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CONTENTS

APPENDIX 1 – Probate Certification Rules ………………………………………………………… 3

APPENDIX 2 – Reserved Instrument Certification Rules …………………………………… 49

Frameworks for both Certification Schemes …………………………………………………… 87

APPENDIX 3 – Admissions and Licensing Committee Rules ……………………………… 107

APPENDIX 4 – Authorisation Rules ………………………………………………………………… 111

APPENDIX 5 – Strategic Risk Committee Rules………………………………………………… 121

APPENDIX 6 – Code of Conduct …………………………………………………………………… 125

APPENDIX 7 – Accounts Rules ……………………………………………………………………… 131

APPENDIX 8 – First Tier Handling Requirements……………………………………………… 143

APPENDIX 9 – Investigation, Disciplinary and Appeal Rules ……………………………… 147

APPENDIX 10 – Professional Indemnity Insurance Rules ………………………………… 175

APPENDIX 11 – IPS Minimum Wording ………………………………………………………… 181

APPENDIX 12 – Compensation Fund Rules …………………………………………………… 197

3

PROBATE CERTIFICATION RULES APPENDIX 1

APPENDIX 1

PROBATE CERTIFICATION RULES

4


PROBATE RIGHTS CERTIFICATION RULES

DEFINITIONS 1. In these Rules, except where otherwise indicated:

• “Probate Certificate” means a Probate Certificate identified in these Rules;

• “Probate Practitioner” means a person who has been granted a right to undertake probate, under the terms of the Act;

• “Certification Rules” means the Probate Rights Certification Rules; • “External Advisor” means a person appointed by IPS to carry out the role and

functions identified for them in these Rules; • “Applicant in good standing” means a person in respect of whose conduct there

is no complaint outstanding, and against whom there is no disciplinary or prior conduct record which, in the view of IPS, affects their suitability to be a Probate Practitioner;

• “CILEx” means the Chartered Institute of Legal Executives; • “Investigation, Disciplinary and Appeals Rules” means the Rules of IPS which are

in place from time to time and which govern the complaints handling, misconduct investigation and disciplinary procedures of IPS;

• “IPS” means ILEX Professional Standards Ltd; • “The Act” means the Legal Services Act 2007; and • “The Officer” means a person with responsibility for the Probate Practice Rights

Scheme. Words importing the singular include the plural and vice versa.

2. Responsibility for this qualification scheme is delegated by CILEx to IPS. PROBATE PRACTICE CERTIFICATE 3. An applicant in good standing may apply to IPS to be granted a Probate Certificate.

4. The probate rights exercisable by a person holding a Probate Certificate are to

prepare any probate papers for the purposes of the law of England and Wales or in relation to any proceedings in England and Wales. Probate papers mean any papers

5


on which to found or oppose a grant of probate or a grant of letters of administration.

QUALIFICATION ARRANGEMENTS 5. Applicants who seek a Probate Certificate must demonstrate that they meet the

knowledge, skills and experience criteria in accordance with the knowledge, skills and experience guidelines and the Portfolio Guidelines which appear at Annexes 1 and 2 and the competence framework at Annex 3.

6. Applicants who seek a Probate Certificate must make an application in accordance

with the knowledge and experience guidelines which appear at Annex 1 and the portfolio guidelines and assessment criteria which appear at Annex 2.

7. An application must be made on such form as may be prescribed for the purpose by IPS and shall be accompanied by such fees as may be fixed by IPS from time to time.

8. IPS will consider the application to ensure it meets the criteria set out in the knowledge, skills and experience guidelines which appear at Annex 1 and the portfolio guidelines and assessment criteria which appear at Annex 2.

9. The portfolios which form part of the application will be sent to an external advisor for assessment. The external advisor will assess whether the portfolios meet the knowledge and experience guidelines and the portfolio guidelines and assessment criteria at Annexes 1 and 2.

10. Where the external advisor finds that the portfolios are satisfactory and meet the knowledge and experience guidelines and the portfolio guidelines and assessment criteria at Annexes 1 and 2, the IPS Officer will consider whether the applicant may be granted a Probate Certificate. In reaching their decision, the Officer will consider all the information provided by the applicant and may call for further information from any person or source it considers appropriate. Where the Officer has any doubt as to the suitability of the applicant they may request additional information from the applicant and/or refer the application to the Admissions and Licensing Committee for decision.

11. Where the external advisor decides that the portfolios do not meet the knowledge and experience guidelines and the portfolio guidelines and assessment criteria at Annexes 1 and 2 they will give reasons for their decision. The Officer will inform the applicant of the decision. The applicant may withdraw their application, amend and re-submit their application or make further representation and ask that the full application to be referred to the Admissions and Licensing Committee to consider.

12. The Admissions and Licensing Committee will decide whether or not an application should be approved. In reaching its decision, the Committee will consider all the

6


information provided by the applicant, and may call the applicant for interview or call for further information from any person or source it considers appropriate.

13. The Committee may: • approve the application; • decide that the applicant does not meet the criteria and indicate which of the

criteria the applicant does not meet.

14. In making any assessment or decision required by these Rules, the Admissions and Licensing Committee shall have regard to the knowledge and experience guidelines and the portfolio guidelines and assessment criteria at Annexes 1 and 2.

15. The Officer will notify an applicant of their decision or the decision of the Admissions and Licensing Committee.

16. Where the application has been approved, the notification shall include the Probate Certificate.

17. Where the application is unsuccessful, the notification shall set out the Committee’s reasons and any pre-conditions to the consideration of any subsequent application. Where an application is unsuccessful, the applicant may apply for reconsideration in accordance with the Admissions and Licensing Committee Rules.

PRACTICE MANAGEMENT AND ACCOUNTS 18. A Probate Practitioner who seeks to practise in an entity seeking regulation by IPS

must demonstrate that they meet the knowledge, skills and experience in accounts and practice management in accordance with the knowledge, skills and experience guidelines and portfolio guidelines and the competency framework which appear at Annexes 4 and 5. They will not be authorised to be an Approved Manager in an entity until these requirements are met.

19. Where an applicant relies upon existing experience they must complete a log in accordance the portfolio guidelines. An applicant who relies upon a qualification as evidence of meeting the competency framework must provide details of that qualification and assessment. IPS will consider whether the experience or qualification relied upon demonstrates that the applicant meets the requirements of the competency framework.

20. An applicant who does not meet the knowledge, skills and experience requirements for practice management and or accounts must complete qualification courses and assessment in those areas which meet the competency frameworks at Annexes 4 and 5.

7


ADMISSIONS AND LICENSING COMMITTEE 21. The Admissions and Licensing Committee established under the Admissions and

Licensing Committee Rules shall be responsible for the probate rights qualification scheme.

EXTERNAL ADVISORS 22. IPS shall appoint external advisors to advise IPS and the Admissions and Licensing

Committee on issues relating to probate practice rights.

PROBATE PRACTITIONERS 23. An applicant who has been awarded a Probate Certificate will be known as a Probate

Practitioner. CONTINUING PROFESSIONAL DEVELOPMENT (CPD) 24. Probate Practitioners will be required to undertake Continuing Professional

Development (CPD) in accordance with the CPD Regulations issued by IPS from time to time applicable to Chartered Legal Executives.

25. Where a Probate Practitioner has failed to undertake CPD which meets the CPD Regulations or fails to provide a record of such CPD, the Officer will refer the matter to the Admissions and Licensing Committee. The Admissions and Licensing Committee will consider whether the Probate Practitioner should retain their Probate Certificate.

26. The Probate Practitioner will have the opportunity to make written representations to the Committee and a right to be heard by the Committee.

27. The Committee may decide to: • Grant an extension of up to 3 months for the Probate Practitioner to meet their

outstanding CPD requirements. The Probate Practitioner will still be required to meet their current CPD requirement in the normal way; or

• Withdraw the Probate Certificate.

28. Where a Probate Practitioner’s Certificate has been withdrawn for 12 months or more, on the basis that they have not met their CPD requirements, they will be required to make a fresh application for a Probate Certificate in accordance with these Rules.

DISCIPLINARY PROCEDURES AND CODE OF CONDUCT 29. Probate Practitioners will be required to abide by the Code of Conduct of CILEx for

the time being enforced. They will also be bound by the associated regulatory arrangements in force from time to time.

8


30. Where a complaint is made, or an issue is brought to the attention of IPS, regarding the conduct of a Probate Practitioner, that matter will be dealt with in accordance with IPS’ Investigation, Disciplinary and Appeal Rules. Where a finding, order or decision is made against a Probate Practitioner, that finding, order or decision will be referred to the Admissions and Licensing Committee. The Admissions and Licensing Committee will decide whether the Probate Practitioner remains a fit and proper person to hold a Probate Practice Certificate. The Admissions and Licensing Committee must give reasons for its decision.

31. Rule 30 shall not apply where an order is made excluding a Probate Practitioner from registration of IPS or membership of CILEx. In such a case the Probate Practitioner’s Certificate shall be invalid from the date the exclusion from membership or registration takes effect.

32. Where the Admissions and Licensing Committee decides that the Probate Practitioner is no longer a fit and proper person to hold a Probate Certificate or their certificate is invalid in accordance with Rule 31, they must return their Certificate to IPS within 28 days of them being notified of the decision. Failure to do so will constitute a disciplinary offence. The Probate Practitioner may not exercise any probate practice rights granted to them under their Certificate after they have been notified of the decision.

33. Notwithstanding the Admissions and Licensing Committee Rules an appeal against the decision of the Admissions and Licensing Committee that a Probate Practitioner is no longer a fit and proper person to hold a Probate Certificate will be considered by a professional member and 2 lay members drawn from the panel of lay and professional members appointed to serve on IPS’ appeals body.

Probate rules

9


Annex 1 - KNOWLEDGE, SKILLS AND EXPERIENCE GUIDELINES

1. An applicant who seeks probate practice rights must satisfy the guidelines below.

2. An applicant seeking probate rights must provide the following information in an application to IPS: • A general outline of the probate practice work, including will writing and estate

administration work, where relevant, they have carried out and the total experience they have gained of will writing, probate practice and estate administration;

• Details of their typical caseload; • The number of chargeable hours they spend on will writing, estate

administration and probate activities; • The proportion or number of cases which have included preparation of papers

on which to found or oppose a grant of Probate or a grant of letters of administration;

• Details of any distinctive features of their work; and • Details of any supervisory arrangements under which they work and their own

supervisory responsibilities.

3. Applicants must demonstrate that they have the appropriate level of knowledge of practice, experience and skills in probate practice and probate law and succession to be awarded a Probate Practice Certificate in accordance with the criteria set out at Annex 3.

Competence Criteria 4. In deciding whether an applicant has adequate knowledge, skills and experience, IPS

will have regard to the competency framework set out at Annex 3.

5. Applicants will be required to demonstrate their knowledge, skills and experience in accordance with the portfolio guidelines and assessment criteria set out at Annex 2.

6. In their application, portfolios and logbooks, an applicant will be expected to demonstrate that they can: • Recognise and rank items and issues in terms of relevance and importance; • Integrate information and materials from a variety of different sources; • Undertake the analysis of information in a logical and coherent way; • Make critical judgements on the merits of particular courses of action; • Present and make a reasoned choice between alternative solutions; • Act independently in planning, preparing and undertaking tasks in probate

activities; • Undertake independent research in probate practice using standard legal

information sources; and • Reflect on their learning and make constructive use of feedback.

10


Evaluating Experience 7. An applicant will be expected to have a range of experience across the area in which

they work. Applicants will be expected to have handled matters from the beginning to the end, including the administration of estates.

8. IPS will consider the quality and quantity of experience that an applicant has gained. In considering the quality of experience, IPS will look at various factors such as the complexity of cases handled, the nature of the matters handled and the types of issues that have arisen within them.

9. IPS will recognise that applicants could have had a break in their experience due to factors such as career breaks, job changes, maternity or paternity leave, long term illness, or disability. IPS will not discriminate directly or indirectly against an applicant whose experience has been affected in this way. However, IPS will need to ensure that an applicant has an acceptable level of experience.

10. Where an applicant has had a break in their experience, they may provide details of experience gained during a different period when they were more actively engaged in probate practice. However, the break must not have been longer than 5 years. In exceptional circumstances, applications may be accepted from applicants who have had a break longer than 5 years.

11. There may be other factors which affect an applicant’s experience in the preceding 2 years. IPS will consider details of more active periods from applicants whose experience discloses a pattern that they regard as atypical.

Probate KEG

11


Annex 2 - PORTFOLIO GUIDELINES AND ASSESSMENT CRITERIA

Introduction 1. An applicant seeking reserved legal activity rights must provide evidence of their:

• Knowledge and understanding of the area of law in which they seek rights, demonstrated to CILEx Level 6 standard;

• Knowledge and understanding of the area of practice in which they seek rights, demonstrated to CILEx Level 6 standard;

• Evidence of their experience in the area of law in which they seek rights; and • Skills in the legal practice area in which they seek rights.

2. Applicants must demonstrate their knowledge, skills and experience, set out at Rule 1 in accordance with the competency framework which appears at Annex 3.

Knowledge of Law and Legal Practice 3. An applicant who has successfully completed and passed an assessment in the CILEx

Level 6 examinations in the law and associated legal practice subject relevant to the area in which they seek practice rights will have demonstrated their knowledge of the law and legal practice.

4. An applicant who has obtained a qualification which is not the CILEx Level 6 qualification, but of an equivalent standard, may rely upon that as evidence of their knowledge. In determining whether to accept an alternative qualification, IPS will assess the syllabus of that qualification, date upon which the qualification was obtained and details of the assessment the applicant undertook, to determine whether an exemption may be granted. In assessing the details of the qualification, IPS will determine whether the qualification relied upon is of an equivalent standard and covered at least 50% of the syllabus of the relevant CILEx Level 6 subject(s).

5. Where an applicant does not rely upon an alternative qualification, or the qualification is deemed as not providing sufficient coverage to the same standard as the CILEx Level 6 subject(s), they may rely upon experience which has developed their knowledge of the relevant law area and/or legal practice.

6. Applicants seeking to rely upon their experience must demonstrate how they have developed their knowledge of the relevant law and/or legal practice subject area(s) through their experience. Applicants will complete portfolios of 5 cases they have handled, within the 2 years preceding the date of their application, which demonstrate the knowledge they have gained through experience.

7. Applicants will be required to select a range of cases and provide an outline of the following in respect of each portfolio: • The facts of the case; • The law arising in the case and its application to the facts of the case; • The appropriate procedural and process matters that arose in the case and how

they were dealt with;

12


• The evidential issues that arose in the case and how they were dealt with; • An outline of any ethical or conduct issues that arose in the case and how they

were dealt with; • The funding issues that arose in the case and how they were dealt with; • The advice the applicant provided to the client and the outcome of the matter; • Decisions the applicant had to make in the case and whether they had to take

advice on any strategic issues in the case; and • Any training or development needs the applicant identified from having dealt

with the case.

8. IPS will assess the portfolios to establish whether they demonstrate that an applicant has acquired sufficient knowledge, through experience, to the same standard as CILEx Level 6 subject. The knowledge gained must cover at least 50% of the syllabus of the CILEx Level 6 subject.

9. In making its assessment, IPS will take into account the competence criteria set out

at Annex 3 which outline the knowledge requirements for the relevant subject area. Experience 10. All applicants must provide an outline of their experience in the area of practice in

which they seek to become an authorised person for the purposes of conducting reserved legal activities.

11. Applicants must provide an outline of their experience in an application along with 3 portfolios of cases they have handled which demonstrate their experience.

12. The experience outlined in an application must set out the following information for the 2 years preceding the date of the application: • A description of cases that the applicant has handled; • A description of the applicant’s typical case load, including details about the

complexity of the case load and a summary of any difficult cases the applicant has handled;

• The number of chargeable hours spent on the practice area in which rights are sought;

• The proportion of time spent on that area of law; • A description of the range and nature of matters that the applicant has handled

in the area of practice in which rights are sought; and • Details of any distinctive features of the applicant’s work.

13. An applicant will be required to produce a portfolio of 3 cases which demonstrate

their experience in the area in which rights are sought.

14. In the portfolios, applicants must provide the following information: • The facts of the case; • The law arising in the case and its application to the facts of the case;

13


• The procedural and process matters that arose in the case and how they were dealt with;

• The evidential issues that arose in the case and how they were dealt with; • Any ethical or conduct issues that arose in the case and how they were dealt

with; • The funding issues that arose in the case and how they were dealt with; • The advice the applicant provided to the client and the outcome of the case; • Decisions that the applicant had to make in the case, including whether they had

to take advice on any strategic issues; and • Any training or development needs that the applicant identified from having

dealt with the case.

15. IPS will assess the outline of experience provided in the application, along with the 3 portfolios. The assessment will consider whether the applicant meets the experience requirements set out in the competency framework at Annex 3.

Skills 16. An applicant must provide evidence of their skills in the area in which they seek

reserved legal activity rights in accordance with the skills criteria for each practice and law area which appear at Annex 3.

17. An applicant may demonstrate their skills through either undertaking a skills course which meets the outcomes set out at Annex 3, or producing a log of their experience which demonstrates their skills.

18. Where an applicant seeks to rely upon a course, they must demonstrate that the course meets the outcomes set out at Annex 3.

19. An applicant who seeks to rely upon their experience as evidence of their skills must demonstrate that they meet each of the outcomes set out at Annex 3 through the production of a log book and supporting evidence. Applicants will be required to evidence in the log book the outcome that has been met and reflect upon how the outcome was met. Each outcome must be met at least once.

20. IPS will assess the log and supporting evidence provided by applicants to determine whether an applicant has demonstrated that they meet the skills criteria set out at Annex 3

Practice management and accounts 21. An applicant who relies upon their existing practical experience of practice

management and accounts must provide evidence of their knowledge, skills and experience of accounts and practice management in accordance with the competency criteria which appear at Annexes 4 and 5.

14


22. An applicant must demonstrate their knowledge, skills and experience through producing a log which demonstrates that they meet each of the outcomes set out at Annexes 4 and 5. The log must be supported by evidence. Applicants will be required to evidence in the log book the outcome that has been met and reflect upon how the outcome was met. Each outcome must be met at least once.

