 14 and 18Effect of disqualification
Section 59Designated persons
Section 62, in so far as it relates to section 14Fitness for involvement
Section 63, in so far as it relates to section 14Exemption from fitness test
Section 65, in so far as it relates to section 18Ban for improper behaviour
Section 67(1) to (5)More about investorsThe purpose of enabling Regulations to be made
Section 67(6) and (7)More about investors
Section 70Safeguarding clientsThe purpose of enabling Regulations to be made
Section 76Input by the OFT
Section 78Policy statement
Section 79Complaints about regulatorsThe purpose of enabling Regulations to be made
Section 81Complaints about providersThe purpose of enabling Regulations to be made
Section 83Registers of licensed providersThe purpose of enabling Regulations to be made
Section 84Lists of disqualified personsThe purpose of enabling Regulations to be made
Section 91Approving bodiesThe purpose of enabling Regulations to be made
Section 92Certification of bodiesThe purpose of enabling Regulations to be made
Section 93Regulatory schemesThe purpose of enabling Regulations to be made
Section 95Review of own performanceThe purpose of enabling Regulations to be made
Section 100Ministerial interventionThe purpose of enabling Regulations to be made
Section 102Approving bodiesThe purpose of enabling Regulations to be made
Section 103Certification of bodiesThe purpose of enabling Regulations to be made
Section 104Regulatory schemesThe purpose of enabling Regulations to be made
Section 106Review of own performanceThe purpose of enabling Regulations to be made
Sections 111 and 112Ministerial functionsThe purpose of enabling Regulations to be made
Section 114Complaints about servicesThe purpose of enabling Regulations to be made
Section 119Application by the profession
Sections 125Citizens advice bodies
Section 128(1)(a)(ii), (1)(b)(i), (2) and (3)Use of guarantee fund
Section 129(1)(a)(i) and (ii) and (2)Contributions to the fund
Section 130Cap on individual claims
Section 131Acting as an approved regulator
Section 133Regulatory committeeThe purpose of enabling Regulations to be made
Section 141Availability of legal services
Section 142Information about legal services
Sections 143 to 145Scottish Legal Complaints Commission
Schedules 1 to 6Measures open to MinistersThe purpose of enabling Regulations to be made
Schedule 8Investors in licensed providersThe purpose of enabling Regulations to be made
Paragraph 4 of schedule 8, in so far as it relates to section 14Exemption from notification requirements