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  1. Introductory Text

  2. Part 1 The regulatory objectives etc.

    1. Introduction

      1. 1.Regulatory objectives

      2. 2.Professional principles

      3. 3.Legal services

    2. Role of Ministers

      1. 4.Ministerial oversight

      2. 5.Consultation by Ministers

  3. Part 2 Regulation of licensed legal services

    1. Chapter 1 Approved regulators

      1. Approved regulators

        1. 6.Approved regulators

        2. 7.Approval of regulators

        3. 8.Pre-approval consideration

        4. 9.Lord President's agreement

        5. 10.Authorisation to act

        6. 11.Request for authorisation

      2. Regulatory schemes

        1. 12.Regulatory schemes

        2. 13.Reconciling different rules

      3. Licensing rules

        1. 14.Licensing rules: general

        2. 15.Initial considerations

        3. 16.Other licensing rules

        4. 17.Licensing appeals

      4. Practice rules

        1. 18.Practice rules: general

        2. 19.Financial sanctions

        3. 20.Enforcement of duties

        4. 21.Performance report

        5. 22.Accounting and auditing

        6. 23.Professional indemnity

      5. Compensation arrangements

        1. 24.Choice of arrangements

        2. 25.Compensation rules: general

        3. 26.More about compensation arrangements

      6. Internal governance

        1. 27.Internal governance arrangements

        2. 28.Communicating outside

        3. 29.More about governance

      7. Regulatory functions etc.

        1. 30.Regulatory and representative functions

        2. 31.Assessment of licensed providers

      8. Relationship with other bodies

        1. 32.Giving information to SLAB

        2. 33.Reporting to Law Society

        3. 34.Steps open to Society

        4. 35.Financial inspection by Society

      9. Performance and measures

        1. 36.Review of own performance

        2. 37.Monitoring by Ministers

        3. 38.Measures open to Ministers

      10. Ceasing to regulate

        1. 39.Surrender of authorisation

        2. 40.Cessation directions

        3. 41.Transfer arrangements

        4. 42.Extra arrangements

      11. Change of regulator

        1. 43.Change of approved regulator

        2. 44.Step-in by Ministers

      12. Additional functions etc.

        1. 45.Additional powers and duties

        2. 46.Guidance on functions

    2. Chapter 2 Licensed legal services providers

      1. Licensed providers

        1. 47.Licensed providers

        2. 48.Eligibility criteria

        3. 49.Majority ownership

      2. Key duties and positions

        1. 50.Key duties

        2. 51.Head of Legal Services

        3. 52.Head of Practice

        4. 53.Practice Committee

      3. Appointment to position etc.

        1. 54.Notice of appointment

        2. 55.Challenge to appointment

        3. 56.Disqualification from position

        4. 57.Effect of disqualification

        5. 58.Conditions for disqualification

      4. Designated persons

        1. 59.Designated persons

        2. 60.Working context

        3. 61.Listing and information

      5. Non-solicitor investors

        1. 62.Fitness for involvement

        2. 63.Exemption from fitness test

        3. 64.Factors as to fitness

        4. 65.Ban for improper behaviour

        5. 66.Behaving properly

        6. 67.More about investors

      6. Discontinuance of services

        1. 68.Duty to warn

        2. 69.Inability to operate

        3. 70.Safeguarding clients

        4. 71.Distribution of client account

      7. Professional practice etc.

        1. 72.Employing disqualified lawyer

        2. 73.Concealing disqualification

        3. 74.Pretending to be licensed

        4. 75.Professional privilege

    3. Chapter 3 Further provision

      1. Achieving regulatory aims

        1. 76.Input by the CMA

        2. 77.Role of approved regulators

        3. 78.Policy statement

      2. Complaints

        1. 79.Complaints about regulators

        2. 80.Levy payable by regulators

        3. 81.Complaints about providers

      3. Registers and lists

        1. 82.Register of approved regulators

        2. 83.Registers of licensed providers

        3. 84.Lists of disqualified persons

      4. Miscellaneous

        1. 85.Privileged material

        2. 86.Immunity from damages

        3. 87.Appeal procedure

        4. 88.Corporate offences