23. IPS will assess the log and supporting evidence provided by applicants to determine whether an applicant has demonstrated that they meet the competency requirements set out at Annexes 4 and 5.

15

Anne

x 3

- IN

TRO

DUCT

ION

– P

ROBA

TE P

RACT

ICE

RIGH

TS

Th

e en

try

crite

ria, l

earn

ing

outc

omes

and

evi

denc

e of

com

pete

ncy

stat

ed in

this

sche

dule

set o

ut:

• th

e le

vel o

f com

pete

ncy,

kno

wle

dge

and

unde

rsta

ndin

g re

quire

d to

pra

ctise

in th

e ar

ea o

f pro

bate

wor

k, th

at is

obt

aini

ng a

gra

nt o

f re

pres

enta

tion

and

rela

ted

issue

s tog

ethe

r with

will

pre

para

tion

and

esta

te a

dmin

istra

tion

• th

e el

emen

ts re

quire

d to

evi

denc

e th

at le

vel o

f com

pete

ncy,

kno

wle

dge

and

unde

rsta

ndin

g

• th

e le

vel o

f com

pete

ncy

requ

ired

in th

e re

leva

nt sk

ills f

or th

is ar

ea o

f pra

ctic

e –

clie

nt c

are,

rese

arch

, dra

ftin

g, le

tter

writ

ing,

in

terv

iew

ing

and

advi

sing

• th

e el

emen

ts re

quire

d to

evi

denc

e th

e re

quire

d le

vel o

f com

pete

nce

for t

hese

rele

vant

skill

s

• a

stat

emen

t of t

he st

udy

and

wor

k-ba

sed

expe

rienc

e th

at d

emon

stra

tes t

hat a

n ap

plic

ant h

as a

ttai

ned

the

requ

ired

leve

l of

com

pete

nce,

kno

wle

dge

and

unde

rsta

ndin

g in

all

the

requ

ired

elem

ents

Cert

ifica

tion

of p

roba

te p

ract

ice

right

s will

ens

ure

that

the

appl

ican

t has

: •

met

the

appl

icat

ion

requ

irem

ents

• an

app

ropr

iate

leve

l of e

xper

ienc

e in

the

field

of p

roba

te w

ork

in p

ract

ice

whi

ch m

ust i

nclu

de n

ot le

ss th

an 2

yea

rs re

leva

nt e

xper

ienc

e im

med

iate

ly p

rece

ding

the

appl

icat

ion

• an

app

ropr

iate

leve

l of k

now

ledg

e an

d ap

prec

iatio

n of

the

key

lega

l fea

ture

s of p

roba

te w

ork,

incl

udin

g th

e ab

ility

to a

pply

for d

iffer

ent

type

s of g

rant

of r

epre

sent

atio

n, to

pre

pare

will

s and

to a

dmin

ister

est

ates

. Whi

lst e

mph

asis

will

be

give

n to

the

aspe

cts o

f dea

ling

with

pr

oper

ty p

assin

g un

der a

will

and

/or i

ntes

tacy

, a le

vel o

f kno

wle

dge

and

unde

rsta

ndin

g of

the

othe

r way

s in

whi

ch p

rope

rty

can

devo

lve

on d

eath

is a

lso e

xpec

ted

so th

at th

e ap

plic

ant c

an n

ot o

nly

deal

with

it in

the

cont

ext o

f gra

nts a

nd e

stat

e ad

min

istra

tion

but

also

as a

n as

pect

of w

ill p

repa

ratio

n an

d an

cilla

ry a

dvic

e

• th

e ab

ility

and

exp

erie

nce

to re

sear

ch a

spec

ts o

f sta

tute

and

cas

e la

w, l

egal

pra

ctic

e, p

roce

dure

s and

doc

umen

tatio

n th

at is

cur

rent

• th

e ab

ility

and

exp

erie

nce

to in

terv

iew

clie

nts a

ppro

pria

tely

and

iden

tify

each

clie

nt’s

obj

ectiv

es a

nd d

iffer

ent m

eans

of a

chie

ving

thos

e ob

ject

ives

if o

ptio

ns a

re a

vaila

ble,

toge

ther

with

the

abili

ty a

nd e

xper

ienc

e to

adv

ise su

ch c

lient

s and

be

awar

e of

the

pers

onal

,


16

com

mer

cial

, fin

anci

al, t

ax a

nd o

ther

fisc

al p

riorit

ies a

nd c

onst

rain

ts (i

nclu

ding

fidu

ciar

y an

d ot

her d

utie

s ow

ed to

oth

ers a

nd th

e co

urt)

th

at m

ust b

e ta

ken

into

acc

ount

toge

ther

with

the

cost

s, b

enef

its a

nd ri

sks i

nvol

ved

in a

ny p

roce

dure

, tra

nsac

tion

or c

ours

e of

act

ion

• th

e ab

ility

and

exp

erie

nce

to p

erfo

rm th

e ta

sks r

equi

red

to a

dvan

ce p

roce

dure

s, tr

ansa

ctio

ns o

r mat

ters

, to

incl

ude

(but

not

rest

ricte

d to

), dr

aftin

g le

tter

s of a

dvic

e to

clie

nts,

dra

ftin

g an

d co

mpl

etin

g do

cum

ents

, and

com

mun

icat

ing

with

co-

prof

essio

nals,

the

Prob

ate

Regi

stry

/Cou

rt, H

er M

ajes

ty’s

Rev

enue

and

Cus

tom

s and

oth

er b

odie

s and

org

anisa

tions

• th

e ab

ility

and

exp

erie

nce

to p

repa

re w

ills a

nd a

pplic

atio

ns fo

r gra

nts o

f rep

rese

ntat

ion

and

asso

ciat

ed d

ocum

enta

tion

such

as (

but n

ot

rest

ricte

d to

) tha

t req

uire

d by

the

Prob

ate

Regi

stry

/Cou

rt o

r Her

Maj

esty

’s R

even

ue a

nd C

usto

ms n

eces

sary

to p

rogr

ess a

nd fi

nalis

e th

e ad

min

istra

tion

of a

n es

tate

• de

mon

stra

te a

leve

l of e

xper

ienc

e, k

now

ledg

e an

d un

ders

tand

ing

of a

ll as

pect

s of p

rofe

ssio

nal c

ondu

ct a

nd re

gula

tion

whi

ch in

clud

es

an u

nder

stan

ding

of t

he k

ey e

thic

al re

quire

men

ts c

onta

ined

in re

leva

nt c

ondu

ct ru

les a

nd o

ther

law

and

regu

latio

ns a

nd, w

here

thes

e m

ay im

pact

, be

able

to a

pply

them

in c

onte

xt.

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

Th

e en

try

requ

irem

ent

to o

btai

n th

e rig

ht t

o un

dert

ake

prob

ate

activ

ities

seek

s to

ensu

re th

at th

e ap

plic

ant:

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

N

OTE

: Kn

owle

dge

Elem

ent

1 re

flect

s w

hat

is cu

rren

tly t

he r

eser

ved

activ

ity in

the

Leg

al S

ervi

ces

Act

2007

s12

and

Sc

h 2

(the

re c

alle

d ‘p

roba

te a

ctiv

ities

’);

Know

ledg

e El

emen

t 2

and

Know

ledg

e El

emen

t 3

refle

ct w

ill d

raft

ing

and

anci

llary

mat

ters

Kno

wle

dge

Elem

ent

4 re

flect

s adm

inist

ratio

n of

a d

ecea

sed’

s est

ate

and

anci

llary

mat

ters

. ST

AGE

1 EN

TRY

CRIT

ERIA

•

KNO

WLE

DGE

• U

NDE

RSTA

NDI

NG

•

has p

ract

ical

kno

wle

dge,

und

erst

andi

ng a

nd

expe

rienc

e

Eith

er

• su

cces

sful

com

plet

ion

of C

ILEX

Lev

el 6

Pr

ofes

siona

l Hig

her D

iplo

ma

in P

roba

te


17

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

• EX

PERI

ENCE

Prac

tice

and

Will

s and

Suc

cess

ion

O

r •

qual

ifica

tion

and/

or e

xper

ienc

e of

an

equi

vale

nt st

anda

rd

Ex

perie

nce

whi

ch d

emon

stra

tes k

now

ledg

e an

d un

ders

tand

ing

of P

roba

te P

ract

ice

and

Will

s and

Suc

cess

ion

thro

ugh

the

subm

issio

n of

5 p

ortf

olio

s in

acco

rdan

ce

with

the

Port

folio

Gui

delin

es.

Exam

ples

will

be

draw

n fr

om a

ran

ge o

f ca

ses f

rom

the

appl

ican

t’s c

ase

load

.

Know

ledg

e El

emen

t 1

OBT

AIN

ING

OR

OPP

OSI

NG

A

GRAN

T O

F RE

PRES

ENTA

TIO

N

AND

ITS

PURP

OSE

IN

CAS

ES

WHE

RE T

HERE

IS A

WIL

L AN

D W

HERE

THE

RE IS

NO

T

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

th

e ty

pes

of g

rant

of r

epre

sent

atio

n an

d th

e ci

rcum

stan

ces

whe

n:

-

each

is a

ppro

pria

te

- an

app

licat

ion

for a

gra

nt o

f re

pres

enta

tion

may

be

oppo

sed

- ap

plic

atio

n m

ay b

e m

ade

to a

men

d or

re

voke

a g

rant

of r

epre

sent

atio

n.

• Th

e ty

pes o

f com

mon

gra

nts i

nclu

ding

ad

min

istra

tion

de b

onis

non

(and

an

awar

enes

s of e

xped

ited,

lim

ited

and

spec

ial

gran

ts) a

nd th

e ci

rcum

stan

ces w

hen

each

is

appr

opria

te

• Th

e pu

rpos

e an

d ef

fect

of a

gra

nt o

f re

pres

enta

tion

•

Iden

tify

whe

n a

gran

t is n

ot n

eces

sary

such

as

with

pro

pert

y no

t pas

sing

to th

e pe

rson

al re

pres

enta

tives

or p

rope

rty

that

ca

n be

dea

lt w

ith w

ithou

t a g

rant


18

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

• En

title

men

t to

the

app

ropr

iate

gra

nt i

n pa

rtic

ular

ca

ses

unde

r th

e ap

plic

able

st

atut

ory

prov

ision

s •

Mat

ters

af

fect

ing

the

appl

icat

ion

for

a gr

ant b

y ex

ecut

ors

and

the

appo

intm

ent o

f ad

min

istra

tors

suc

h as

tho

se r

elat

ing

to

capa

city

; m

ultip

le

appl

ican

ts;

num

ber;

renu

ncia

tion;

res

ervi

ng p

ower

; cle

arin

g of

f an

d th

e po

wer

of t

he c

ourt

to p

ass

over

an

appl

ican

t •

The

purp

ose

and

effe

ct o

f cav

eats

, ci

tatio

ns, a

nd st

andi

ng se

arch

es; p

roce

dure

fo

r the

ir iss

ue; p

roce

dure

for r

emov

al a

nd

up to

the

poin

t tha

t a m

atte

r bec

omes

co

nten

tious

•

The

circ

umst

ance

s whe

n an

app

licat

ion

may

be

mad

e fo

r a g

rant

of r

epre

sent

atio

n to

be

amen

ded

or re

voke

d an

d th

e pr

oced

ure

to d

o so

up

to th

e po

int t

hat a

m

atte

r bec

omes

con

tent

ious

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

th

e pr

actic

al s

teps

tak

en b

efor

e m

akin

g an

app

licat

ion

to

obta

in a

gra

nt o

f rep

rese

ntat

ion

• Id

entif

ying

type

of g

rant

nee

ded

and

advi

sing

prop

osed

app

lican

ts fo

r the

gra

nt

(if n

eces

sary

, hav

ing

first

iden

tifie

d


19

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

bene

ficia

l ent

itlem

ents

by

criti

cal a

naly

sis

of th

e w

ill o

r app

licab

le in

test

acy

rule

s); a

s re

quire

d, e

xpla

inin

g th

e fu

nctio

ns o

f a

pers

onal

repr

esen

tativ

e to

pro

pose

d ap

plic

ants

•

Taki

ng re

quire

d st

eps t

o ob

tain

any

will

and

id

entif

ying

act

ion

to d

eal w

ith p

erce

ived

“d

iffic

ultie

s”, s

uch

as lo

catin

g it

or

obta

inin

g ev

iden

ce o

f due

exe

cutio

n, o

r re

quire

men

ts if

a w

ill is

lost

, or a

ccid

enta

lly

or m

istak

enly

des

troy

ed

• Id

entif

ying

sour

ces o

f int

erim

fina

ncia

l as

sista

nce

that

may

be

avai

labl

e if

need

ed,

for e

xam

ple

by d

ecea

sed’

s dep

enda

nts a

nd

offe

ring

prac

tical

adv

ice

and

assis

tanc

e ac

cord

ingl

y

• Re

gist

erin

g, n

otify

ing

and

advi

sing

the

cons

eque

nces

of t

he d

eath

as r

equi

red;

no

tifyi

ng p

oten

tial b

enef

icia

ries o

f the

ir in

tere

st in

the

esta

te a

nd p

rogr

ess o

f the

gr

ant a

pplic

atio

n an

d ad

min

istra

tion

•

Asce

rtai

ning

and

arr

angi

ng fo

r val

uatio

n of

th

e de

ceas

ed’s

ass

ets a

nd li

abili

ties;

se

lect

ing

and

inst

ruct

ing

prof

essio

nal


20

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

agen

ts a

nd v

alue

rs a

s req

uire

d •

An a

war

enes

s of s

olem

n fo

rm p

roce

dure

an

d be

ing

able

to a

dvise

whe

n th

is pr

oced

ure

is ap

prop

riate

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

th

e re

quire

men

ts o

f the

cou

rt w

hen

appl

ying

for a

gra

nt o

f re

pres

enta

tion

• Th

e na

ture

, pur

pose

and

effe

ct o

f oat

hs in

su

ppor

t of a

n ap

plic

atio

n fo

r a g

rant

of

repr

esen

tatio

n an

d th

e re

quire

d co

nten

t of

each

•

Obt

aini

ng th

e in

form

atio

n to

com

plet

e an

oa

th fo

r Exe

cuto

rs o

r Adm

inist

rato

rs w

ith

will

ann

exed

or s

impl

e Ad

min

istra

tors

or

Adm

inist

rato

rs d

e bo

nis n

on so

as t

o m

eet

the

requ

irem

ents

of t

he c

ourt

whe

n m

akin

g ap

plic

atio

n; u

se o

f pro

-form

a te

mpl

ates

an

d dr

aftin

g oa

ths a

nd u

sing

the

sett

ling

faci

lity

offe

red

by th

e Re

gist

ry in

ap

prop

riate

cas

es

• Th

e ne

ed fo

r, an

d na

ture

of,

furt

her

affid

avit

evid

ence

if re

quire

d by

the

cour

t un

der t

he a

ppro

pria

te p

roba

te ru

les,

for

exam

ple

to c

onfir

m d

ue e

xecu

tion,

or

prov

e th

e co

nten

ts o

f a lo

st o

r miss

ing

will

; dr

aftin

g af

fidav

its in

app

ropr

iate

form

aft

er

obta

inin

g re

quire

d in

form

atio

n


21

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

• Th

e lo

dgin

g of

pap

ers a

t a P

roba

te R

egist

ry

incl

udin

g: th

e sw

orn

or a

ffirm

ed o

ath;

the

will

(if a

ny) t

oget

her w

ith c

opie

s as

requ

ired;

nec

essa

ry d

ocum

ents

to m

eet t

he

requ

irem

ents

of H

er M

ajes

ty’s

Rev

enue

an

d Cu

stom

s (HM

RC);

any

furt

her

supp

ortin

g do

cum

ents

as r

equi

red;

pa

ymen

t of p

roba

te fe

es

De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

app

licat

ion

of

the

requ

irem

ents

of

HMRC

on

appl

icat

ion

for

a gr

ant

of

repr

esen

tatio

n an

d su

bseq

uent

ly

durin

g th

e es

tate

ad

min

istr

atio

n

• Du

ty o

n ap

plic

ants

(and

gen

eral

ly o

n pe

rson

al re

pres

enta

tives

and

oth

ers

acco

unta

ble)

to u

nder

take

full

enqu

iries

be

fore

subm

ittin

g in

form

atio

n to

HM

RC

abou

t the

ass

ets,

liab

ilitie

s and

oth

er

mat

ters

con

cern

ing

the

esta

te a

nd th

e po

tent

ial l

iabi

lity

to in

herit

ance

tax

(IHT)

