2

Subsection (1) does not apply to—

a

a barrister;

b

a duly certificated notary public;

c

the Public Trustee;

d

the Official Solicitor;

F2e

a person who—

i

has permission under Part 4 of the Financial Services and Markets Act 2000 to accept deposits or to effect or carry out contracts of insurance, and

ii

satisfies the conditions mentioned in subsection (2A);

f

an EEA firm of the kind mentioned in paragraph 5(b) or (d) of Schedule 3 to that Act—

i

which has permission under paragraph 15 of that Schedule (as a result of qualifying for authorisation under paragraph 12(1) of that Schedule) either to accept deposits or to effect or carry out contracts of insurance, and

ii

which satisfies those conditions;

h

any subsidiary (as defined by section 736(1) of the Companies Act 1985) of a body falling within paragraph (e), F3or (f)—

i

whose business, or any part of whose business, consists of acting as trustee or executor; and

ii

which satisfies those conditions.

2A

The conditions are that the body is a member of, or otherwise subject to, a scheme which—

a

has been established (whether or not exclusively) for the purpose of dealing with complaints about the provision of probate services; and

b

complies with such requirements as may be prescribed by regulations made by the F5Secretary of State with respect to matters relating to such complaints.

F42AB

Paragraphs (e) and (f) of subsection (2) must be read with—

a

section 22 of the Financial Services and Markets Act 2000;

b

any relevant order under that section; and

c

Schedule 2 to that Act.

3

Subsection (1) also does not apply to—

a

any act done by an officer or employee of a body corporate at a time when it is exempt from subsection (1) by virtue of any of paragraphs (e) to (h) of subsection (2) or by virtue of section 55 of the Courts and Legal Services Act 1990 (preparation of probate papers etc.); or

b

any act done by any person at the direction and under the supervision of another person if—

i

that other person was at the time his employer, a partner of his employer or a fellow employee; and

ii

the act could have been done by that other person for or in expectation of any fee, gain or reward without committing an offence under this section.

4

For the avoidance of doubt, where a person does any act which would constitute an offence under subsection (1) but for an exemption given to him by this section or by or under any other enactment, he shall not be guilty of an offence under section 22 by virtue of having done that act.

4

Subsections (1) to (3) shall also apply in relation to any body which is exempt from the provisions of section 23(1) of the Solicitors Act 1974 (unqualified persons not to prepare papers for probate etc.) by virtue of any of paragraphs (e) to (h) of subsection (2) of that section.

2

Subsection (1) does not apply to—

a

a barrister;

b

a duly certificated notary public;

c

the Public Trustee;

d

the Official Solicitor;

e

any institution which—

i

is authorised by the Bank of England, under Part I of the Banking Act 1987, to carry on a deposit-taking business ; and

ii

satisfies the conditions mentioned in subsection (2A);

f

any building society which—

i

is authorised to raise money from its members by the Building Societies Commission under section 9 of the Building Societies Act 1986; and

ii

satisfies those conditions;

g

any insurance company which—

i

is authorised under section 3 or 4 of the Insurance Companies Act 1982; and

ii

satisfies those conditions;

h

any subsidiary (as defined by section 736(1) of the Companies Act 1985) of a body falling within paragraph (e), (f) or (g)—

i

whose business, or any part of whose business, consists of acting as trustee or executor; and

ii

which satisfies those conditions.

2A

The conditions are that the body is a member of, or otherwise subject to, a scheme which—

a

has been established (whether or not exclusively) for the purpose of dealing with complaints about the provision of probate services; and

b

complies with such requirements as may be prescribed by regulations made by the Lord Chancellor with respect to matters relating to such complaints.

3

Subsection (1) also does not apply to—

a

any act done by an officer or employee of a body corporate at a time when it is exempt from subsection (1) by virtue of any of paragraphs (e) to (h) of subsection (2) or by virtue of section 55 of the Courts and Legal Services Act 1990 (preparation of probate papers etc.); or

b

any act done by any person at the direction and under the supervision of another person if—

i

that other person was at the time his employer, a partner of his employer or a fellow employee; and

ii

the act could have been done by that other person for or in expectation of any fee, gain or reward without committing an offence under this section.

4

For the avoidance of doubt, where a person does any act which would constitute an offence under subsection (1) but for an exemption given to him by this section or by or under any other enactment, he shall not be guilty of an offence under section 22 by virtue of having done that act.

4

Subsections (1) to (3) shall also apply in relation to any body which is exempt from the provisions of section 23(1) of the Solicitors Act 1974 (unqualified persons not to prepare papers for probate etc.) by virtue of any of paragraphs (e) to (h) of subsection (2) of that section.

