Closed Submissions

Closed Submissions 

Closed applications are listed below and include our submission and the decision of the Legal Services Board.

Practice Rights Application

We made applications to the Legal Services Board for practice rights in probate, conveyancing, litigation and immigration practice. The outline of the applications appears below.

Probate Practice and Reserved Instruments (Conveyancing) Practice Rights

We made applications for CILEx to be designated as an approved regulator for reserved instrument and probate activity rights.  We have an executive summary of the applications. 

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.

The LSB approved the applications.  The LSB issued its decision notice.

A Designation Order was made by Parliament.

A full copy of the application, scheme rules and application annexes are available.

Litigation Practice Rights

We made an application to the Legal Services Board to enable CILEx 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.  

The decision notice of the LSB approving the application is available.

A full copy of the application, scheme rules and application annexes are available.

Immigration Practice Rights

CILEx is already a designated qualifying regulator for immigration practice rights.  We made an application to the LSB to introduce a new scheme of qualification for immigration practitioners and for regulation of their entities. 

A full copy of the application, scheme rules and application annexes are available

The decision notice of the LSB approving the application is available.

Applications Summary

We consulted on each element of the applications. 

Practice Rights and Authorisation Scheme

Each of the applications sets out the practice rights we sought and how practitioners qualify to become authorised to exercise the rights. The applications propose that practitioners demonstrate they are competent to undertake the activities for which they seek authorisation.  

We consulted on the rights we sought and our approach to authorisation for the award of practice rights.  Our consultation, a summary of replies to the consultation and IPS response is available. 

Entity Regulation

The entities through which reserved and regulated legal activities are provided to consumers need to be authorised. We developed proposals for the regulation of entities which appear in each application. 

Risk Based Approach to Regulation

Regulators are expected to take a risk based approach to regulation. We commissioned research to enable us to understand the expectations of CILEx members and the risks within entities that regulation needs to address. The research company published its report.

We developed a risk-based framework for the authorisation and monitoring of entities that we will regulate. Our consultation on our risk based approach, a summary of replies we received to the consultation and our response is available.

Outcomes Focused Regulation

We have taken an outcomes focused approach to regulation. We reviewed the Code of Conduct to ensure the principles of conduct that individuals and entities must meet are fit for the purpose of regulating their conduct and w they are properly focused on the needs of consumers.

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

We had consulted on our approach to the Code of Conduct and the Accounts Rules.  Our consultation, a summary of replies we received to the consultation and our response is available.

Client Protection Arrangements

We recognise that we must have in place adequate arrangements for the protection of clients of legal service providers it regulates. We have taken an open market approach to professional indemnity insurance.  We also proposed setting up a Compensation Fund backed by insurance.  We made an application for an Order under s69 Legal Services Act to be authorised to set up the Compensation Fund.

We had consulted on our approach to professional indemnity insurance and compensation.  Our consultation, a summary of replies we received to the consultation and our response is available.

Enforcement

We have reviewed our existing enforcement requirements set out in pir Investigation, Disciplinary and Appeal Rules. Those Rules have been updated to incorporate our new responsibilities as an entity regulator.   

We also made an application for an Order under s69 Legal Services Act to become authorised to intervene into practices where it becomes necessary to do so. 

We consulted on approach to complaints and disciplinary procedures.  Our consultation, a summary of replies we received to the consultation and our response is available.