; ris

k of

pen

altie

s for

non

-com

plia

nce

with

th

is du

ty a

nd p

aym

ent o

f int

eres

t for

late

pa

ymen

t of t

ax d

ue

• Id

entif

icat

ion

of a

sset

s and

liab

ilitie

s tha

t co

mpr

ise th

e es

tate

for I

HT p

urpo

ses

incl

udin

g as

sets

not

pas

sing

to th

e pe

rson

al

repr

esen

tativ

es; t

he n

eed

to id

entif

y w

ho is

ac

coun

tabl

e fo

r the

IHT

that

is d

ue a

nd

whe

re th

e bu

rden

(inc

iden

ce) f

alls

• Id

entif

y if

an e

stat

e is

“exc

epte

d” w

ithin


22

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

the

mea

ning

of t

he re

leva

nt R

egul

atio

ns

• Th

e co

mpl

etio

n an

d su

bmiss

ion

of th

e re

leva

nt IH

T fo

rms a

s app

ropr

iate

to th

e ty

pe o

f est

ate,

exe

mpt

ions

and

relie

fs a

nd

the

calc

ulat

ion

and

paym

ent o

f tax

due

•

The

need

for a

nd u

se o

f oth

er IH

T re

turn

s su

ch a

s a c

orre

ctiv

e ac

coun

t and

retu

rns

nece

ssar

y fo

r inc

ome

tax

and

capi

tal g

ains

ta

x, d

ealin

g w

ith b

oth

pre-

deat

h an

d po

st-

deat

h in

com

e an

d ca

pita

l gai

ns

• Th

e fu

ndin

g of

tax

due

by u

tilisi

ng, f

or

exam

ple,

cre

dit b

alan

ces i

n de

ceas

ed’s

ba

nk a

ccou

nts,

loan

s fro

m in

stitu

tiona

l le

nder

s or b

enef

icia

ries,

or s

ale

of a

sset

s;

atte

ndin

g to

pay

men

t of t

ax d

ue o

n de

liver

y of

the

IHT

acco

unt (

or a

t oth

er

times

) usin

g av

aila

ble

met

hods

Know

ledg

e El

emen

t 2

MAK

E, A

LTER

OR

REVO

KE A

W

ILL

AND

ANCI

LLAR

Y M

ATTE

RS R

ELEV

ANT

TO T

HE

PREP

ARAT

ION

AN

D EX

ECU

TIO

N O

F TE

STAM

ENTA

RY

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

th

e st

atut

ory

requ

irem

ents

to

mak

e an

effe

ctiv

e w

ill a

nd

the

mea

ning

of t

esta

men

tary

cap

acity

and

inte

ntio

n

• Th

e st

atut

ory

rule

s rel

atin

g to

form

aliti

es

for m

akin

g a

will

(or c

odic

il) in

clud

ing

an

awar

enes

s of t

hose

for p

rivile

ged

will

s and

st

atut

ory

will

s •

The

evid

ence

requ

ired

by th

e co

urt t

o es

tabl

ish te

stam

enta

ry c

apac

ity a

nd th

e


23

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

DISP

OSI

TIO

NS

INCL

UDI

NG

UN

DERS

TAN

DIN

G TH

E IM

PORT

ANCE

OF

RISK

M

ANAG

EMEN

T

test

ator

’s in

tent

ion

by k

now

ing

and

appr

ovin

g th

e co

nten

ts o

f a w

ill

• Th

e ov

eral

l dut

y of

car

e ow

ed (b

oth

to th

e te

stat

or a

nd o

ther

s) to

ens

ure

a va

lid a

nd

effe

ctiv

e ex

ecut

ion

and

reco

gniti

on o

f ci

rcum

stan

ces w

here

risk

man

agem

ent i

s pa

rtic

ular

ly im

port

ant s

uch

as m

akin

g a

will

fo

r a v

ery

elde

rly o

r inf

irm te

stat

or, o

r an

unsu

perv

ised

exec

utio

n of

a w

ill

• En

surin

g ap

prop

riate

arr

ange

men

ts a

re

mad

e fo

r the

safe

cus

tody

of a

will

and

that

it

can

be lo

cate

d w

hen

requ

ired

De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

app

licat

ion

of

the

mea

ns b

y w

hich

a w

ill c

an b

e va

lidly

alte

red

or re

voke

d•

The

appl

icat

ion

of th

e la

w a

nd p

ract

ice

in

rela

tion

to a

ltera

tions

, add

ition

s an

d ob

liter

atio

ns to

a w

ill in

clud

ing

the

use

of

codi

cils

• Th

e w

ays a

will

can

be

revo

ked

by

dest

ruct

ion,

mar

riage

or c

ivil

part

ners

hip,

or

by

late

r tes

tam

enta

ry d

ocum

ent a

nd a

n aw

aren

ess o

f the

pos

sible

lim

itatio

ns o

n th

e ef

fect

of r

evoc

atio

n, fo

r exa

mpl

e, b

y co

nditi

onal

revo

catio

n an

d by

the

rule

s on

mut

ual w

ills


24

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

Know

ledg

e El

emen

t 3

TAKE

FU

LL IN

STRU

CTIO

NS

FRO

M T

HE T

ESTA

TOR

AND

PRO

VIDE

ADV

ICE

ON

THE

TE

RMS

OF

A W

ILL

(AN

D AN

CILL

ARY

MAT

TERS

) AN

D TO

TH

EN P

REPA

RE A

WIL

L W

HICH

GI

VES

EFFE

CT T

O T

HE

TEST

ATO

R’S

WIS

HES

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

th

e ex

tent

to

whi

ch a

will

is c

apab

le o

f di

spos

ing

of t

he

test

ator

’s p

rope

rty

and

how

pro

pert

y de

volv

es o

n de

ath

if it

cann

ot b

e de

alt w

ith b

y w

ill

• Th

e pr

oper

ty a

nd in

tere

sts o

f the

test

ator

ca

pabl

e of

pas

sing

by w

ill a

nd th

at w

hich

do

es n

ot; t

he m

anne

r of d

evol

utio

n of

pr

oper

ty o

n de

ath

whi

ch d

evol

ves o

utsid

e th

e te

stat

or’s

will

; act

ion

that

may

be

take

n by

a te

stat

or n

ow, s

uch

as se

verin

g a

join

t ten

ancy

, so

as to

be

able

to d

ispos

e of

pr

oper

ty b

y w

ill

• An

aw

aren

ess o

f the

ext

ent t

o w

hich

a w

ill

may

dea

l with

pro

pert

y ab

road

and

the

exte

nt to

whi

ch a

fore

ign

will

may

dea

l w

ith U

K pr

oper

ty

• Re

stric

tions

on

the

test

ator

’s a

bilit

y to

fr

eely

disp

ose

of p

rope

rty

on d

eath

De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

app

licat

ion

of

the

stat

utor

y ru

les

rela

ting

to t

he d

evol

utio

n of

pro

pert

y w

holly

, or i

n pa

rt, o

n an

inte

stac

y

• Th

e di

strib

utio

n of

pro

pert

y an

d en

title

men

t of s

pous

es, c

ivil

part

ners

, iss

ue

and

othe

rs in

cas

es o

f tot

al a

nd p

artia

l in

test

acy;

reco

gniti

on o

f whe

n an

d ho

w a

pa

rtia

l int

esta

cy m

ight

aris

e w

hen

ther

e is

a w

ill; r

ight

s of c

ohab

itees

(if a

ny)

• Ap

prec

iatio

n th

at th

e in

test

acy

rule

s may

m

ake

insu

ffici

ent o

r no

prov

ision

for t

hose

th

e de

ceas

ed m

ight

hav

e w

ished

to b

enef

it •

The

oper

atio

n of

the

stat

utor

y tr

usts

aris

ing


25

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

unde

r the

inte

stac

y ru

les a

nd th

e av

aila

bilit

y of

stat

utor

y po

wer

s; sp

ecia

l ru

les a

nd ri

ghts

app

lyin

g to

surv

ivin

g sp

ouse

s and

civ

il pa

rtne

rs

De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

app

licat

ion

of

the

need

to

take

ful

l ins

truc

tions

fro

m t

he t

esta

tor

on a

ra

nge

of m

atte

rs in

clud

ing

the

test

ator

’s p

rese

nt a

nd,

(if

rele

vant

), fu

ture

circ

umst

ance

s and

obj

ectiv

es

• Ta

king

inst

ruct

ions

on

a w

ide

rang

e of

fa

ctua

l iss

ues i

nclu

ding

, but

not

rest

ricte

d to

: -

the

test

ator

and

his

pres

ent a

nd fu

ture

ci

rcum

stan

ces

- th

e te

stat

or’s

im

med

iate

an

d w

ider

fa

mily

-

the

test

ator

’s d

epen

dant

s (b

oth

with

in

the

fam

ily a

nd o

utsid

e it)

-

the

test

ator

’s p

rope

rty

inte

rest

s (b

oth

pers

onal

and

bus

ines

s) in

clud

ing

thos

e pa

ssin

g ou

tsid

e th

e w

ill,

such

as

in

tere

sts

unde

r tr

usts

and

in

join

tly

owne

d pr

oper

ty

- th

e te

stat

or’s

fin

anci

al s

ituat

ion

as t

o bo

th

capi

tal

and

inco

me

incl

udin

g ex

pect

anci

es a

nd fu

ture

inte

rest

s -

any

exist

ing

or p

revi

ous

will

s (in

clud

ing

fore

ign

will

s) a

nd st

eps a

lread

y ta

ken

as

rega

rds

finan

cial

, est

ate

and

succ

essio

n pl

anni

ng s

uch

as c

reat

ing

pow

ers

of

atto

rney

or m

akin

g lif

etim

e gi

fts

- as

sess

men

t of

th

e es

tate

of

an

y


26

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

spou

se/c

ivil

part

ner.

• Id

entif

ying

the

test

ator

’s a

ims a

nd

obje

ctiv

es a

s reg

ards

the

disp

ositi

on o

f his

esta

te o

n de

ath

and

othe

r ter

ms o

f the

will

•

Iden

tifyi

ng si

tuat

ions

whe

re th

e ai

ms a

nd

obje

ctiv

es o

f the

test

ator

in m

akin

g pr

ovisi

on m

ight

be

met

by

arra

ngem

ents

ou

tsid

e of

any

will

•

Iden

tifyi

ng c

ircum

stan

ces w

here

the

will

or

its p

rovi

sions

mig

ht la

ter b

e op

pose

d, in

pa

rtic

ular

, but

not

rest

ricte

d to

: pot

entia

l cl

aim

s tha

t cou

ld b

e m

ade

unde

r the

In

herit

ance

(Pro

visio

n fo

r Fam

ily a

nd

Depe

ndan

ts) A

ct 1

975;

mut

ual w

ill

agre

emen

ts; e

nfor

ceab

le p

rom

ises t

o le

ave

prop

erty

to o

ther

s (co

ntra

ct o

r est

oppe

l);

clai

ms t

hat t

esta

tor l

acke

d ca

paci

ty o

r te

stam

enta

ry in

tent

ion

incl

udin

g th

at

test

ator

was

subj

ect t

o un

due

influ

ence

•

Iden

tifyi

ng a

ppro

pria

te m

easu

res a

nd

prec

autio

ns (w

here

ava

ilabl

e) to

dea

l with

ci

rcum

stan

ces a

bove

if a

risin

g


27

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

th

e ta

xatio

n pr

inci

ples

rel

evan

t to

will

pre

para

tion

and

asso

ciat

ed ta

x pl

anni

ng m

easu

res

• Ex

plai

n th

e pr

inci

ples

of t

he c

harg

e to

IHT

and

its c

alcu

latio

n in

clud

ing

but n

ot

rest

ricte

d to

: tra

nsfe

rs o

f val

ue; c

harg

eabl

e tr

ansf

ers;

exc

lude

d pr

oper

ty; d

ispos

ition

s no

t tra

nsfe

rs o

f val

ue o

r whi

ch a

re e

xem

pt;

pote

ntia

lly e

xem

pt tr

ansf

ers;

cha

rgea

ble

lifet

ime

tran

sfer

s; g

ifts w

ith re

serv

atio

n of

be

nefit

; occ

asio

ns o

f cha

rge

to ta

x;

com

posit

ion

of th

e IH

T es

tate

; cum

ulat

ion,

ra

tes a

nd re

liefs

; lia

bilit

y an

d bu

rden

•

Expl

ain

the

basic

prin

cipl

es o

f inc

ome

tax,

ca

pita

l gai

ns ta

x (C

GT) a

nd IH

T ap

plyi

ng to

tr

usts

(pos

t-Fi

nanc

e Ac

t 200

6) in

clud

ing

but

not r

estr

icte

d to

: inc

ome

tax

liabi

lity

of

trus

tees

and

ben

efic

iarie

s; C

GT o

n cr

eatio

n an

d su

bseq

uent

liab

ility

of t

rust

ees a

nd

bene

ficia

ries;

IHT

liabi

lity

on c

reat

ion

and

on su

bseq

uent

cha

rgea

ble

even

ts

acco

rdin

g to

the

type

of t

rust

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

th

e no

n-be

nefic

ial p

rovi

sion

s rel

evan

t to

a w

ill

• Th

e fu

nctio

ns o

f exe

cuto

rs, t

rust

ees a

nd

test

amen

tary

gua

rdia

ns a

nd th

e ch

oice

s av

aila

ble

to a

test

ator

•

The

mat

ters

to b

e ta

ken

into

acc

ount

in

impl

emen

ting

the

appo

intm

ent o

f ex

ecut

ors,

trus

tees

and

test

amen

tary


28

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

guar

dian

s in

a w

ill a

s is a

ppro

pria

te to

a

test

ator

’s c

ircum

stan

ces a

nd th

e te

rms o

f a

prop

osed

will

•

The

dutie

s, p

ower

s and

resp

onsib

ilitie

s of

pers

onal

repr

esen

tativ

es a

nd tr

uste

es th

at

are

impo

sed

by st

atut

e or

by

the

cour

ts

• Th

e su

itabi

lity

and

desir

abili

ty o

f ap

prop

riate

exp

ress

pro

visio

ns w

hich

m

odify

, ext

end,

exc

lude

or l

imit

the

pow

ers,

dut

ies a

nd re

spon

sibili

ties o

f pe

rson

al re

pres

enta

tives

and

trus

tees

that

w

ould

oth

erw

ise a

pply

by

defa

ult

• O

ther

com

mon

pro

visio

ns ty

pica

lly

incl

uded

in, o

r sup

port

ing,

a w

ill (s

uch

as

buria

l req

uest

s, o

rgan

don

atio

n or

a le

tter

of

wish

es)

De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

app

licat

ion

of

the

advi

ce t

o a

test

ator

on

the

term

s of

a w

ill a

nd

asso

ciat

ed p

lann

ing

mea

sure

s

• Id

entif

ying

the

obje

ctiv

es o

f the

test

ator

an

d pr

ovid

ing

the

test

ator

with

opt

ions

, as

appr

opria

te, f

or th

e te

rms o

f a w

ill,

cove

ring

both

ben

efic

ial a

nd n

on-b

enef

icia

l pr

ovisi

ons w

hich

are

cap

able

of m

eetin

g th

ose

obje

ctiv

es

• Id

entif

ying

oth

er m

easu

res o

pen

to th

e


29

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

test

ator

whi

ch m

eet t

he te

stat

or’s

ob

ject

ives

such

as a

dvisi

ng o

n th

e m

akin

g of

life

time

disp

ositi

ons o

r pro

vidi

ng fo

r su

cces

sion

plan

ning

as r

egar

ds a

bus

ines

s in

tere

st; i

f app

ropr

iate

, adv

ising

on

the

mak

ing

of a

last

ing

pow

er o

f att

orne

y •

Iden

tify

and

expl

ain

appr

opria

te

oppo

rtun

ities

for b

asic

tax

and

succ

essio

n pl

anni

ng in

life

time

and

thro

ugh

a w

ill (o

r ot

herw

ise o

n de

ath)

incl

udin

g bu

t not

re

stric

ted

to: u

se o

f exe

mpt

ions

and

relie

fs;

IHT

pote

ntia

lly e

xem

pt tr

ansf

ers;

trus

t po

licie

s and

sim

ilar p

rodu

cts;

issu

es

rela

ting

to g

ifts t

o sp

ouse

s/ci

vil p

artn

ers

and

min

ors;

use

of t

rust

s to

cont

rol u

se o

f pr

oper

ty a

nd e

ntitl

emen

t to

capi

tal a

nd

inco

me;

inte

ract

ion

with

CGT

and

inco

me

tax

• Th

e ne

ed to

adv

ise o

n th

e m

akin

g of

a w

ill

whi

ch im

plem

ents

the

test

ator

’s

inst

ruct

ions

in a

giv

en si

tuat

ion

and

acco

rdin

g to

the

test

ator

’s c

ircum

stan

ces

De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

app

licat

ion

nece

ssar

y to

pro

duce

a d

raft

and

then

exe

cute

a w

ill w

hich

gi

ves

effe

ct t

o th

e te

stat

or’s

inst

ruct

ions

and

is c

onsi

sten

t

• Th

e cl

assif

icat

ion

of le

gaci

es, d

evise

s and

ot

her t

esta

men

tary

disp

ositi

ons a

nd th

e di

ffere

nce

betw

een

vest

ed o

r abs

olut

e, a

nd


30

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

with

the

lega

l prin

cipl

es o

f con

stru

ctio

n an

d in

terp

reta

tion

of te

stam

enta

ry d

ispo

sitio

ns

cont

inge

nt o

r lim

ited

gift

s •

The

effe

ctiv

e dr

aftin

g of

lega

cies

and

oth

er

test

amen

tary

disp

ositi

on to

take

acc

ount

of

pote

ntia

l fai

lure

thro

ugh

laps

e, a

dem

ptio

n,

abat

emen

t, fo

rfei

ture

, div

orce

, ann

ulm

ent

etc.