        5. 89.Effect of professional or other rules

  4. Part 3 Confirmation and will writing services

    1. Chapter 1 Confirmation services

      1. Regulation of confirmation agents

        1. 90.Confirmation agents and services

        2. 91.Approving bodies

        3. 92.Certification of bodies

        4. 93.Regulatory schemes

        5. 94.Financial sanctions

        6. 95.Review of own performance

        7. 96.Pretending to be authorised

      2. Other regulatory matters

        1. 97.Revocation of certification

        2. 98.Surrender of certification

        3. 99.Register and list

      3. Ministerial functions

        1. 100.Ministerial intervention

    2. Chapter 2 Will writing services

      1. Regulation of will writers

        1. 101.Will writers and services

        2. 102.Approving bodies

        3. 103.Certification of bodies

        4. 104.Regulatory schemes

        5. 105.Financial sanctions

        6. 106.Review of own performance

        7. 107.Pretending to be authorised

      2. Other regulatory matters

        1. 108.Revocation of certification

        2. 109.Surrender of certification

        3. 110.Register and list

      3. Ministerial functions

        1. 111.Ministerial intervention

        2. 112.Step-in by Ministers

    3. Chapter 3 Further provision

      1. 113.Regard to CMA input

      2. 114.Complaints about services

      3. 115.Privilege and immunity

      4. 116.Appeal procedure

      5. 117.Corporate offences

      6. 118.Consequential modification

  5. Part 4 The legal profession

    1. Chapter 1 Applying the regulatory objectives

      1. 119.Application by the profession

    2. Chapter 2 Faculty of Advocates

      1. 120.Regulation of the Faculty

      2. 121.Professional rules

      3. 122.Particular rules

    3. Chapter 3 Solicitors and other representatives

      1. Removal of practising restrictions

        1. 123.Licensed providers as qualified persons

        2. 124.Practice rules for licensed providers

        3. 125.Citizens advice bodies

      2. Lay representation

        1. 126.Court of Session rules

        2. 127.Sheriff court rules

      3. Guarantee Fund

        1. 128.Use of Guarantee Fund

        2. 129.Contributions to the Fund

        3. 130.Cap on individual claims

      4. The Law Society

        1. 131.Acting as approved regulator

        2. 132.Council membership

        3. 133.Regulatory committee

      5. The 1980 Act: further modification

        1. 134.Keeping the solicitors roll etc.

        2. 135.Removal from the roll etc.

        3. 136.Restoration to the roll

        4. 137.Suspension from practice

        5. 138.Accounts rules fee

        6. 139.Powers of Tribunal

    4. Chapter 4 Other bodies

      1. Scottish Legal Aid Board

        1. 140.Exclusion from giving legal assistance

        2. 141.Availability of legal services

        3. 142.Information about legal services

      2. Scottish Legal Complaints Commission

        1. 143.Relevant practitioners

        2. 144.Minor amendments

        3. 145.The 2007 Act: further provision

  6. Part 5 General

    1. 146.Regulations

    2. 147.Further modification

    3. 148.Ancillary provision

    4. 149.Definitions

    5. 150.Commencement and short title

    1. SCHEDULE 1

      Performance targets

      1. Application

        1. 1.This schedule applies where the Scottish Ministers—

      2. Power to set targets

        1. 2.(1) The Scottish Ministers may— (a) set one or more...

      3. Notice of intention

        1. 3.(1) Before setting a performance target, or requiring the approved...

      4. Consultation

        1. 4.(1) The approved regulator has 28 days beginning with the...

      5. Decision

        1. 5.(1) The Scottish Ministers must have regard to any representations...

    2. SCHEDULE 2

      Directions

      1. Application

        1. 1.This schedule applies where the Scottish Ministers are satisfied that—...

      2. Power to direct

        1. 2.(1) The Scottish Ministers may direct the approved regulator to...

      3. Notice of intention

        1. 3.(1) Before giving a direction to an approved regulator under...

      4. Consultation

        1. 4.(1) The approved regulator has 28 days beginning with the...

      5. Decision

        1. 5.(1) The Scottish Ministers must have regard to any representations...

      6. Extension of time to comply

        1. 6.(1) The Scottish Ministers may, on an application by an...

