Applications to the Legal Services Board

 

IPS has submitted applications seeking additional practice rights for CILEx members to the Legal Services Board on 25 March 2013. If the applications are successful they will increase the range of reserved and regulated activities that members may undertake. The applications are:

 

  • To become an approved regulator to award probate and reserved instrument (conveyancing) rights;
  • To extend the award of rights to conduct litigation and related advocacy rights to Chartered Legal Executives and to include rights in civil and family as well as criminal proceedings; 
  • To amend the regulatory arrangements for immigration practice rights.

An executive summary of the applications can be found here. The applications provide for individuals to be authorised to undertake reserved or regulated activities and for regulation of the entities through which legal services are provided.

 

Probate practice and reserved instrument practice rights

This is an application for CILEx to become an approved regulator under the Legal Services Act to award probate and reserved instrument practice rights to competent practitioners.  If the LSB approves the application the Lord Chancellor will be required to agree to the making of a designation Order, which is then debated in both Houses of Parliament.

 

A full copy of the application can be found here with supporting annexes here.

The scheme rules can be found here.

 

Rights to conduct litigation and associated rights of audience

CILEx is already an approved regulator under the Legal Services Act for awarding rights to conduct litigation and rights of audience to Associate Prosecutor members employed by the Crown Prosecution Service.

 

This application will enable CILEx to award rights to conduct litigation to suitably qualified and experienced Chartered Legal Executives, not only in criminal proceedings but also civil and family proceedings. 

 

The application incorporates a submission to extend the rights of audience that CILEx is already authorised to award to litigators in independent practice.

 

This application requires the approval of the Legal Services Board.

 

A full copy of the application can be found here with supporting annexes here.

The scheme rules can be found here.

 

Immigration practice rights

CILEx is already a designated qualifying regulator under Schedule 18 of the Legal Services Act for awarding immigration practice rights. 

 

This application introduces new regulatory arrangements for immigration practitioners.  It includes proposals for awarding immigration practice rights by competence and for the regulation of immigration practices.  It also includes proposals for transitioning existing advisors onto the new scheme. 

 

This application requires the approval of the Legal Services Board.

 

A full copy of the application can be found here with supporting annexes here.

The scheme rules can be found here.

 

Application summary

The applications need to address a range of issues which are summarised below.  IPS consulted on each of these elements.  Links to the consultations and summary of responses also appear below. 

 

Practice rights authorisation and qualification scheme

Each of the applications sets out the practice rights IPS seeks and how practitioners qualify to become authorised to exercise the rights.  IPS will require practitioners to demonstrate they are competent to undertake the activities for which they seek authorisation.  

 

IPS consulted on the rights it sought and its approach to authorisation for the award of practice rights.  The consultation, a summary of replies to the consultation and IPS response appears here. 

 

Entity regulation

The entities through which reserved and regulated legal activities are provided to consumers need to be authorised.  IPS has developed proposals for the regulation of entities which appear in each application.  There is a consistent approach to entity regulation in each application. 

 

Risk based approach to regulation

Regulators are expected to take a risk based approach to regulation. IPS commissioned research to enable it to understand the expectations of CILEx members and the risks within entities that regulation needs to address. Read the report.

 

IPS has developed a risk-based framework for the authorisation and monitoring of entities that it will regulate.

 

Its consultation on its risk based approach, a summary of replies to the consultation and IPS response appears here. 

 

Outcomes focused regulation

IPS has taken an outcomes focused approach to regulation. It reviewed the Code of Conduct to ensure the principles of conduct that members and entities must meet are fit for the purpose of regulating their conduct and ensuring they are properly focused on the needs of consumers.

 

IPS also developed accounts requirements that entities regulated by IPS will have to meet.  The accounts requirements take a prescriptive approach. 

 

IPS had consulted on its approach to the Code of Conduct and the Accounts Rules.  The consultation, a summary of replies to the consultation and IPS response appears here. 

 

Client protection arrangements

IPS recognises that it must have in place adequate arrangements for the protection of clients of legal service providers it regulates. It has taken an open market approach to professional indemnity insurance.  IPS also proposes to set up a Compensation Fund backed by insurance.  IPS is seeking an Order under s69 Legal Services Act to be authorised to set up the Compensation Fund.

 

IPS had consulted on its approach to professional indemnity insurance and compensation.  The consultation, a summary of replies to the consultation and IPS response appear here. 

 

Enforcement

IPS has reviewed its existing enforcement requirements set out in its Investigation, Disciplinary and Appeal Rules.  Those Rules have been updated to incorporate IPS’ new responsibilities as an entity regulator.   

 

IPS is seeking an Order under s69 Legal Services Act to become authorised to intervene into practices where it becomes necessary to do so. 

 

IPS had consulted on its approach to complaints and disciplinary procedures.  The consultation, a summary of replies to the consultation and IPS response appear here.