•

The

lega

l rul

es o

f con

stru

ctio

n an

d in

terp

reta

tion,

incl

udin

g th

ose

appl

icab

le

to a

dopt

ed a

nd il

legi

timat

e ch

ildre

n an

d ot

hers

refe

rred

to b

y de

scrip

tion,

and

how

th

ose

rule

s are

app

lied

by th

e co

urt t

o as

cert

ain

the

test

ator

’s e

xpre

ssed

inte

ntio

n in

the

will

•

Com

plia

nce

with

the

prin

cipl

es o

f goo

d w

ill

draf

ting

incl

udin

g bu

t not

rest

ricte

d to

: re

flect

ing

the

test

ator

’s in

stru

ctio

ns in

so

far a

s effe

ct c

an b

e gi

ven

to th

em; a

bilit

y to

se

lect

, use

and

ada

pt a

ppro

pria

te

prec

eden

ts a

nd te

mpl

ates

to p

rodu

ce a

co

mpl

ete

draf

t will

and

dra

ftin

g pr

ovisi

ons

“fre

ehan

d” in

the

abse

nce

of a

n ap

prop

riate

pre

cede

nt b

eing

ava

ilabl

e;

usin

g a

logi

cal s

truc

ture

and

layo

ut; u

sing

clea

r and

con

cise

lang

uage

; avo

idin

g un

cert

aint

y, a

mbi

guity

or i

ncon

siste

ncy

in


31

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

the

will

’s in

terp

reta

tion;

ens

urin

g th

e w

ill is

le

gally

effe

ctiv

e bo

th a

s to

form

al a

nd

esse

ntia

l val

idity

•

The

need

to u

nder

stan

d fu

lly th

e te

stat

or’s

ci

rcum

stan

ces a

nd w

ishes

in o

rder

to

prov

ide

an a

ppro

pria

tely

dra

fted

will

; se

ekin

g th

e te

stat

or’s

app

rova

l to

the

draf

t an

d if

nece

ssar

y re

finin

g th

e dr

aft t

o ta

ke

acco

unt o

f any

requ

ired

chan

ges

• Id

entif

ying

the

requ

irem

ents

for a

val

id a

nd

effe

ctiv

e ex

ecut

ion

of a

will

acc

ordi

ng to

th

e te

stat

or’s

circ

umst

ance

s inc

ludi

ng th

e m

anne

r of t

he te

stat

or’s

sign

atur

e or

that

of

som

eone

dire

cted

by

the

test

ator

to si

gn

in th

e te

stat

or’s

pre

senc

e an

d th

e ch

oice

of

witn

esse

s; Id

entif

ying

any

supp

ortin

g ac

tions

to la

ter a

ssist

in p

rovi

ng d

ue

exec

utio

n; m

akin

g an

d re

tain

ing

at a

ll tim

es

full

file

note

s of t

he w

ill m

akin

g pr

oces

s

Know

ledg

e El

emen

t 4

LAW

AN

D PR

ACTI

CE R

ELAT

ING

TO T

HE A

DMIN

ISTR

ATIO

N O

F A

DECE

ASED

’S E

STAT

E

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

th

e fu

ndam

enta

l du

ties

of p

erso

nal

repr

esen

tativ

es a

nd

exer

cise

of a

dmin

istr

ativ

e po

wer

s

• Id

entif

ying

the

stat

utor

y du

ties i

mpo

sed

on, a

nd th

e po

wer

s ava

ilabl

e to

, per

sona

l re

pres

enta

tives

and

trus

tees

; Ide

ntify

ing

dutie

s and

pow

ers i

mpo

sed

or c

onfe

rred

by

a w

ill o

r tru

st d

ocum

ent;

Iden

tifyi

ng th

ose

to w

hom

any

such

dut

ies a

re o

wed

or i

n


32

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

who

se fa

vour

pow

ers m

ay b

e ex

erci

sed;

Id

entif

ying

how

a b

reac

h or

abu

se o

f a d

uty

or p

ower

by

a pe

rson

al re

pres

enta

tive

or

trus

tee

can

give

rise

to li

abili

ty to

oth

ers

• Du

ty o

f per

sona

l rep

rese

ntat

ives

to g

ive

effe

ct to

the

will

thou

gh a

n an

alys

is of

its

prov

ision

s, o

r, if

appr

opria

te, t

he in

test

acy

rule

s, a

nd th

at fa

ilure

to d

o so

may

giv

e ris

e to

: adm

inist

ratio

n pr

ocee

ding

s; a

ctio

ns to

re

cove

r “lo

ss”

by e

ither

per

sona

l act

ion

agai

nst p

erso

nal r

epre

sent

ativ

es o

r tra

cing

or

per

sona

l act

ion

agai

nst r

ecip

ient

s of

esta

te a

sset

s •

Iden

tifyi

ng th

e fid

ucia

ry n

atur

e of

pa

rtic

ular

dut

ies a

nd p

ower

s by

refe

renc

e to

stat

utor

y pr

ovisi

ons a

nd re

leva

nt c

ase

law

incl

udin

g bu

t not

lim

ited

to: d

eleg

atio

n;

inve

stm

ent a

nd p

urch

ase

of la

nd;

mai

nten

ance

out

of i

ncom

e; a

dvan

cem

ent

of c

apita

l; ap

prop

riatio

n; re

ceip

ts fo

r pr

oper

ty; i

nsur

ance

; run

ning

or

part

icip

atin

g in

a b

usin

ess;

sett

ling

clai

ms

by o

r aga

inst

the

esta

te; e

xpre

ss p

ower

s,

that

is, e

xten

sions

and

mod

ifica

tions

to

stat

utor

y po

wer

s com

mon

ly fo

und

in w

ills


33

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

• Th

e re

quire

men

ts o

f com

plyi

ng w

ith a

ny

stat

utor

y ob

ligat

ions

rega

rdin

g th

e ha

ndlin

g an

d m

anag

emen

t of e

stat

e or

tr

ust f

unds

incl

udin

g (w

here

rele

vant

) co

mpl

ianc

e w

ith ru

les o

r reg

ulat

ions

of

regu

lato

ry b

odie

s

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

th

e pr

otec

tion

avai

labl

e to

per

sona

l re

pres

enta

tives

and

tr

uste

es a

gain

st c

laim

s

• Th

e la

w in

rela

tion

to d

utie

s, p

ower

s, a

nd

liabi

litie

s of p

erso

nal r

epre

sent

ativ

es a

nd

trus

tees

and

whe

n re

lief m

ay b

e gr

ante

d fr

om th

is lia

bilit

y, fo

r exa

mpl

e by

cou

rt

orde

r, ad

vert

ising

for c

redi

tors

and

cl

aim

ants

, ind

emni

ty fr

om b

enef

icia

ries,

re

lievi

ng p

rovi

sion

in th

e w

ill o

r by

insu

ranc

e •

Part

icul

ar si

tuat

ions

faci

ng p

erso

nal

repr

esen

tativ

es o

r tru

stee

s whe

re th

ey m

ay

seek

pro

tect

ion

incl

udin

g (b

ut n

ot

rest

ricte

d to

): iss

ues o

ver t

he c

onst

ruct

ion

and

inte

rpre

tatio

n of

the

will

; iss

ues o

ver

bene

ficia

l ent

itlem

ents

; cla

ims b

y un

know

n be

nefic

iarie

s or c

redi

tors

and

miss

ing

bene

ficia

ries o

r cre

dito

rs; c

laim

s und

er th

e fa

mily

pro

visio

n le

gisla

tion

or fo

r re

ctifi

catio

n of

a w

ill; c

laim

s fro

m H

MRC

for

unpa

id ta

x su

ch a

s IHT

on

lifet

ime

gift

s;

clai

ms f

rom

oth

er c

redi

tors

incl

udin

g


34

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

Depa

rtm

ent f

or W

ork

and

Pens

ions

cl

aim

ing

reim

burs

emen

t of o

verp

aid

bene

fits

De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

app

licat

ion

of

the

colle

ctio

n an

d re

alis

atio

n of

ass

ets

and

the

paym

ent o

f de

bts a

nd te

stam

enta

ry e

xpen

ses

• Re

gist

ratio

n of

gra

nt o

f rep

rese

ntat

ion

with

as

set h

olde

rs; p

riorit

ising

the

colle

ctio

n of

su

ms d

ue to

the

esta

te a

nd th

e pa

ymen

t of

liabi

litie

s; p

ract

ical

con

stra

ints

on

real

isatio

n or

disp

osal

of e

stat

e as

sets

•

Iden

tifyi

ng se

cure

d cr

edito

rs a

nd w

heth

er

an e

stat

e is

solv

ent o

r ins

olve

nt; p

riorit

ising

pa

ymen

t of d

ebts

from

ava

ilabl

e as

sets

ac

cord

ing

to th

e te

rms o

f the

will

or a

s re

quire

d by

stat

ute

• Ad

visin

g pe

rson

al re

pres

enta

tives

as t

o th

e ab

ove

De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

app

licat

ion

of

the

post

-dea

th c

hang

es a

ffect

ing

dist

ribut

ion

of th

e es

tate

• Di

scla

imer

s and

var

iatio

ns o

f int

eres

ts

arisi

ng u

nder

a w

ill, i

ntes

tacy

or p

assin

g by

su

rviv

orsh

ip; I

dent

ifyin

g th

e ne

cess

ary

requ

irem

ents

acc

ordi

ng to

the

desir

ed

succ

essio

n an

d ta

x co

nseq

uenc

es

• Cl

aim

s for

fam

ily p

rovi

sion

mad

e un

der t

he

Inhe

ritan

ce (P

rovi

sion

for F

amily

and

De

pend

ants

) Act

197

5 or

rect

ifica

tion


35

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

unde

r Adm

inist

ratio

n of

Just

ice

Act 1

982,

ei

ther

sett

led

by n

egot

iatio

n or

as a

resu

lt of

cou

rt o

rder

and

any

tax

cons

eque

nces

•

Iden

tifyi

ng th

e be

nefit

s of n

egot

iatio

n w

here

this

may

be

rele

vant

such

as (

but n

ot

rest

ricte

d to

) disp

uted

inhe

ritan

ces o

r fa

mily

pro

visio

n cl

aim

s and

adv

ising

ac

cord

ingl

y

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

th

e ta

x lia

bilit

y of

pe

rson

al

repr

esen

tativ

es

durin

g ad

min

istr

atio

n

• Id

entif

ying

dec

ease

d’s i

ncom

e ar

ising

be

fore

dea

th a

nd in

com

e of

the

adm

inist

ratio

n pe

riod;

liab

ility

to in

com

e ta

x of

per

sona

l rep

rese

ntat

ives

and

po

sitio

n of

ben

efic

iarie

s •

Iden

tifyi

ng d

ecea

sed’

s cap

ital g

ains

mad

e in

lif

etim

e an

d di

spos

als m

ade

by p

erso

nal

repr

esen

tativ

es in

the

cour

se o

f est

ate

adm

inist

ratio

n; tr

ansf

ers b

y pe

rson

al

repr

esen

tativ

es to

“le

gate

es”;

liab

ility

to

CGT

of p

erso

nal r

epre

sent

ativ

es a

nd

posit

ion

of b

enef

icia

ries

• Fi

nalis

ing

and

disc

harg

ing

liabi

lity

for

inco

me

tax

and

CGT

of th

e de

ceas

ed a

nd

for t

he a

dmin

istra

tion

perio

d


36

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

• Fi

nalis

ing

and

disc

harg

ing

IHT

liabi

lity

of

dece

ased

and

the

esta

te, i

nclu

ding

but

not

lim

ited

to: n

egot

iatin

g w

ith H

MRC

ove

r pr

obat

e va

luat

ions

; cla

imin

g IH

T lo

ss re

lief

if la

nd/q

ualif

ying

inve

stm

ents

sold

at a

loss

w

ithin

per

miss

ible

per

iod

afte

r dea

th;

subm

ittin

g co

rrec

tive

acco

unts

(add

ition

al

asse

ts/li

abili

ties o

r los

s rel

ief c

laim

); ap

plyi

ng fo

r cer

tific

ates

of d

ischa

rge;

re

cove

ry o

f IHT

for t

he b

enef

it of

the

resid

uary

est

ate

from

thos

e w

ho b

ear i

ts

burd

en

De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

app

licat

ion

of

the

paym

ent

of

lega

cies

an

d as

cert

ainm

ent

and

dist

ribut

ion

of re

sidu

e

• Id

entif

ying

spec

ific

gift

s, g

ener

al a

nd

pecu

niar

y le

gaci

es a

nd te

rms o

f en

title

men

t; ap

plic

atio

n of

rule

s on:

ad

empt

ion

and

abat

emen

t; gi

ving

effe

ct to

th

e gi

ft o

r leg

acy

by a

ppro

pria

tion;

re

ceip

ts; p

ositi

on w

here

ben

efic

iary

is a

m

inor

; tim

e an

d m

anne

r of p

aym

ent;

entit

lem

ent t

o in

tere

st a

nd in

com

e •

Payi

ng a

dmin

istra

tion

expe

nses

: re

ason

able

fune

ral e

xpen

ses;

lega

l cos

ts

and

rem

uner

atio

n un

der a

cha

rgin

g cl

ause

; fe

es o

f oth

er p

rofe

ssio

nals;

pay

men

t of

lega

cies


37

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

• As

cert

aini

ng re

sidue

for d

istrib

utio

n an

d pr

epar

atio

n of

est

ate

acco

unts

for

resid

uary

ben

efic

iarie

s or r

esid

uary

tr

uste

es

• Tr

ansf

er a

nd a

ssen

t of a

sset

s by

pers

onal

re

pres

enta

tives

to b

enef

icia

ries o

r ves

ting

in tr

uste

es a

ppro

pria

te to

term

s of t

he w

ill

or in

test

acy

and

the

natu

re o

f the

ass

et;

rece

ipt a

nd d

ischa

rge

of p

erso

nal

repr

esen

tativ

es b

y be

nefic

iarie

s or t

rust

ees

EN

TRY

EXPE

RIEN

CE

ALL

APPL

ICAN

TS

• Pr

obat

e pr

actic

e ex

perie

nce

in th

e 2

year

s pre

cedi

ng th

e ap

plic

atio

n

•

Gene

ral d

escr

iptio

n of

pro

bate

wor

k ca

rrie

d ou

t •

Desc

riptio

n of

typi

cal c

ase

load

•

An in

dica

tion

of c

harg

eabl

e ho

urs s

pent

on

prob

ate

wor

k in

eac

h of

the

last

2 y

ears

•

The

prop

ortio

n of

tim

e sp

ent o

n pr

obat

e w

ork

• De

tails

of t

he su

perv

isory

arr

ange

men

ts

unde

r whi

ch th

e ap

plic

ant w

orks

and

/or

thei

r sup

ervi

sory

resp

onsib

ilitie

s

The

appl

ican

t is

requ

ired

to d

emon

stra

te

thei

r ex

perie

nce

of

Prob

ate

Prac

tice

thro

ugh

the

subm

issio

n of

3 p

ortf

olio

s in


38

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

acco

rdan

ce w

ith th

e Po

rtfo

lio G

uide

lines

. Ex

ampl

es w

ill b

e dr

awn

from

a r

ange

of

case

s fro

m th

e ap

plic

ant’s

cas

e lo

ad.

ST

AGE

2 Q

UAL

IFIC

ATIO

N C

RITE

RIA:

SK

ILLS

In o

rder

to

obta

in a

ccre

dita

tion

the

appl

ican

t ne

eds t

o de

mon

stra

te th

e ou

tcom

es b

y ei

ther

:

• at

tend

ance

on

a co

urse

, or

• th

roug

h w

ork

expe

rienc

e an

d by

sa

tisfy

ing

the

qual

ifica

tion

crite

ria.

•

Clie

nt C

are

and

Lega

l Res

earc

h Ei

ther

•

succ

essf

ul c

ompl

etio

n of

CIL

EX L

evel

6

Prof

essio

nal H

ighe

r Dip

lom

as in

the

skill

s of

Lega

l Res

earc

h an

d Cl

ient

Car

e

Or

• qu

alifi

catio

n an

d/or

exp

erie

nce

of a

n eq

uiva

lent

stan

dard

Expe

rienc

e w

hich

dem

onst

rate

s how

they

m

eet e

ach

of th

e ou

tcom

es in

Ele

men

ts 1

an

d 2

set o

ut b

elow

. Ex

ampl

es w

ill b

e dr

awn

from

a ra

nge

of


39

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

case

s fro

m th

e ap

plic

ant’s

cas

e lo

ad.

Guid

ance

on

this

can

be fo

und

in th

e Po

rtfo

lio G

uide

lines

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

Skill

s Ele

men

t 1

CLIE

NT

CARE

Dem

onst

rate

goo

d pr

actic

e in

inte

rvie

win

g an

d ad

visi

ng

•

Und

erst

andi

ng o

f suc

cess

ful c

lient

in

terv

iew

ing

•

Iden

tify

inte

rvie

ws w

hich

the

appl

ican

t co

nsid

ers t

o be

succ

essf

ul a

nd id

entif

y w

hat m

ade

them

succ

essf

ul. T

his m

ay b

e ev

iden

ced

by d

emon

stra

ting

abili

ty to

: •

Prep

are

for t

he in

terv

iew

and

app

ly a

st

ruct

ured

app

roac

h to

it

• Gr

eet t

he in

terv

iew

ee a

ppro

pria

tely

and

m

aint

ain

the

inte

rvie

wee

’s c

onfid

ence

•

Use

app

ropr

iate

list

enin

g, q

uest

ioni

ng

and

feed

back

tech

niqu

es

• Be

sens

itive

to d

iver

sity

and

othe

r re

leva

nt is

sues

and

han

dle

any

emot

iona

lly d

istre

ssed

clie

nt in

a

sens

itive

and

pro

fess

iona

l man

ner

• Gi

ve a

ppro

pria

te a

dvic

e w

hen

requ

ired

(incl

udin

g th

e ne

ed to

take

furt

her


40

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

inst

ruct

ions

or u

nder

take

rese

arch

be

fore

doi

ng so

) •

Keep

a fu

ll an

d ac

cura

te re

cord

of t

he

inte

rvie

w

• Cl

ose

the

inte

rvie

w a

ppro

pria

tely

and

de

al w

ith a

ny fo

llow

-up

issue

s as

requ

ired.

•

Dem

onst

rate

the

abili

ty to

giv

e an

d co

mm

unic

ate

clea

r, ac

cura

te a

nd p

ract

ical

ad

vice

bot

h or

ally

and

in w

ritin

g on

m

atte

rs re

latin

g to

pro

bate

act

iviti

es. T

his

may

be

evid

ence

d by

abi

lity

to:

• O

btai

n al

l rel

evan

t inf

orm

atio

n an

d id

entif

y th

e cl

ient

’s o

bjec

tives

•

Give

cle

ar a

dvic

e on

all

rele

vant

mat

ters

ar

ising

•

Whe

re n

eces

sary

, ref

er th

e cl

ient

to

othe

r pro

fess

iona

ls be

tter

abl

e to

dea

l w

ith th

e iss

ues

• Id

entif

y th

e op

tions

ava

ilabl

e an

d ex

plai

n th

e ad

vant

ages

and

di

sadv

anta

ges o

f eac

h of

thos

e op

tions

•

Enab

le a

nd a

ssist

the

clie

nt to

reac

h a

deci

sion

base

d on

app

ropr

iate

adv

ice

• Gi

ve c

lear

, app

ropr

iate

and

acc

urat

e ad

vice

rega

rdin

g co

sts,

disb

urse

men

ts

and

fund

ing


41

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

• Se

ek a

ppro

pria

te in

stru

ctio

ns a

nd g

ive

clea

r adv

ice

rega

rdin

g th

e ne

xt st

eps t

o be

take

n in

the

mat

ter

• De

al a

ppro

pria

tely

with

any

div

ersit

y or

ot

her i

ssue

s tha

t mig

ht a

rise

• Ke

ep a

n ac

cura

te re

cord

of t

he a

dvic

e gi

ve a

nd th

e in

form

atio

n on

whi

ch th

at

advi

ce w

as b

ased

.