      7. Enforcement

        1. 7.(1) If at any time it appears to the Scottish...

    3. SCHEDULE 3

      Censure

      1. Application

        1. 1.This schedule applies where the Scottish Ministers are satisfied that—...

      2. Power to censure

        1. 2.The Scottish Ministers may make and publish a statement censuring...

      3. Preliminary advice

        1. 3.Before making the statement, the Scottish Ministers must consult such...

      4. Notice of intention

        1. 4.(1) If, after consulting under paragraph 3, the Scottish Ministers...

      5. Consultation

        1. 5.(1) The approved regulator has 28 days beginning with the...

      6. Decision

        1. 6.(1) The Scottish Ministers must have regard to any representations...

    4. SCHEDULE 4

      Financial penalties

      1. Application

        1. 1.This schedule applies where the Scottish Ministers are satisfied that...

      2. Power to impose penalty

        1. 2.(1) The Scottish Ministers may impose on the approved regulator...

      3. Amount of penalty

        1. 3.(1) When considering the appropriate amount of a penalty to...

      4. Notice of intention

        1. 4.(1) Before imposing a financial penalty, the Scottish Ministers must...

      5. Consultation

        1. 5.(1) The approved regulator has 28 days beginning with the...

      6. Decision

        1. 6.(1) The Scottish Ministers must have regard to any representations...

      7. Variation of penalty

        1. 7.(1) The Scottish Ministers may, on an application from an...

      8. Appeal

        1. 8.(1) An approved regulator on which a financial penalty is...

      9. Appeal grounds

        1. 9.The grounds for an appeal under paragraph 8 are—

      10. Time for appeal

        1. 10.(1) An appeal under paragraph 8 is to be made—...

      11. Interest

        1. 11.(1) If the whole or part of a penalty is...

      12. Default

        1. 12.(1) Sub-paragraph (2) applies where the whole or part of...

    5. SCHEDULE 5

      Amendment of authorisation

      1. Application

        1. 1.This schedule applies where the Scottish Ministers are satisfied that—...

      2. Power to amend

        1. 2.(1) The Scottish Ministers may amend the authorisation of the...

      3. Notice of intention

        1. 3.(1) Before amending the approved regulator's authorisation, the Scottish Ministers...

      4. Consultation

        1. 4.(1) The approved regulator has 28 days beginning with the...

      5. Decision

        1. 5.(1) The Scottish Ministers must have regard to any representations...

    6. SCHEDULE 6

      Rescission of authorisation

      1. Application

        1. 1.This schedule applies where the Scottish Ministers are satisfied that—...

      2. Power to rescind

        1. 2.The Scottish Ministers may rescind the authorisation of the approved...

      3. Notice of intention

        1. 3.(1) Before rescinding the approved regulator's authorisation, the Scottish Ministers...

      4. Consultation

        1. 4.(1) The approved regulator has 28 days beginning with the...

      5. Decision

        1. 5.(1) The Scottish Ministers must have regard to any representations...

    7. SCHEDULE 7

      Surrender of authorisation

      1. Application

        1. 1.This schedule applies where an approved regulator proposes to surrender...

      2. Surrender notice

        1. 2.(1) The approved regulator must give the Scottish Ministers a...

      3. Consultation

        1. 3.(1) The Scottish Ministers must, as soon as reasonably practicable...

      4. Decision

        1. 4.(1) The Scottish Ministers must, within 28 days beginning with...

      5. Date of surrender

        1. 5.(1) If the Scottish Ministers agree to the surrender of...

    8. SCHEDULE 8

      Investors in licensed providers

      1. Initial notification requirements

        1. 1.(1) An applicant for a licence (issuable in accordance with...

        2. 2.(1) It is an offence for a person to fail...

      2. Continuing notification requirements

        1. 3.(1) This paragraph applies where— (a) a person takes, or...

      3. Exemption from notification requirements

        1. 4.(1) An approved regulator may in relation to any exemptible...

      4. Requirement to notify investors

        1. 5.(1) Where an applicant gives information under paragraph 1, the...

      5. Approved regulator may obtain information

        1. 6.(1) An approved regulator may require a person whose identity...

    9. SCHEDULE 9

      Index of expressions used