SCHEDULES
SCHEDULE 6 Bodies Recognised under s.32: Supplementary Provisions
Disciplinary control of recognised bodies
4
1
Where on the hearing of any allegation F1within paragraph 3(1)(a) or (ab) the Discipline and Appeals Committee are satisfied that a recognised body—
a
has been convicted as mentioned in sub-paragraph (i) of paragraph (3)(1)(a); or
b
has failed to comply with any such rules as are mentioned in sub-paragraph (ii) of that paragraph,
F2, or
c
has failed to comply with any such condition as is mentioned in paragraph 3(1)(ab),
the Committee may, if they think fit, make one or more of the orders referred to in sub-paragraph (2).
2
Those orders are—
a
an order revoking the recognition under section 32 of the body to which the allegation relates;
b
an order directing the payment by that body of a penalty not exceeding F3such amount as may be prescribed by rules made by the Council for the purposes of this sub-paragraph, to be forfeited to Her Majesty;
F4ba
an order reprimanding that body;
bb
an order that the recognition of that body under section 32 is to have effect subject to such conditions as may be specified in the order;
c
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F62A
Where on the hearing of any allegation within paragraph 3(1)(aa) F9or (aaa) the Discipline and Appeals Committee are satisfied that a manager or employee has failed to comply with any such rules as are mentioned in F10paragraph 3(1)(aa) or (aaa) (as the case may be) , the Committee may, if they think fit, make one or more of the orders referred to in sub-paragraph (2B).
2B
Those orders are—
a
an order directing the payment by the manager or employee of a penalty not exceeding such amount as may be prescribed by rules made by the Council for the purposes of this sub-paragraph;
b
an order requiring the Council to consider taking such steps as the Committee may specify in relation to the manager or employee;
c
an order requiring the Council to refer to an appropriate regulator any matter relating to the conduct of the manager or employee.
2C
For the purposes of sub-paragraph (2B)(c) an “appropriate regulator” in relation to a manager or employee means—
a
if the person is an authorised person in relation to a reserved legal activity for the purposes of the Legal Services Act 2007, any relevant approved regulator (within the meaning of that Act) in relation to that person, and
b
if the person carries on activities which are not reserved legal activities, any person who exercises regulatory functions in relation to the carrying on of such activities by the person.
2D
In relation to proceedings under this paragraph, the Committee may make such order as they consider fit as to the payment of costs by—
a
the Council;
b
the recognised body or manager or employee against whom the proceedings were brought;
c
if the person on whose allegation the proceedings were brought was heard (in person, or through a representative) by the Committee in the course of the proceedings, that person.
2E
In sub-paragraph (2D), for the purposes of paragraph (a) or (b) of that sub-paragraph, the reference to costs includes costs incurred in connection with a preliminary investigation of the allegation under paragraph 3.
F83
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F83A
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F74
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