Dem

onst

rate

goo

d pr

actic

e in

lega

l writ

ing

Prov

ide

evid

ence

of

le

gal

writ

ing

whi

ch

dem

onst

rate

s un

ders

tand

ing

of t

he f

ollo

win

g ke

y ar

eas o

f goo

d pr

actic

e:

• Ac

cura

te, s

ucci

nct,

com

plet

e an

d pr

ecise

w

ritin

g •

Awar

enes

s of t

he n

eed

to u

se ‘p

lain

En

glish

’ and

writ

ing

usin

g co

rrec

t gra

mm

ar

and

spel

ling

• Th

e us

e of

lega

l Eng

lish

is us

ed o

nly

whe

n ne

cess

ary

and

is ap

prop

riate

ly e

xpla

ined

•

Judi

ciou

s use

of s

truc

ture

to c

lear

ly a

nd

logi

cally

set o

ut in

form

atio

n •

Prov

ide

evid

ence

to d

emon

stra

te th

e sy

nthe

sis o

f a v

arie

ty o

f sou

rces

to p

rovi

de

advi

ce to

the

clie

nt

• Pr

ovid

e ev

iden

ce o

f use

of a

ppro

pria

te

com

mun

icat

ion,

incl

udin

g us

e of

ap

prop

riate

tone

and

styl

e, to

sens

itive

ly

man

age

clie

nt e

xpec

tatio

ns.


42

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

Dem

onst

rate

kn

owle

dge

and

unde

rsta

ndin

g of

pr

ofes

sion

al c

ondu

ct is

sues

aris

ing

in p

ract

ice

• Ex

plai

n w

here

the

appl

ican

t will

find

the

rule

s of p

rofe

ssio

nal c

ondu

ct w

hich

affe

ct

thei

r pra

ctic

e of

the

law

•

Iden

tify

situa

tions

in w

hich

an

ethi

cal i

ssue

m

ay h

ave

arise

n in

the

appl

ican

t’s p

ract

ice

and

how

they

dea

lt w

ith th

ose

situa

tions

•

Iden

tify

any

prof

essio

nal o

rgan

isatio

ns th

at

exist

with

in th

e ap

plic

ant’s

are

a of

pra

ctic

e an

d ex

plai

n be

nefit

s of m

embe

rshi

p

Dem

onst

rate

kn

owle

dge

and

unde

rsta

ndin

g of

th

e im

port

ance

of c

lient

car

e in

lega

l pra

ctic

e •

Expl

ain

the

cond

uct r

ules

rela

ting

to c

lient

ca

re a

nd e

vide

nce

use

of th

e ru

les i

n pr

actic

e •

Evid

ence

use

of c

lient

car

e le

tter

s and

co

mpl

aint

man

agem

ent h

andl

ing

• De

mon

stra

te u

nder

stan

ding

of t

he n

eed

for

good

clie

nt c

are

to b

enef

it th

e bu

sines

s

Skill

s Ele

men

t 2

LEGA

L RE

SEAR

CH

Dem

onst

rate

kno

wle

dge

and

unde

rsta

ndin

g of

and

be

able

to

: 1

anal

yse

the

scop

e an

d co

mpl

exity

of

situ

atio

ns

whi

ch n

eed

lega

l res

earc

h 2

ev

alua

te le

gal r

esea

rch

sour

ces

•

Iden

tify

situa

tions

in w

hich

the

need

for

lega

l res

earc

h ha

s aris

en in

the

appl

ican

t’s

wor

k •

Expl

ain

the

step

s the

app

lican

t und

erto

ok

to id

entif

y re

leva

nt so

urce

s of i

nfor

mat

ion


43

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

3

perf

orm

app

ropr

iate

lega

l res

earc

h 4

an

alys

e th

e la

w in

rela

tion

to p

ract

ical

pro

blem

s 5

reco

rd a

nd e

valu

ate

info

rmat

ion

6 sy

nthe

sise

rese

arch

to p

rese

nt a

dvic

e.

and

how

they

det

erm

ined

the

relia

bilit

y,

accu

racy

and

cur

renc

y of

the

info

rmat

ion

disc

over

ed

• Ex

plai

n th

eir u

nder

stan

ding

of p

rimar

y an

d se

cond

ary

sour

ces a

nd h

ow th

ese

sour

ces

can

be u

sed

to e

nsur

e th

ey h

ave

suffi

cien

tly re

sear

ched

the

prob

lem

•

Iden

tify

rele

vant

stat

utes

, cas

e la

w a

nd

othe

r sou

rces

from

thei

r res

earc

h •

Expl

ain

how

the

appl

ican

t prio

ritise

d an

d an

alys

ed th

e re

sear

ch a

nd u

sed

this

to

bett

er u

nder

stan

d th

e iss

ues r

aise

d in

the

lega

l mat

ter

• De

mon

stra

te th

e ap

plic

ant’s

synt

hesis

of

the

rese

arch

mat

eria

ls to

pro

vide

a

stru

ctur

ed a

nd a

ccur

ate

repo

rt

• Sh

ow h

ow th

e ap

plic

ant e

valu

ated

the

rese

arch

ens

urin

g th

at it

is c

ompr

ehen

sive

and

sens

itive

to th

e ne

eds o

f the

reci

pien

t

Skill

s Ele

men

t 3

DRAF

TIN

G

Prob

ate

Pape

rs

•

Draf

t and

com

plet

e pr

obat

e pa

pers

; tha

t is p

aper

s w

hich

are

to fo

und

or o

ppos

e a

gran

t of

repr

esen

tatio

n

Prep

arin

g an

d am

endi

ng

as

requ

ired

docu

men

ts t

o fo

und

or o

ppos

e a

gran

t of

pr

obat

e or

gra

nt o

f let

ters

of a

dmin

istra

tion

to

incl

ude

(but

not

rest

ricte

d to

):

• Th

e oa

th

• HM

RC a

ccou

nts a

nd su

ppor

ting

sche

dule

s


44

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

• Su

ppor

ting

evid

ence

as r

equi

red

(affi

davi

ts

or st

atem

ents

) •

Renu

ncia

tions

•

Appl

icat

ions

for c

avea

ts, c

itatio

ns a

nd

stan

ding

sear

ches

•

Oth

er a

pplic

atio

ns p

ursu

ant t

o th

e no

n-co

nten

tious

pro

bate

rule

s •

Cove

ring

lett

ers i

n su

ppor

t.

Will

s

• Dr

aft a

nd c

ompl

ete

will

s and

anc

illar

y do

cum

ents

Prep

arin

g an

d am

endi

ng

as

requ

ired

docu

men

ts r

elat

ing

to t

he p

repa

ratio

n of

will

s to

incl

ude

(but

not

rest

ricte

d to

):

• W

ills a

nd c

odic

ils

• Le

tter

s of w

ishes

•

Cove

ring

lett

ers t

o cl

ient

s •

Inst

ruct

ions

for e

xecu

tion

of a

will

or c

odic

il •

Lett

ers t

o ot

hers

anc

illar

y to

will

pr

epar

atio

n su

ch a

s med

ical

pra

ctiti

oner

s,

acco

unta

nts a

nd o

ther

pro

fess

iona

ls.

Ad

min

istr

atio

n of

Est

ates

• Dr

aft a

nd c

ompl

ete

docu

men

ts re

quire

d in

the

adm

inist

ratio

n of

an

esta

te

Prep

arin

g an

d am

endi

ng a

s re

quire

d (in

clud

ing

but n

ot re

stric

ted

to):


45

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

• St

atut

ory

notic

es

• Le

tter

s to

asse

t hol

ders

and

doc

umen

ts

nece

ssar

y to

real

ise a

sset

s •

Tax

retu

rns a

nd in

form

atio

n fo

r be

nefic

iarie

s •

Asse

nts,

tran

sfer

s and

oth

er d

ocum

ents

to

tran

sfer

title

•

Post

-dea

th d

iscla

imer

s and

var

iatio

ns

• Es

tate

and

(whe

re re

leva

nt) t

rust

acc

ount

s •

Lett

ers t

o pe

rson

al re

pres

enta

tives

and

tr

uste

es, b

enef

icia

ries,

cre

dito

rs a

nd

othe

rs.

Sk

ills E

lem

ent 4

M

ANAG

ING

PRO

BATE

AC

TIVI

TIES

• De

mon

stra

te a

n ab

ility

to p

lan

and

man

age

prob

ate

activ

ities

effe

ctiv

ely

• Al

loca

te ti

me

and

reso

urce

s app

ropr

iate

ly

• Ad

opt a

nd m

aint

ain

an a

ppro

pria

te c

ase

stra

tegy

•

Be a

war

e of

pro

cedu

ral r

equi

rem

ents

and

tim

e lim

its in

clud

ing

rele

vant

dire

ctio

ns,

rule

s and

regu

latio

ns

• Ac

tivel

y m

anag

e ca

se fi

les t

o m

eet

expe

ctat

ions

of c

lient

s and

ben

efic

iarie

s w

hene

ver p

ossib

le in

clud

ing

the

timel

y pr

ovisi

on o

f int

erim

pay

men

ts if

requ

ired

• Pr

oper

ly c

ompl

y w

ith a

ll re

leva

nt

acco

untin

g re

quire

men

ts re

latin

g to

the

hand

ling

of fu

nds.


46

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

•

Dem

onst

rate

an

abili

ty to

ass

embl

e al

l mat

eria

ls re

leva

nt to

the

mat

ter i

n ha

nd, i

n ac

cord

ance

with

its

requ

irem

ents

• Id

entif

y re

leva

nt la

w a

nd p

roce

dura

l rul

es

• Id

entif

y an

d ef

ficie

ntly

loca

te a

nd c

olla

te a

ll re

leva

nt d

ocum

ents

•

Iden

tify

the

need

to u

pdat

e in

form

atio

n as

re

quire

d by

the

rele

vant

law

and

pro

cedu

re

• Co

mm

issio

n re

port

s, v

alua

tions

and

oth

er

info

rmat

ion

from

exp

erts

such

as a

gent

s an

d va

luer

s •

Reco

gnise

the

need

to a

ct w

ithou

t und

ue

dela

y in

the

prep

arat

ion

of d

ocum

ents

in

clud

ing

(but

not

rest

ricte

d to

) will

s

• De

mon

stra

te a

n ab

ility

to in

stru

ct o

ther

pro

fess

iona

ls •

Appr

ecia

te th

e na

ture

and

func

tion

of

diffe

rent

type

s of e

xper

ts a

nd a

gent

s re

leva

nt to

pro

bate

act

iviti

es

• Id

entif

y w

hen

it is

appr

opria

te to

inst

ruct

an

exp

ert o

r age

nt in

clud

ing

whe

n a

spec

ialis

t leg

al o

pini

on is

requ

ired

• Be

fam

iliar

with

the

avai

labl

e re

gist

ers,

da

taba

ses a

nd o

rgan

isatio

ns th

roug

h w

hich

an

app

ropr

iate

exp

ert o

r age

nt m

ay b

e id

entif

ied

and

loca

ted

• U

nder

stan

d an

y re

leva

nt st

atut

ory

requ

irem

ents

to e

nsur

e th

at a

n ex

pert

or

agen

t is i

nstr

ucte

d pr

oper

ly a

nd is

suita

bly

qual

ified

and

exp

erie

nced


47

Le

arni

ng O

utco

mes

Supp

ortin

g Ex

perie

nce

• Id

entif

y w

hen

it is

appr

opria

te to

del

egat

e w

ork

and

any

rele

vant

law

or p

roce

dure

w

hich

may

lim

it th

e rig

ht o

r pow

er to

de

lega

te

• Ag

ree

an a

ppro

pria

te fe

e fo

r wor

k to

be

carr

ied

out b

y an

exp

ert o

r age

nt

• Dr

aft i

nstr

uctio

ns to

an

expe

rt o

r age

nt

• De

al w

ith a

ny e

xper

t or a

gent

in a

pr

ofes

siona

l man

ner


49

RESERVED INSTRUMENT CERTIFICATION RULES APPENDIX 2

APPENDIX 2

RESERVED INSTRUMENT CERTIFICATION RULES

50


RESERVED INSTRUMENT ACTIVITY CERTIFICATION RULES

DEFINITIONS 1. In these Rules, except where otherwise indicated:

• “Conveyancing Certificate” means: a Conveyancing Practice Rights Certificate identified in these Rules.

• Conveyancing Practitioner” means a person who has been granted a right to

undertake reserved instrument activities, under the terms of the Act;

• “Certification Rules” means the reserved instrument activity certification rules; • “External Advisor” means a person appointed by IPS to carry out the role and

function identified for them in these Rules; • “Applicant in good standing” means a person in respect of whose conduct there

is no complaint outstanding, and against whom there is no disciplinary record which, in the view of IPS, affects their suitability to be a Conveyancing Practitioner;

• “CILEx” means the Chartered Institute of Legal Executives; • “Investigation, Disciplinary and Appeals Rules” means the Rules of IPS which are

in place from time to time and which govern the complaints handling and disciplinary procedures of IPS;

• “IPS” means ILEX Professional Standards Ltd; • “The Act” means the Legal Services Act 2007; and • “The Officer” means a person with responsibility for the Conveyancing Practice

Rights Scheme. Words importing the male gender include the female gender and vice versa; and words importing the singular include the plural and vice versa.

2. Responsibility for this qualification scheme is delegated by CILEx to IPS. CONVEYANCING PRACTICE CERTIFICATE 3. An applicant in good standing may apply to IPS to be granted a Conveyancing

Practice Rights Certificate (Conveyancing Certificate). The Conveyancing Certificate will authorise a person to exercised reserved instrument rights.

51


4. The reserved instrument rights exercisable by a person holding a Conveyancing Certificate are to: a) Prepare any instrument of transfer or charge for the purposes of the Land

Registration Act 2002; b) Make an application or lodge a document for registration under that Act; c) Prepare any other instrument relating to real or personal estate for the purposes

of the law of England and Wales or instrument relating to Court proceedings in England and Wales.

Instrument includes a contract for the sale or other disposition of land (except a

contract to grant a short lease), but does not include a) A will or other testamentary instrument, b) An agreement not intended to be executed as a Deed, other than a contract

that is included by virtue of the preceding provisions of this sub paragraph, c) A letter or Power of Attorney, or d) A transfer of stock containing no trust or limitation of the transfer. “A short lease” means a lease referred to in Section 54(2) of the Law of Property Act 1925.

QUALIFICATION ARRANGEMENTS 5. Applicants who seek a Conveyancing Certificate must demonstrate that they meet

the knowledge, skills and experience criteria in accordance with the knowledge, skills and experience guidelines which appear at Annex 1 and the portfolio guidelines which appear at Annex 2 and the competency framework at Annex 3.

6. An application must be made on such form as may be prescribed for the purpose by IPS and shall be accompanied by such fees as may be fixed by IPS from time to time.

7. IPS will consider the application to ensure it meets the criteria set out in the knowledge, skills and experience guidelines which appear at Annex 1 and the portfolio guidelines and assessment criteria which appear at Annex 2.

8. The portfolios which form part of the application will be sent to an external advisor for assessment. The external advisor will assess whether the portfolios meet the knowledge and experience guidelines and the portfolio guidelines and assessment criteria at Annexes 1 and 2.

9. Where the external advisor finds that the portfolios are satisfactory and meet the knowledge and experience guidelines and the portfolio guidelines and assessment criteria at Annexes 1 and 2, the IPS Officer will consider the application. The Officer will consider whether the applicant may be granted a Conveyancing Certificate. In reaching their decision, the Officer will consider all the information provided by the applicant and may call for further information from any person or source it considers

52


appropriate. Where the Officer has any doubt as to the suitability of the applicant they may request additional information from the applicant and/or refer the application to the Admissions and Licensing Committee for decision.

10. Where the external advisor decides that the portfolios do not meet the knowledge and experience guidelines and the portfolio guidelines and assessment criteria at Annexes 1 and 2 they will give reasons for their decision. The Officer will inform the applicant of the decision. The applicant may withdraw their application, amend and re-submit their application or make further representation and ask that the full application to be referred to the Admissions and Licensing Committee to consider.

11. The Admissions and Licensing Committee will decide whether or not an application should be approved. In reaching its decision, the Committee will consider all the information provided by the applicant, and may call the applicant for interview or call for further information from any person or source it considers appropriate.

12. The committee may: • Approve the application; • Decide that the applicant does not meet the criteria and indicate which of the

criteria the applicant does not meet.

13. In making any assessment or decision required by these Rules, the Admissions and Licensing Committee shall have regard to the knowledge and experience guidelines and the portfolio guidelines and assessment criteria at Annexes 1 and 2.

14. The Officer will notify an applicant of their decision or the decision of the Admissions and Licensing Committee.

15. Where the application has been approved, the notification shall include the Conveyancing Certificate.

16. Where the application is unsuccessful, the notification shall set out the Committee’s reasons and any pre-conditions to the consideration of any subsequent application. Where an application is unsuccessful, the applicant may apply for reconsideration in accordance with the Admissions and Licensing Committee Rules.

PRACTICE MANAGEMENT AND ACCOUNTS 17. A Conveyancing Practitioner who seeks to practise in an entity seeking regulation by

IPS must demonstrate that they meet the knowledge, skills and experience in accounts and practice management in accordance with the knowledge, skills and experience guidelines and portfolio guidelines and the competency frameworks which appear at Annexes 4 and 5. They will not be authorised to be an Approved Manager in an entity until these requirements are met.

18. Where an applicant relies upon existing experience they must complete a log in accordance the portfolio guidelines. An applicant who relies upon a qualification as

53


evidence of meeting the competency framework must provide details of that qualification and assessment. IPS will consider whether the experience or qualification relied upon demonstrates that the applicant meets the requirements of the competency framework.