2

Subsection (1) does not apply to—

a

a barrister;

b

a duly certificated notary public;

c

the Public Trustee;

d

the Official Solicitor;

e

any institution which—

i

is authorised F1. . ., under Part I of the Banking Act 1987, to carry on a deposit-taking business ; and

ii

satisfies the conditions mentioned in subsection (2A);

f

any building society which—

i

is authorised to raise money from its members by the Building Societies Commission under section 9 of the Building Societies Act 1986; and

ii

satisfies those conditions;

g

any insurance company which—

i

is authorised under section 3 or 4 of the Insurance Companies Act 1982; and

ii

satisfies those conditions;

h

any subsidiary (as defined by section 736(1) of the Companies Act 1985) of a body falling within paragraph (e), (f) or (g)—

i

whose business, or any part of whose business, consists of acting as trustee or executor; and

ii

which satisfies those conditions.

2A

The conditions are that the body is a member of, or otherwise subject to, a scheme which—

a

has been established (whether or not exclusively) for the purpose of dealing with complaints about the provision of probate services; and

b

complies with such requirements as may be prescribed by regulations made by the Lord Chancellor with respect to matters relating to such complaints.

3

Subsection (1) also does not apply to—

a

any act done by an officer or employee of a body corporate at a time when it is exempt from subsection (1) by virtue of any of paragraphs (e) to (h) of subsection (2) or by virtue of section 55 of the Courts and Legal Services Act 1990 (preparation of probate papers etc.); or

b

any act done by any person at the direction and under the supervision of another person if—

i

that other person was at the time his employer, a partner of his employer or a fellow employee; and

ii

the act could have been done by that other person for or in expectation of any fee, gain or reward without committing an offence under this section.

4

For the avoidance of doubt, where a person does any act which would constitute an offence under subsection (1) but for an exemption given to him by this section or by or under any other enactment, he shall not be guilty of an offence under section 22 by virtue of having done that act.

4

Subsections (1) to (3) shall also apply in relation to any body which is exempt from the provisions of section 23(1) of the Solicitors Act 1974 (unqualified persons not to prepare papers for probate etc.) by virtue of any of paragraphs (e) to (h) of subsection (2) of that section.

2

Subsection (1) does not apply to—

a

a barrister;

b

a duly certificated notary public;

c

the Public Trustee;

d

the Official Solicitor;

F2e

a person who—

i

has permission under Part 4 of the Financial Services and Markets Act 2000 to accept deposits or to effect or carry out contracts of insurance, and

ii

satisfies the conditions mentioned in subsection (2A);

f

an EEA firm of the kind mentioned in paragraph 5(b) or (d) of Schedule 3 to that Act—

i

which has permission under paragraph 15 of that Schedule (as a result of qualifying for authorisation under paragraph 12(1) of that Schedule) either to accept deposits or to effect or carry out contracts of insurance, and

ii

which satisfies those conditions;

h

any subsidiary (as defined by section 736(1) of the Companies Act 1985) of a body falling within paragraph (e), F3or (f)—

i

whose business, or any part of whose business, consists of acting as trustee or executor; and

ii

which satisfies those conditions.

2A

The conditions are that the body is a member of, or otherwise subject to, a scheme which—

a

has been established (whether or not exclusively) for the purpose of dealing with complaints about the provision of probate services; and

b

complies with such requirements as may be prescribed by regulations made by the Lord Chancellor with respect to matters relating to such complaints.

F42AB

Paragraphs (e) and (f) of subsection (2) must be read with—

a

section 22 of the Financial Services and Markets Act 2000;

b

any relevant order under that section; and

c

Schedule 2 to that Act.

3

Subsection (1) also does not apply to—

a

any act done by an officer or employee of a body corporate at a time when it is exempt from subsection (1) by virtue of any of paragraphs (e) to (h) of subsection (2) or by virtue of section 55 of the Courts and Legal Services Act 1990 (preparation of probate papers etc.); or

b

any act done by any person at the direction and under the supervision of another person if—

i

that other person was at the time his employer, a partner of his employer or a fellow employee; and

ii

the act could have been done by that other person for or in expectation of any fee, gain or reward without committing an offence under this section.

4

For the avoidance of doubt, where a person does any act which would constitute an offence under subsection (1) but for an exemption given to him by this section or by or under any other enactment, he shall not be guilty of an offence under section 22 by virtue of having done that act.

4

Subsections (1) to (3) shall also apply in relation to any body which is exempt from the provisions of section 23(1) of the Solicitors Act 1974 (unqualified persons not to prepare papers for probate etc.) by virtue of any of paragraphs (e) to (h) of subsection (2) of that section.