SCHEDULES

SCHEDULE 2E+W[F1Legal services practices]: Supplementary Provisions

Powers of Tribunal with respect to recognised bodiesE+W

18(1)Where on the hearing of any complaint made to it under this Schedule [F2(other than paragraph 16(1A)] the Tribunal is satisfied that a recognised body—E+W

(a)has been convicted as mentioned in paragraph (a) of paragraph 16(1); or

(b)has failed to comply with [F3any requirement imposed by or by virtue of this Act] or with any such rules as are mentioned in paragraph (b) of paragraph 16(1); or

(c)has acted as mentioned in paragraph (c) or (d) of that provision; F4...

F4(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

the Tribunal may, if it thinks 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 9 of this Act of the body to which the complaint relates;

(b)an order directing the payment by that body of a penalty F5. . . , to be forfeited to Her Majesty;

(c)an order requiring that body to pay the costs incurred in bringing against it the proceedings before the Tribunal or a contribution towards those costs, being a contribution of such amount as the Tribunal considers reasonable.

[F6(2A)Where, on the hearing of any application or complaint made to it under this Schedule, the Tribunal is satisfied that more than one allegation is proved against the recognised body to whom the application or complaint relates, it may impose a separate penalty (by virtue of sub-paragraph (2)(b) ) with respect of each such allegation.]

F7(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4)F8. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F918A(1)Where, on the hearing of any complaint made to it under paragraph 16(1A) [F10or (1B)] of this Schedule, the Tribunal is satisfied that a manager or employee of a recognised body [F11, or the sole solicitor, or an employee, in a recognised sole solicitor’s practice] —E+W

(a)has been convicted as mentioned in paragraph (a) of paragraph 16(1A) [F12or (as the case may be) paragraph (a) of paragraph 16(1B)] ,

(b)has failed to comply with any requirement imposed by or by virtue of this Act or any rules applicable to the relevant person by virtue of section 9 of this Act, or

(c)[F13(in the case of a manager or employee of a recognised body)] has acted as mentioned in paragraph (c) or (d) of paragraph 16(1A),

the Tribunal may, if it thinks fit, make one or more of the orders referred to in sub-paragraph (2).

(2)Those orders are—

[F14(za)in the case of a complaint relating to a sole solicitor, or an employee, in a recognised sole solicitor’s practice, an order revoking the recognition under section 9 of this Act of the sole solicitor’s practice;]

(a)an order directing the payment by the relevant person of a penalty to be forfeited to Her Majesty;

(b)an order requiring the Society to consider taking such steps as the Tribunal may specify in relation to the relevant person;

(c)if the person is not a solicitor, an order which states one or more of the matters mentioned in sub-paragraph (3);

(d)an order requiring the Society to refer to an appropriate regulator any matter relating to the conduct of the relevant person.

(3)The matters referred to in sub-paragraph (2)(c) are—

(a)that as from the specified date—

(i)no solicitor or employee of a solicitor shall employ or remunerate, in connection with the practice carried on by that solicitor, the person with respect to whom the order is made, and

(ii)no recognised body, or manager or employee of such a body, shall employ or remunerate that person, in connection with the business of the recognised body,

except in accordance with a Society permission;

(b)that as from the specified date no recognised body or manager or employee of such a body shall, except in accordance with a Society permission, permit the person with respect to whom the order is made to be a manager of the body;

(c)that as from the specified date no recognised body or manager or employee of such a body shall, except in accordance with a Society permission, permit the person with respect to whom the order is made to have an interest in the body.

(4)For this purpose a person has an interest in a body if the person has an interest in the body within the meaning of Part 5 the Legal Services Act 2007 (see sections 72 and 109 of that Act).

(5)Subsections (1) to (1C), (3) and (4) of section 44 of the 1974 Act (offences in connection with orders under section 43(2) of that Act) apply in relation to an order under sub-paragraph (2)(c) as they apply in relation to an order under section 43(2) of that Act, except that references in those subsections to provision within section 43(2)(a), (b) or (c) of that Act are to be read as references to provision within sub-paragraph (3)(a), (b) or (c).

(6)Section 44(2) of the 1974 Act, paragraph 16(1)(d) and (1A)(d) of this Schedule and paragraph 15(3A) of Schedule 14 to the Courts and Legal Services Act 1990 apply in relation to an order under sub-paragraph (2)(c) as they apply in relation to an order under section 43(2) of the 1974 Act.

(7)For the purposes of sub-paragraph (2)(d) an “appropriate regulator” in relation to the relevant person 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 body which regulates the carrying on of such activities by the person.]