19. An applicant who does not meet the knowledge, skills and experience requirements for practice management and or accounts must complete qualification courses and assessment in those areas which meet the competency frameworks at Annexes 4 and 5.

ADMISSIONS AND LICENSING COMMITTEE 20. The Admissions and Licensing Committee established under the Admissions and

Licensing Committee Rules shall be responsible for the Reserved Instrument Rights Qualification Scheme.

EXTERNAL ADVISORS 21. IPS shall appoint external advisors to advise IPS and the Admissions and Licensing

Committee on issues relating to conveyancing practice rights. CONVEYANCING PRACTITIONER 22. An applicant who has been awarded a Conveyancing Certificate will be known as a

Conveyancing Practitioner. CONTINUING PROFESSIONAL DEVELOPMENT (CPD) 23. Conveyancing Practitioners will be required to undertake Continuing Professional

Development (CPD) in accordance with the CPD Regulations issued by IPS from time to time applicable to Chartered Legal Executives.

24. Where a Conveyancing Practitioner has failed to undertake CPD which meets the CPD Regulations or fails to provide a record of such CPD, the Officer will refer the matter to the Admissions and Licensing Committee. The Admissions and Licensing Committee will consider whether the Conveyancing Practitioner should retain their Conveyancing Certificate.

25. The Conveyancing Practitioner will have the opportunity to make written representations to the Committee and a right to be heard by the Committee.

54


26. The Committee may decide to: • Grant an extension of up to 3 months for the Conveyancing Practitioner to meet

their outstanding CPD requirement. The Conveyancing Practitioner will still be required to meet their current CPD requirements in the normal way; or

• Withdraw the Conveyancing Practice Certificate.

27. Where a Conveyancing Practitioner’s Certificate has been withdrawn for 12 months or more, on the basis that they have not met their CPD requirements, they will be required to make a fresh application for a Conveyancing Certificate in accordance with the Rules.

DISCIPLINARY PROCEDURES AND CODE OF CONDUCT 28. Conveyancing Practitioners will be required to abide by the Code of Conduct of CILEx

for the time being enforced. They will also be bound by the associated regulatory arrangements in force from time to time.

29. Where a complaint is made, or an issue is brought to the attention of IPS, regarding the conduct of a Conveyancing Practitioner, that matter will be dealt with in accordance with IPS’ Investigation, Disciplinary and Appeal Rules. Where a finding, order or decision is made against a Conveyancing Practitioner, that finding, order or decision will be referred to the Admissions and Licensing Committee. The Admissions and Licensing Committee will decide whether the Conveyancing Practitioner remains a fit and proper person to hold a Conveyancing Certificate. The Admissions and Licensing Committee must give reasons for its decision.

30. Rule 29 shall not apply where an order is made excluding a Conveyancing Practitioner from registration of IPS or membership of CILEx. In such a case the Conveyancing Practitioner’s Certificate shall be invalid from the date the exclusion from membership or registration takes effect.

31. Where the Admissions and Licensing Committee decides that the Conveyancing Practitioner is no longer a fit and proper person to hold a Conveyancing Practice Certificate or their certificate is invalid in accordance with Rule 30, they must return their Certificate to IPS within 28 days of being notified of the decision. Failure to do so will constitute a disciplinary offence. The Conveyancing Practitioner may not exercise any Conveyancing Practice rights granted to them under their certificate after they have been notified of the decision.

32. Notwithstanding the Admissions and Licensing Committee Rules an appeal against the decision of the Admissions and Licensing Committee that a Conveyancing Practitioner is no longer a fit and proper person to hold a Conveyancing Certificate will be considered by a professional member and 2 lay members drawn from the panel of lay and professional members appointed to serve on IPS’s appeals body.

Reserved instrument certification

55


Annex 1 - KNOWLEDGE, SKILLS AND EXPERIENCE GUIDELINES

1. An applicant who seeks conveyancing reserved instrument practice rights must satisfy the guidelines below.

2. An applicant seeking conveyancing rights must provide the following information in an application devised by IPS: • A general outline of the conveyancing practice work they have carried out and

the total experience they have gained of conveyancing practice; • Details of their typical caseload; • The number of chargeable hours they spent on conveyancing work; • The proportion or number of cases which they have handled; • Details of any distinctive features of their work; and • Details of any supervisory arrangements under which they work and their own

supervisory responsibilities.

3. Applicants must demonstrate that they have the appropriate level of knowledge, experience and skills in conveyancing practice and land law to be awarded a Conveyancing Certificate in accordance with the criteria set out at Annex 3.

Competence Criteria

4. In deciding whether an applicant has adequate knowledge, skills and experience, IPS

will have regard to the competency framework set out at Annex 3.

5. Applicants will be required to demonstrate their knowledge, skills and experience in accordance with the portfolio guidelines and assessment criteria set out at Annex 2.

6. In their application, portfolios and logbooks, an applicant will be expected to demonstrate that they can: • Recognise and rank items and issues in terms of relevance and importance; • Integrate information and materials from a variety of different sources; • Undertake the analysis of information in a logical and coherent way; • Make critical judgements on the merits of particular courses of action; and • Present and make a reasoned choice between alternative solutions. • Act independently in planning, preparing and undertaking tasks in

conveyancing activities; • Undertake independent research in conveyancing practice using standard

legal information sources; and • Reflect on their learning and make constructive use of feedback.

Evaluating Experience 7. An applicant will be expected to have a range of experience across the area in which

they work. Applicants will be expected to have handled cases from the beginning to the end.

56


8. IPS will consider the quality and quantity of experience that an applicant has gained. In considering the quality of experience, IPS will look at various factors such as the complexity of transactions handled, the nature of the transactions handled and the types of issues that have arisen within them.

9. IPS will recognise that applicants could have had a break in their experience due to factors such as career breaks, job changes, maternity or paternity leave, long term illness, or disability. IPS will not discriminate directly or indirectly against an applicant whose experience has been affected in this way. However, IPS will need to ensure that an applicant has an acceptable level of experience.

10. Where an applicant has had a break in their experience, they may provide details of experience gained during a different period when they were more actively engaged in conveyancing practice. However, the break must not have been longer than 5 years. In exceptional circumstances, applications may be accepted from applicants who have had a break longer than 5 years.

11. There may be other factors which affect an applicant’s experience in the preceding 2 years. IPS will consider details of more active periods from applicants whose experience discloses a pattern that they regard as atypical.

Reserved instrument KSE

57


Annex 2 - PORTFOLIO GUIDELINES AND ASSESSMENT CRITERIA

Introduction 1. An applicant seeking reserved legal activity rights must provide evidence of their:

• Knowledge and understanding of the area of law in which they seek rights, demonstrated to CILEx Level 6 standard.

• Knowledge and understanding of the area of practice in which they seek rights, demonstrated to CILEx Level 6 standard.

• Evidence of their experience in the area of law in which they seek rights. • Skills in the legal practice area in which they seek rights.

2. Applicants must demonstrate their knowledge, skills and experience, set out at Rule 1 in accordance with the competency framework which appears at Appendix 3.

Knowledge of Law and Legal Practice 3. An applicant who has successfully completed and passed an assessment in the CILEx

Level 6 examinations in the law and associated legal practice subject relevant to the area in which they seek practice rights will have demonstrated their knowledge of the law and legal practice.

4. An applicant who has obtained a qualification which is not the CILEx Level 6 qualification, but of an equivalent standard, may rely upon that as evidence of their knowledge. In determining whether to accept an alternative qualification, IPS will assess the syllabus of that qualification, date upon which the qualification was obtained and details of the assessment the applicant undertook, to determine whether an exemption may be granted. In assessing the details of the qualification, IPS will determine whether the qualification relied upon is of an equivalent standard and covered at least 50% of the syllabus of the relevant CILEx Level 6 subject(s).

5. Where an applicant does not rely upon an alternative qualification, or the qualification is deemed as not providing sufficient coverage to the same standard as the CILEx Level 6 subject(s), they may rely upon experience which has developed their knowledge of the relevant law area and/or legal practice.

6. Applicants seeking to rely upon their experience must demonstrate how they have developed their knowledge of the relevant law and/or legal practice subject area(s) through their experience. Applicants will complete portfolios of 5 cases they have handled, within the 2 years preceding the date of their application, which demonstrate the knowledge they have gained through experience.

7. Applicants will be required to select a range of cases and provide an outline of the following in respect of each portfolio: • The facts of the case; • The law arising in the case and its application to the facts of the case; • The appropriate procedural and process matters that arose in the case and how

they were dealt with; • The evidential issues that arose in the case and how they were dealt with;

58


• An outline of any ethical or conduct issues that arose in the case and how they were dealt with;

• The funding issues that arose in the case and how they were dealt with; • The advice the applicant provided to the client and the outcome of the matter; • Decisions the applicant had to make in the case and whether they had to take

advice on any strategic issues in the case; and • Any training or development needs the applicant identified from having dealt

with the case.

8. IPS will assess the portfolios to establish whether they demonstrate that an applicant has acquired sufficient knowledge, through experience, to the same standard as the CILEx Level 6 in the subject. The knowledge gained must cover at least 50% of the syllabus of the CILEx Level 6 subject.

9. In making its assessment, IPS will take into account the competence criteria set out

at Annex 3 which outline the knowledge requirements for the relevant subject area. Experience 10. All applicants must provide an outline of their experience in the area of practice in

which they seek to become an authorised person for the purposes of conducting reserved legal activities.

11. Applicants must provide an outline of their experience in an application along with 3 portfolios of cases they have handled which demonstrate their experience.

12. The experience outlined in an application must set out the following information for the 2 years preceding the date of the application: • A description of cases that the applicant has handled; • A description of the applicant’s typical case load, including details about the

complexity of the case load and a summary of any difficult cases the applicant has handled;

• The number of chargeable hours spent on the practice area in which rights are sought;

• The proportion of time spent on that area of law; • A description of the range and nature of matters that the applicant has handled

in the area of practice in which rights are sought; • Details of any distinctive features of the applicant’s work; and • Details of any supervisory arrangements under which the applicant works and

any supervisory responsibilities they have.

13. An applicant will be required to produce a portfolio of 3 cases which demonstrate their experience in the area in which rights are sought.

14. In the portfolios, applicants must provide the following information: • The facts of the case; • The law arising in the case and its application to the facts of the case;

59


• The procedural and process matters that arose in the case and how they were dealt with;

• The evidential issues that arose in the case and how they were dealt with; • Any ethical or conduct issues that arose in the case and how they were dealt

with; • The funding issues that arose in the case and how they were dealt with; • The advice the applicant provided to the client and the outcome of the case; • Decisions that the applicant had to make in the case, including whether they had

to take advice on any strategic issues; and • Any training or development needs that the applicant identified from having

dealt with the case.

15. IPS will assess the outline of experience provided in the application, along with the 3 portfolios. The assessment will consider whether the applicant meets the experience requirements set out in the competency framework at Annex 3.

Skills 16. An applicant must provide evidence of their skills in the area in which they seek

reserved legal activity rights in accordance with the skills criteria for each practice and law area which appear at Annex 3.

17. An applicant may demonstrate their skills through either undertaking a skills course which meets the outcomes set out at Annex 3, or producing a log of their experience which demonstrates their skills.

18. Where an applicant seeks to rely upon a course, they must demonstrate that the course meets the outcomes set out at Annex 3.

19. An applicant who seeks to rely upon their experience as evidence of their skills must demonstrate that they meet each of the outcomes set out at Annex 3 through the production of a log book and supporting evidence. Applicants will be required to evidence in the log book the outcome that has been met and reflect upon how the outcome was met. Each outcome must be met at least once.

20. IPS will assess the log and supporting evidence provided by applicants to determine whether an applicant has demonstrated that they meet the skills criteria set out at Annex 3

Practice management and accounts 21. An applicant who relies upon their existing practical experience of practice

management and accounts must provide evidence of their knowledge, skills and experience of accounts and practice management in accordance with the competency criteria which appear at Annexes 4 and 5.

60


22. An applicant must demonstrate their knowledge, skills and experience through producing a log which demonstrates that they meet each of the outcomes set out at Annexes 4 and 5. The log must be supported by evidence. Applicants will be required to evidence in the log book the outcome that has been met and reflect upon how the outcome was met. Each outcome must be met at least once.

23. IPS will assess the log and supporting evidence provided by applicants to determine whether an applicant has demonstrated that they meet the competency requirements set out at Annexes 4 and 5.

61

Anne

x 3

- IN

TRO

DUCT

ION

– C

ON

VEYA

NCI

NG

PRAC

TICE

RIG

HTS

Th

e en

try

crite

ria, l

earn

ing

outc

omes

and

evi

denc

e of

com

pete

ncy

stat

ed in

this

sche

dule

set o

ut:

• th

e le

vel o

f com

pete

ncy,

kno

wle

dge

and

unde

rsta

ndin

g re

quire

d to

pra

ctise

in th

e ar

ea o

f res

iden

tial a

nd/o

r com

mer

cial

con

veya

ncin

g

• th

e el

emen

ts re

quire

d to

evi

denc

e th

at le

vel o

f com

pete

ncy,

kno

wle

dge

and

unde

rsta

ndin

g

• th

e le

vel o

f com

pete

ncy

requ

ired

in th

e re

leva

nt sk

ills f

or th

is ar

ea o

f pra

ctic

e –

clie

nt c

are,

rese

arch

, dra

ftin

g, le

tter

writ

ing,

ne

gotia

tion,

inte

rvie

win

g an

d ad

visin

g

• th

e el

emen

ts re

quire

d to

evi

denc

e th

e re

quire

d le

vel o

f com

pete

nce

for t

hese

rele

vant

skill

s

• a

stat

emen

t of t

he st

udy

and

wor

k-ba

sed

expe

rienc

e th

at d

emon

stra

tes t

hat a

n ap

plic

ant h

as a

ttai

ned

the

requ

ired

leve

l of

com

pete

nce,

kno

wle

dge

and

unde

rsta

ndin

g in

all

the

requ

ired

elem

ents

.

Cert

ifica

tion

of C

onve

yanc

ing

Prac

tice

Righ

ts w

ill e

nsur

e th

at th

e ap

plic

ant h

as:

• m

et th

e ap

plic

atio

n re

quire

men

ts

• an

app

ropr

iate

leve

l of e

xper

ienc

e in

the

field

of c

onve

yanc

ing

wor

k in

pra

ctic

e w

hich

mus

t inc

lude

not

less

than

2 y

ears

rele

vant

ex

perie

nce

imm

edia

tely

pre

cedi

ng th

e ap

plic

atio

n

• an

app

ropr

iate

leve

l of k

now

ledg

e an

d ap

prec

iatio

n of

the

key

lega

l fea

ture

s of a

Con

veya

ncin

g tr

ansa

ctio

n, in

clud

ing

the

abili

ty to

de

duce

and

inve

stig

ate

title

to re

gist

ered

and

unr

egist

ered

, fre

ehol

d an

d le

aseh

old

land

, act

for m

ortg

agee

s, e

xcha

nge

cont

ract

s,

com

plet

e a

tran

sact

ion

and

deal

with

pos

t com

plet

ion

form

aliti

es

• th

e ab

ility

, and

exp

erie

nce,

to re

sear

ch a

spec

ts o

f sta

tute

and

cas

e la

w, l

egal

pra

ctic

e, p

roce

dure

s and

doc

umen

tatio

n th

at is

cur

rent

• th

e ab

ility

, and

exp

erie

nce,

to in

terv

iew

clie

nts a

ppro

pria

tely

and

iden

tify

the

clie

nt’s

obj

ectiv

es a

nd d

iffer

ent m

eans

of a

chie

ving

thos

e ob

ject

ives

, the

opt

ions

ava

ilabl

e, to

geth

er w

ith th

e ab

ility

, and

exp

erie

nce,

to a

dvise

such

clie

nts a

nd b

e aw

are

of th

e fin

anci

al, f

iscal

an

d ot

her p

riorit

ies a

nd c

onst

rain

ts to

be

take

n in

to a

ccou

nt to

geth

er w

ith th

e co

sts,

ben

efits

and

risk

s inv

olve

d in

any

pro

cedu

re,

tran

sact

ion

or c

ours

e of

act

ion


62

• th

e ab

ility

, and

exp

erie

nce,

to p

erfo

rm th

e ta

sks r

equi

red

to a

dvan

ce p

roce

dure

s, tr

ansa

ctio

ns o

r mat

ters

, to

incl

ude

(but

not

rest

ricte

d by

), dr

aftin

g le

tter

s of a

dvic

e to

clie

nts,

dra

ftin

g an

d co

mpl

etin

g do

cum

ents

and

form

s, c

omm

unic

atin

g w

ith c

o-pr

ofes

siona

ls, l

ende

rs,

the

Land

Reg

istry

, loc

al a

utho

ritie

s, a

nd o

ther

bod

ies a

nd o

rgan

isatio

ns

• th

e ab

ility

, and

exp

erie

nce

to d

raft

and

am

end

all r

elev

ant d

ocum

enta

tion

incl

udin

g (b

ut n

ot re

stric

ted

to) c

ontr

acts

and

opt

ions

for t

he

sale

of l

and,

agr

eem

ents

for l

ease

, lea

ses,

tran

sfer

s, S

tam

p Du

ty L

and

Tax

form

s and

oth

er a

ncill

ary

docu

men

tatio

n ne

cess

ary

to

prog

ress

, com

plet

e an

d fin

alise

the

tran

sact

ion

• th

e ab

ility

, and

exp

erie

nce,

to a

dvise

and

con

duct

neg

otia

tion

in th

ose

field

s with

in th

is pr

actic

e ar

ea w

here

this

may

be

rele

vant

such

as

(but

not

rest

ricte

d to

) mat

ters

affe

ctin

g tit

le a

nd c

ontr

actu

al a

nd le

ase

prov

ision

s.

• de

mon

stra

te a

leve

l of e

xper

ienc

e, k

now

ledg

e an

d un

ders

tand

ing

of a

ll as

pect

s of p

rofe

ssio

nal c

ondu

ct a

nd re

gula

tion

whi

ch in

clud

es

an u

nder

stan

ding

of t

he k

ey e

thic

al re

quire

men

ts c

onta

ined

in th

e re

leva

nt c

ondu

ct ru

les a

nd o

ther

law

and

regu

latio

ns a

nd w

here

th

ese

may

impa

ct a

nd b

e ab

le to

app

ly th

em in

con

text

.


63

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

STAG

E 1

ENTR

Y CR

ITER

IA

• KN

OW

LEDG

E U

NDE

RSTA

NDI

NG

EX

PERI

ENCE

•

Has p

ract

ical

kno

wle

dge,

und

erst

andi

ng a

nd e

xper

ienc

e

KNO

WLE

DGE

AND

UN

DERS

TAN

DIN

G

Eith

er

•

succ

essf

ul c

ompl

etio

n of

CIL

EX L

evel

6

Prof

essio

nal H

ighe

r Dip

lom

as in

Lan

d La

w a

nd

Conv

eyan

cing

O

r

Has

supp

lied

evid

ence

of

qual

ifica

tion

of a

n eq

uiva

lent

st

anda

rd

Or

•

Whe

re th

e ap

plic

ant d

oes n

ot h

old

the

rele

vant

CI

LEx

Leve

l 6 L

and

Law

or C

onve

yanc

ing

exam

inat

ion

(or e

quiv

alen

t), t

hey

are

requ

ired

to

dem

onst

rate

thei

r kno

wle

dge

and

unde

rsta

ndin

g of

Lan

d La

w a

nd C

onve

yanc

ing

(and

Lan

dlor

d an

d Te

nant

whe

re a

ppro

pria

te) t

hrou

gh th

e su

bmiss

ion

of 5

por

tfol

ios

• Ex

ampl

es w

ill b

e dr

awn

from

a ra

nge

of c

ases

fr

om th

e ap

plic

ant’s

cas

e lo

ad. G

uida

nce

on th

is ca

n be

foun

d in

the

Port

folio

Gui

delin

es.


64

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

Elem

ent 1

LA

ND

LAW

Dem

onst

rate

kn

owle

dge,

un

ders

tand

ing

and

appl

icat

ion

of

the

diffe

renc

e be

twee

n re

al a

nd p

erso

nal p

rope

rty

•

The

dist

inct

ion

betw

een

real

and

per

sona

l pro

pert

y,

the

abili

ty to

iden

tify,

fixt

ures

and

fitt

ings

/con

tent

s, to

und

erst

and

whe

n pr

oper

ty d

oes a

nd d

oes n

ot p

ass

with

the

land

•

The

doct

rine

of re

lativ

ity o

f titl

e an

d th

e re

leva

nce

of

poss

essio

n •

The

diffe

rent

type

s of t

itle

in la

nd.

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

the

type

s of

le

gal a

nd e

quita

ble

inte

rest

s tha

t aris

e in

land

•

The

diffe

renc

e be

twee

n th

e re

gist

ered

and

un

regi

ster

ed la

nd re

gim

es, t

he c

ircum

stan

ces i

n w

hich

com

pulso

ry o

r vol

unta

ry re

gist

ratio

n of

un

regi

ster

ed la

nd a

rises

, the

syst

em o

f reg

istra

tion,

cu

rtai

n an

d in

dem

nity

prin

cipl

es

• Th

e di

ffere

nces

bet

wee

n th

e ty

pes o

f titl

e th

at c

an b

e he

ld in

land

(inc

ludi

ng fr

eeho

ld, l

ease

hold

and

co

mm

onho

ld)

• Th

e cl

asse

s of t

itle

that

can

be

held

in la

nd

• Th

e le

gal a

nd e

quita

ble

esta

tes a

nd in

tere

sts t

hat c

an

be h

eld

in la

nd a

nd th

e re

med

ies a

vaila

ble

reco

gnise

d by

law

and

equ

ity in

clud

ing

rele

vant

legi

slatio

n an

d ca

se la

w a

nd th

e re

lativ

e ad

vant

ages

and

di

sadv

anta

ges o

f leg

al a

nd e

quita

ble

right

s •

The

form

aliti

es re

quire

d fo

r the

exp

ress

cre

atio

n of

le

gal a

nd e

quita

ble

inte

rest

s in

land

incl

udin

g re

leva

nt le

gisla

tion

and

case

law

.

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

the

lega

l and

eq

uita

ble

rule

s and

form

aliti

es re

latin

g to

the

crea

tion

and

prot

ectio

n of

th

ird p

arty

righ

ts a

nd in

tere

sts o

ver l

and

• Si

tuat

ions

whe

re in

tere

sts i

n la

nd c

an b

e cr

eate

d by

pr

oprie

tary

est

oppe

l, th

e le

gal i

mpl

icat

ions

of s

uch

right

s and

the

rem

edie

s and

def

ence

s to

such

cla

ims

• Th

e le

gal a

nd e

quita

ble

rule

s and

form

aliti

es re

latin

g to

the

crea

tion

(incl

udin

g pr

escr

iptio

n), r

egist

ratio

n,

dete

rmin

atio

n an

d ex

tingu

ishin

g of

eas

emen

ts a

nd

prof

its

• Th

e le

gal a

nd e

quita

ble

rule

s and

form

aliti

es re

latin

g


65

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

to th

e cr

eatio

n, m

odifi

catio

n an

d ex

tingu

ishin

g of

fr

eeho

ld p

erso

nal,

posit

ive

and

nega

tive

cove

nant

s in

land

and

whe

ther

a su

cces

sor i

n tit

le is

bou

nd b

y a

free

hold

per

sona

l, ne

gativ

e an

d/or

pos

itive

co

vena

nts a

nd th

e re

med

ies a

nd d

efen

ces f

or a

br

each

of c

oven

ant

• Th

e st

atut

ory

prov

ision

s rel

atin

g to

adv

erse

po

sses

sion

clai

ms i

n re

latio

n to

regi

ster

ed a

nd

unre

gist

ered

land

, the

righ

ts o

f the

ow

ner t

o ev

ict a

tr

espa

sser

on

regi

ster

ed a

nd u

nreg

ister

ed la

nd a

nd

the

time

limits

and

fact

ors w

hich

a c

laim

ant n

eeds

to

prov

e to

est

ablis

h a

succ

essf

ul c

laim

for a

dver

se

poss

essio

n •

The

rule

s and

form

aliti

es re

latin

g to

the

prot

ectio

n of

th

ird p

arty

righ

ts in

regi

ster

ed a

nd u

nreg

ister

ed la

nd

incl

udin

g (b

ut n

ot li

mite

d to

): o

Ho

w th

ird p

arty

inte

rest

s can

be

prot

ecte

d in

re

gist

ered

land

by

regi

stra

tion,

or w

heth

er

they

are

ove

rrid

ing,

how

cer

tain

third

par

ty

inte

rest

s in

regi

ster

ed la

nd c

an b

e ov

erre

ache

d in

clud

ing

rele

vant

legi

slatio

n an

d ca

se la

w

o

How

cer

tain

third

par

ty in

tere

sts a

re

prot

ecte

d by

regi

stra

tion

as L

and

Char

ges,

ot

hers

pro

tect

ed b

y ho

ldin

g th

e or

igin

al ti

tle

deed

s and

how

a p

urch

aser

for v

alue

may

ta

ke fr

ee o

f cer

tain

third

par

ty in

tere

sts

affe

ctin

g th

e la

nd b

eing

pur

chas

ed in

clud

ing

any

rele

vant

rem

edie

s and

def

ence

s in

clud

ing

rele

vant

legi

slatio

n an

d ca

se la

w

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

the

law

re

latin

g to

trus

ts o

f lan

d

• Th

e fo

rmal

ities

for t

he c

reat

ion

of e

xpre

ss tr

usts

of

land

•

The

lega

l rul

es re

latin

g to

the

crea

tion

of re

sulti

ng


66

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

and

cons

truc

tive

trus

ts in

land

• So

le a

nd c

o-ow

ners

hip

and

the

diffe

renc

e be

twee

n ho

ldin

g th

e eq

uita

ble

esta

te in

a jo

int t

enan

cy o

r a

tena

ncy

in c

omm

on, a

lloca

ting

dist

inct

shar

es in

land

, se

vera

nce

of a

join

t ten

ancy

, and

dev

olut

ion

of ti

tle

on th

e de

ath

of a

co-

owne

r and

sole

ow

ner

• Th

e rig

hts a

nd p

ower

s of t

rust

ees a

nd b

enef

icia

ries o

f a

trus

t of l

and

conf

erre

d by

rele

vant

legi

slatio

n •

The

stat

utor

y ru

les a

nd ru

les a

pplie

d by

the

judi

ciar

y w

hen

dete

rmin

ing

the

lega

l and

ben

efic

ial o

wne

rshi

p of

land

. De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

app

licat

ion

of t

he l

aw

rela

ting

to m

ortg

ages

• Th

e le

gal r

ules

and

form

aliti

es re

latin

g to

the

crea

tion

of v

alid

lega

l and

equ

itabl

e m

ortg

ages

, the

man

ner i

n w

hich

a m

ortg

agee

clie

nt c

an b

e pr

otec

ted

in b

oth

regi

ster

ed a

nd u

nreg

ister

ed la

nd, t

he le

gal r

ules

re

latin

g to

the

prio

rity

of le

gal a

nd e

quita

ble

mor

tgag

es, t

he ri

ghts

of t

he m

ortg

agor

and

m

ortg

agee

and

the

lega

l rul

es re

latin

g to

a m

ortg

agee

en

forc

ing

it’s s

ecur

ity th

roug

h th

e po

wer

of s

ale.

De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

app

licat

ion

of t

he n

atur

e of

leas

ehol

d es

tate

s and

land

lord

and

tena

nt la

w

• Ex

plan

atio

n of

the

natu

re o

f a le

aseh

old

esta

te

(incl

udin

g be

ing

subj

ect t

o an

d gr

ante

d ou

t of a

su

perio

r titl

e)

• Th

e ru

les a

nd fo

rmal

ities

rela

ting

to th

e cr

eatio

n of

le

gal a

nd e

quita

ble

leas

es in

bot

h re

gist

ered

(in

clud

ing

the

Land

Reg

istry

’s re

gist

ratio

n re

quire

men

ts) a

nd u

nreg

ister

ed la

nd a

nd th

e di

ffere

nce

betw

een

a le

ase

and

unde

r-le

ase

• Th

e di

ffere

nce

betw

een

an ‘o

ld’ a

nd a

‘new

’ lea

se a

nd

the

lega

l rul

es re

latin

g to

the

enfo

rcea

bilit

y of

leas

e co

vena

nts b

etw

een

the

orig

inal

par

ties t

o a

leas

e (la

ndlo

rd, t

enan

t and

gua

rant

or) a

ny su

bseq

uent

ow

ners

(pur

chas

er o

f the

reve

rsio

n an

d as

signe

e), a

nd

agai

nst t

hird

par

ties.


67

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

Elem

ent 2

. RE

SIDE

NTI

AL C

ON

VEYA

NCI

NG

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

com

plyi

ng

with

the

corr

ect r

ules

and

pro

cedu

res a

ccor

ding

to th

e La

nd R

egis

trat

ion

Act

2002

in

rela

tion

to d

ealin

gs w

ith r

egis

tere

d la

nd a

nd t

he L

and

Char

ges A

cts i

n de

alin

g w

ith u

nreg

iste

red

land

• U

nder

stan

ding

and

app

licat

ion

of th

e la

w, r

ules

, and

La

nd R

egist

ry p

roce

dure

rela

ting

to th

e pr

actic

e of

la

nd re

gist

ratio

n in

rela

tion

to c

onve

yanc

ing

tran

sact

ions

•

Deal

ing

with

trig

ger a

nd fi

rst r

egist

ratio

ns

• U

nder

stan

d an

d ex

plai

n th

e di

ffere

nt c

lass

es o

f Lan

d Ch

arge

and

how

cer

tain

third

par

ty ri

ghts

can

be

prot

ecte

d by

regi

stra

tion

as a

Lan

d Ch

arge

to

dete

rmin

e w

heth

er a

righ

t is b

indi

ng o

n a

purc

hase

r De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

app

licat

ion

of th

e di

ffere

nt

type

s of t

itles

in la

nd th

at c

an b

e he

ld in

Eng

land

and

Wal

es

• Th

e di

ffere

nces

bet

wee

n th

e ty

pes o

f titl

e th

at c

an b

e he

ld in

land

(inc

ludi

ng fr

eeho

ld, l

ease

hold

and

co

mm

onho

ld)

• Th

e cl

asse

s of t

itle

that

can

be

held

in la

nd a

nd th

e pr

oced

ure

unde

r whi

ch th

ese

may

be

upgr

aded

un

der r

elev

ant l

egisl

atio

n an

d La

nd R

egist

ry

proc

edur

e

• Th

e le

gal a

nd e

quita

ble

esta

tes a

nd in

tere

sts t

hat c

an

be h

eld

in la

nd a

nd th

e re

med

ies a

vaila

ble

reco

gnise

d by

rele

vant

legi

slatio

n an

d au

thor

ity a

nd th

e re

lativ

e ad

vant

ages

and

disa

dvan

tage

s of l

egal

and

equ

itabl

e rig

hts

• Th

e fo

rmal

ities

requ

ired

for t

he e

xpre

ss c

reat

ion

of

lega

l and

equ

itabl

e in

tere

sts i

n la

nd in

clud

ing

legi

slatio

n an

d ca

se la

w

• Ex

plai

ning

sole

and

co-

owne

rshi

p an

d th

e di

ffere

nce

betw

een

hold

ing

a le

gal a

nd e

quita

ble

esta

te in

a

join

t ten

ancy

and

a te

nanc

y in

com

mon

, adv

ising

cl

ient

s on

the

mos

t app

ropr

iate

form

of j

oint

ow

ners

hip,

allo

catin

g di

stin

ct sh

ares

in la

nd, b

eing

ab

le to

det

erm

ine

dep

endi

ng o

n ci

rcum

stan

ces t

he

mos

t app

ropr

iate

form

of c

o-ow

ners

hip

for t

he c

lient

, be

ing

able

to se

ver a

join

t ten

ancy

, and

det

erm

inin

g th

e de

volu

tion

of ti

tle o

n th

e de

ath

of a

sole

and

co-


68

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

owne

r and

the

docu

men

tatio

n an

d fo

rms r

equi

red

to

prov

e su

ch d

evol

utio

n •

Expl

aini

ng h

ow la

nd c

an b

e tr

ansf

erre

d, le

t or

char

ged

incl

udin

g bu

t not

lim

ited

to w

here

the

owne

r ha

s die

d, lo

st c

apac

ity, i

s ins

olve

nt o

r ban

krup

t, or

is

abse

nt

Dem

onst

rate

kn

owle

dge,

un

ders

tand

ing

and

appl

icat

ion

of

title

de

duct

ion

and

inve

stig

atio

n of

fre

ehol

d an

d le

aseh

old,

reg

iste

red

and

unre

gist

ered

land

• De

duct

ion

of ti

tle to

bot

h re

gist

ered

and

unr

egist

ered

fr

eeho

ld a

nd le

aseh

old

land

and

an

abili

ty to

follo

w

the

proc

edur

e un

der t

he L

aw S

ocie

ty’s

Con

veya

ncin

g Pr

otoc

ol to

det

erm

ine

whi

ch d

ocum

enta

tion

shou

ld

be in

clud

ed in

the

cont

ract

bun

dle

for t

he a

bove

ty

pes o

f titl

e •

Raisi

ng a

nd d

raft

ing

stan

dard

pre

-con

trac

t enq

uirie

s fo

r reg

ister

ed a

nd u

nreg

ister

ed fr

eeho

ld a

nd

leas

ehol

d la

nd u

nder

the

Law

Soc

iety

’s C

onve

yanc

ing

Prot

ocol

and

raisi

ng a

nd re

plyi

ng to

non

-sta

ndar

d pr

e-co

ntra

ct e

nqui

ries a

nd re

quisi

tions

bas

ed o

n a

exam

inat

ion

of th

e tit

le

• De

term

ine

and

perf

orm

the

rele

vant

pre

-con

trac

t se

arch

es re

quire

d fo

r a p

artic

ular

pro

pert

y ba

sed

on

its lo

catio

n an

d an

exa

min

atio

n of

the

title

•

The

need

to e

nsur

e co

mpl

ianc

e w

ith b

oth

plan

ning

an

d bu

ildin

g re

gula

tions

app

rova

l, th

e en

forc

emen

t pe

riods

and

the

rem

edie

s and

/or s

olut

ions

for a

br

each

of s

uch

oblig

atio

ns (i

nclu

ding

inde

mni

ty

insu

ranc

e) w

here

ther

e is

such

a c

ontr

aven

tion

•

In re

latio

n to

a c

lient

’s pr

opos

ed b

uild

ings

wor

ks

and/

or c

hang

e of

use

to a

dvise

a c

lient

on

the

plan

ning

and

bui

ldin

g re

gula

tions

regi

me

and

the

need

to in

form

the

lend

er

• Th

e ne

ed fo

r a B

uild

mar

k sc

hem

e in

rela

tion

to n

ew

resid

entia

l pro

pert

ies,

the

requ

irem

ents

und

er th

e Le

nder

s Han

dboo

k, th

e pe

riod

of c

over

pro

vide

d, th

e


69

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

rem

edie

s whi

ch a

clie

nt h

as w

hen

a de

fect

aris

es

• Be

ing

able

to a

ct fo

r a c

lient

pur

chas

ing

a pr

oper

ty

‘off

plan

’. •

To b

e ab

le to

iden

tify

‘pro

blem

s’/d

efec

ts in

rela

tion

to a

title

and

/or s

earc

h re

sults

and

to in

dent

ify a

nd

advi

se a

clie

nt a

nd le

nder

on

rele

vant

solu

tions

an

d/or

whe

ther

not

to p

roce

ed w

ith th

e pu

rcha

se

• Th

e di

ffere

nt ty

pes o

f titl

e in

dem

nity

insu

ranc

e av

aila

ble

and

arra

ngin

g su

ch c

over

whe

n ne

cess

ary

•

To b

e ab

le to

dra

ft a

repo

rt o

n tit

le to

the

clie

nt

prov

idin

g th

e cl

ient

with

all

of th

e re

leva

nt

info

rmat

ion

abou

t the

tran

sact

ion

and

prov

idin

g ad

vice

as t

o w

heth

er th

e cl

ient

shou

ld p

roce

ed a

nd

on th

e op

tions

ava

ilabl

e to

ove

rcom

e an

y pr

oble

ms

or d

efec

ts in

title

De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

app

licat

ion

of c

ontr

act l

aw

and

the

stan

dard

pro

visi

ons

of s

ale

and

spec

ial c

ondi

tions

for

cont

ract

s an

d op

tions

for

the

sal

e of

bot

h fr

eeho

ld a

nd le

aseh

old

land

and

the

co

ntra

ctua

l rem

edie

s for

bre

ach

of c

ontr

act

• To

adh

ere

to th

e fo

rmal

ities

for c

reat

ing

a bi

ndin

g co

ntra

ct a

nd o

ptio

n fo

r the

sale

of l

and

incl

udin

g ad

herin

g to

the

form

aliti

es c

reat

ed b

y re

leva

nt

legi

slatio

n •

To d

eter

min

e th

e di

ffere

nce

betw

een

full

title

, lim

ited

title

and

no

title

gua

rant

ee u

nder

rele

vant

le

gisla

tion

and

the

situa

tions

in w

hich

eac

h ty

pe o

f tit

le g

uara

ntee

will

be

give

n •

Und

erst

and

the

stru

ctur

e of

the

stan

dard

pro

visio

ns

and

spec

ial c

ondi

tions

of t

he S

tand

ard

Cond

ition

s of

Sale

s (cu

rren

t edi

tion)

(the

Sta

ndar

d Co

nditi

ons)

and

ho

w th

ese

may

be

varie

d by

the

use

of a

dditi

onal

sp

ecia

l con

ditio

ns a

ccor

ding

to th

e tr

ansa

ctio

n •

To d

eter

min

e th

e ap

prop

riate

man

ner i

n w

hich

the

depo

sit sh

ould

be

held

in e

ach

tran

sact

ion

• To

be

able

to e

xcha

nge

cont

ract

s in

any

give

n sit

uatio

n an

d de

term

ine

the

appr

opria

te L

aw S

ocie

ty

form

ula

to u

sed

in si

ngle

and

cha

in tr

ansa

ctio

ns


70

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

• Ex

plai

n ho

w a

con

trac

t can

be

mad

e co

nditi

onal

•

To e

xpla

in th

e la

w re

latin

g to

opt

ions

for t

he sa

le o

f la

nd a

nd th

e ne

ed to

pro

tect

cer

tain

opt

ions

by

regi

stra

tion

• Ex

plai

n th

e le

gal a

nd c

ontr

actu

al c

onse

quen

ces o

f la

te c

ompl

etio

n an

d m

isrep

rese

ntat

ion:

o

Ex

plai

n th

e re

med

ies a

vaila

ble

unde

r the

co

mm

on la

w, s

tatu

te a

nd th

e St

anda

rd

Cond

ition

s in

rela

tion

to a

del

ayed

co

mpl

etio

n by

eith

er th

e bu

yer o

r the

selle

r, th

e re

med

ies a

nd p

roce

dure

ava

ilabl

e to

bo

th p

artie

s o

To

exp

lain

the

law

rela

ting

to

misr

epre

sent

atio

n th

e re

med

ies a

vaila

ble

unde

r the

Sta

ndar

d Co

nditi

ons o

f sal

e an

d re

leva

nt le

gisla

tion

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

the

law

and

pr

actic

e re

latin

g to

resi

dent

ial l

ease

hold

tran

sact

ions

• Th

e la

w re

latin

g to

resid

entia

l lea

ses a

nd le

ases

gr

ante

d ou

t of a

supe

rior t

itle,

the

diffe

renc

e be

twee

n a

leas

e an

d an

und

erle

ase

and

adhe

ring

to

the

form

aliti

es fo

r the

cre

atio

n of

a v

alid

leas

e or

un

derle

ase

incl

udin

g th

e La

nd R

egist

ry’s

re

quire

men

ts re

latin

g to

regi

stra

ble

leas

es

• Th

e st

ruct

ure

of a

long

resid

entia

l lea

se in

clud

ing

pres

crib

ed c

laus

es fo

r reg

ister

ed le

ases

and

pr

ovisi

ons o

f a re

siden

tial l

ease

•

Dete

rmin

ing

the

suita

bilit

y of

the

prov

ision

s of a

re

siden

tial l

ease

from

a te

nant

’s, l

andl

ord’

s and

le

nder

’s p

oint

of v

iew

incl

udin

g, b

ut n

ot li

mite

d to

re

pairi

ng o

blig

atio

ns, i

nsur

ance

, gro

und

rent

, use

r, se

rvic

e ch

arge

, ext

ent o

f the

dem

ise, e

asem

ents

gr

ante

d an

d re

serv

ed, t

he p

rovi

sion

of se

rvic

es,

land

lord

’s co

vena

nt fo

r qui

te e

njoy

men

t, w

heth

er

ther

e is

a re

quire

men

t to

tran

sfer

shar

es in

a


71

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

man

agem

ent c

ompa

ny to

the

assig

nee

• To

det

erm

ine

from

the

prov

ision

s of a

leas

e w

heth

er

a la

ndlo

rd’s

con

sent

is re

quire

d fo

r alie

natio

n or

for

any

of th

e te

nant

’s p

ropo

sals

and

the

effe

ct o

f re

leva

nt st

atut

ory

prov

ision

s •

To a

dher

e to

a le

nder

’s a

dditi

onal

requ

irem

ents

re

latin

g to

regi

ster

ed a

nd u

nreg

ister

ed le

aseh

old

land

co

ntai

ned

in in

stru

ctio

ns in

the

Coun

cil o

f Mor

tgag

e Le

nder

s Han

dboo

k an

d m

ortg

age

offe

r •

An u

nder

stan

ding

of t

he ri

ghts

and

qua

lifyi

ng c

riter

ia

for r

esid

entia

l lea

seho

lder

s to

singl

y or

to c

olle

ctiv

ely

purc

hase

the

free

hold

and

the

right

s and

qua

lifyi

ng

crite

ria th

at in

divi

dual

resid

entia

l lea

seho

lder

s hav

e to

ext

end

the

term

of a

leas

e.

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

the

rul

es

and

prac

tise

rela

ting

to t

he c

reat

ion

and

prot

ectio

n of

eas

emen

ts a

nd

cove

nant

s (in

clud

ing

thei

r reg

istr

atio

n)

• To

det

erm

ine

whe

ther

suita

ble

ease

men

ts a

re in

ex

isten

ce o

r will

be

rese

rved

and

/or g

rant

ed w

hen

tran

sfer

ring

the

who

le o

r par

t of a

title

and

leas

ehol

d in

tere

sts i

n re

latio

n (b

ut n

ot li

mite

d to

) acc

ess,

serv

ice

arra

ngem

ents

in re

latio

n to

util

ities

the

right

to

conn

ect t

o an

d/or

inst

all u

tiliti

es, t

he ri

ght t

o re

pair

and

suita

ble

arra

ngem

ents

in re

latio

n to

mai

nten

ance

an

d th

e pa

ymen

t of a

ny se

rvic

e ch

arge

(inc

ludi

ng th

e di

fficu

lty o

f enf

orci

ng p

ositi

ve (n

on-le

aseh

old)

co

vena

nts i

n re

latio

n to

such

pay

men

ts)

• To

det

erm

ine

whe

ther

suita

ble

posit

ive

and

nega

tive

cove

nant

s are

in e

xist

ence

or w

ill n

eed

to b

e cr

eate

d or

mod

ified

bas

ed o

n th

e ne

eds o

f the

clie

nts w

hen

tran

sfer

ring

the

who

le o

r par

t of a

title

•

To fo

llow

the

corr

ect p

roce

dure

for r

egist

erin

g ea

sem

ents

and

cov

enan

ts in

bot

h re

gist

ered

and

un

regi

ster

ed la

nd.

Dem

onst

rate

kn

owle

dge,

un

ders

tand

ing

and

appl

icat

ion

of

the

requ

irem

ents

of l

ende

rs a

nd th

e fo

rmal

ities

for c

reat

ing

valid

mor

tgag

es

• U

nder

stan

ding

of t

he fo

rmal

ities

rela

ting

to th

e cr

eatio

n of

a v

alid

mor

tgag

e


72

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

: •

Und

erst

andi

ng o

f the

mai

n ty

pes o

f mor

tgag

e su

rvey

s av

aila

ble

and

thei

r sui

tabi

lity

depe

ndin

g on

the

clie

nt’s

inst

ruct

ions

•

The

abili

ty to

act

for a

mor

tgag

ee in

a sa

le a

nd

purc

hase

and

a re

mor

tgag

e tr

ansa

ctio

n in

bot

h re

gist

ered

and

unr

egist

ered

free

hold

and

leas

ehol

d la

nd b

y pe

rfec

ting

thei

r cha

rge

incl

udin

g, b

ut n

ot

limite

d to

follo

win

g in

stru

ctio

ns in

the

Coun

cil o

f M

ortg

age

Lend

ers H

andb

ook

and

mor

tgag

e of

fer,

inve

stig

atin

g tit

le to

ens

ure

ther

e is

a go

od a

nd

mar

keta

ble

title

, red

eem

ing

exist

ing

char

ges o

n a

sale

or

rem

ortg

age,

dea

ling

with

the

prio

rity

of m

ortg

ages

w

hen

actin

g fo

r a se

cond

or s

ubse

quen

t mor

tgag

ee

Dem

onst

rate

kn

owle

dge,

un

ders

tand

ing

and

appl

icat

ion

of

the

proc

edur

e an

d st

eps

to b

e pe

rfor

med

dur

ing

pre-

com

plet

ion

and

com

plet

ion

in a

res

iden

tial c

onve

yanc

ing

tran

sact

ion

in b

oth

regi

ster

ed

and

unre

gist

ered

free

hold

and

leas

ehol

d la

nd

• To

per

form

the

corr

ect p

re-c

ompl

etio

n st

eps i

n

conv

eyan

cing

tran

sact

ions

incl

udin

g pr

epar

ing

the

rele

vant

prio

rity

sear

ches

for r

egist

ered

and

un

regi

ster

ed la

nd

• Fo

llow

the

corr

ect f

orm

aliti

es fo

r the

eng

ross

men

t, ex

ecut

ion

and

com

plet

ion

(dat

ing

of d

ocum

enta

tion)

by

indi

vidu

als,

com

pani

es a

nd a

ttor

neys

•

For b

oth

free

hold

and

leas

ehol

d re

gist

ered

and

un

regi

ster

ed tr

ansa

ctio

ns d

eter

min

e w

hich

do

cum

ents

nee

d to

be

hand

ed o

ver b

y th

e se

ller’s

la

wye

r on

com

plet

ion

and

deal

ing

with

logi

stic

s suc

h as

the

arra

ngem

ents

for t

he c

lient

s col

lect

ing

the

keys

•

Follo

win

g th

e co

rrec

t pro

cedu

res t

o di

scha

rge

the

clie

nt’s

exi

stin

g m

ortg

age

• Fo

llow

ing

good

pra

ctic

e fo

r com

plet

ion

by a

dher

ing

to th

e La

w S

ocie

ty’s

Cod

e fo

r Com

plet

ion

by P

ost


73

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

the

pos

t co

mpl

etio

n pr

oced

ures

an

d st

eps

to

be

follo

wed

to

pe

rfec

t a

purc

hase

r’s a

nd/o

r len

der’s

title

in re

gist

ered

and

unr

egist

ered

land

• To

det

erm

ine

whe

ther

Sta

mp

Duty

Lan

d Ta

x is

paya

ble

in re

latio

n to

a tr

ansa

ctio

n an

d to

follo

w th

e co

rrec

t pro

cedu

re in

subm

ittin

g th

e co

rrec

t for

ms

and

mak

ing

paym

ent a

nd th

e pe

nalti

es th

at a

pply

for

late

pay

men

t/su

bmiss

ion

• Fo

llow

ing

the

corr

ect p

roce

dure

to re

gist

er th

e tr

ansa

ctio

n an

d/or

cha

rge

at th

e La

nd R

egist

ry, w

ithin

th

e re

leva

nt ti

me

limits

that

app

ly a

nd a

n un

ders

tand

ing

of th

e co

nseq

uenc

es o

f fai

ling

to

regi

ster

title

with

in th

e re

leva

nt ti

me

limits

Elem

ent 3

. CO

MM

ERCI

AL C

ON

VEYA

NCI

NG

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

iden

tifyi

ng

and

advi

sing

on

the

prac

tical

, com

mer

cial

and

lega

l con

side

ratio

ns w

hen

carr

ying

out

Com

mer

cial

Pro

pert

y Co

nvey

anci

ng o

f bot

h re

gist

ered

and

un

regi

ster

ed fr

eeho

ld a

nd le

aseh

old

land

(inc

ludi

ng th

e gr

ant o

f a le

ase

or u

nder

leas

e)

• To

be

able

to d

educ

e an

d in

vest

igat

e tit

le to

re

gist

ered

(inc

ludi

ng id

entif

ying

and

car

ryin

g ou

t re

leva

nt se

arch

es) a

nd u

nreg

ister

ed fr

eeho

ld a

nd

leas

ehol

d co

mm

erci

al p

rope

rty

• To

raise

and

repl

y to

stan

dard

(inc

ludi

ng th

e CP

SEs)

an

d no

n-st

anda

rd p

re-c

ontr

act e

nqui

ries a

nd

requ

isitio

ns b

ased

on

an e

xam

inat

ion

of th

e tit

le

• To

be

able

to id

entif

y an

d ad

vise

on

the

prac

tical

, co

mm

erci

al a

nd le

gal c

onsid

erat

ions

whe

n de

alin

g w

ith a

cqui

sitio

ns o

f com

mer

cial

land

incl

udin

g

gree

nfie

ld a

nd b

row

nfie

ld si

tes

• To

be

awar

e of

the

mai

n ty

pes o

f bui

ldin

g co

ntra

ct,

to b

e ab

le to

iden

tify

the

part

ies i

nvol

ved

in a

co

nstr

uctio

n pr

ojec

t (th

e pr

ofes

siona

l tea

m) a

nd th

eir

role

s , th

e lia

bilit

y of

the

team

to th

ird p

artie

s,

over

view

of t

he p

rote

ctio

ns fo

r thi

rd p

artie

s inc

ludi

ng

colla

tera

l war

rant

ies

• Th

e ne

ed to

ens

ure

com

plia

nce

with

bot

h pl

anni

ng

and

build

ing

regu

latio

ns a

ppro

val,

an a

war

enes

s of

the

stat

utor

y pr

ovisi

ons i

nclu

ding

the

enfo

rcem

ent

perio

ds a

nd th

e re

med

ies a

nd/o

r sol

utio

ns fo

r a

brea

ch o

f suc

h ob

ligat

ions

(inc

ludi

ng in

dem

nity


74

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

insu

ranc

e) w

here

ther

e is

such

a c

ontr

aven

tion

• In

rela

tion

to a

clie

nt’s

prop

osed

dev

elop

men

t or

build

ings

wor

ks a

nd/o

r cha

nge

of u

se to

adv

ise a

cl

ient

on

the

plan

ning

and

bui

ldin

g re

gula

tions

re

gim

e an

d th

e ne

ed to

info

rm th

e le

nder

•

To u

nder

stan

d en

viro

nmen

tal l

iabi

litie

s in

the

cont

ext

of c

omm

erci

al p

rope

rty

tran

sact

ions

, to

be a

ble

to

expl

ain

how

to id

entif

y an

d de

al w

ith c

onta

min

ated

la

nd a

nd a

ppre

ciat

e th

e us

e of

con

trac

tual

pr

otec

tions

to e

xclu

de o

r app

ortio

n lia

bilit

y fo

r re

med

ial w

ork

and

to b

e ab

le to

iden

tify

the

prov

ision

s in

a co

mm

erci

al le

ase

whi

ch m

ay im

pose

en

viro

nmen

tal l

iabi

litie

s on

a te

nant

•

To u

nder

stan

d th

e di

ffere

nt ty

pes o

f con

trac

t tha

t m

ay b

e us

ed to

acq

uire

com

mer

cial

pro

pert

y an

d th

e st

anda

rd a

nd sp

ecia

l con

ditio

ns o

f suc

h co

ntra

cts t

hat

com

mer

cial

pro

pert

y ca

n be

sold

by

(incl

udin

g th

e St

anda

rd C

omm

erci

al P

rope

rty

Cond

ition

s (cu

rren

t ed

ition

)) an

d th

e pr

ovisi

ons t

hat m

ust b

e in

clud

ed to

pr

otec

t the

clie

nt se

ller a

nd b

uyer

•

To u

nder

stan

d th

e st

ruct

ure

and

prov

ision

s of

anci

llary

doc

umen

tatio

n us

ed to

cre

ate

an in

tere

st in

co

mm

erci

al la

nd in

clud

ing

but n

ot li

mite

d to

ag

reem

ents

for l

ease

, opt

ions

to b

uy, c

ondi

tiona

l co

ntra

cts,

ove

rage

agr

eem

ents

, etc

. •

To u

nder

stan

d th

e VA

T im

plic

atio

ns o

f a p

urch

ase

and

deve

lopm

ent o

f com

mer

cial

pro

pert

y an

d th

e co

rrec

t pro

cedu

re to

be

follo

wed

whe

re V

AT is

ch

arge

able

whe

n ac

ting

for b

oth

the

buye

r and

selle

r •

To b

e ab

le to

iden

tify

‘pro

blem

s’/d

efec

ts in

rela

tion

to a

title

and

/or s

earc

h re

sults

and

to id

entif

y an

d ad

vise

a c

lient

selle

r/pu

rcha

ser a

nd le

nder

on

rele

vant

solu

tions

(inc

ludi

ng in

dem

nity

insu

ranc

e)


75

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

and/

or w

heth

er n

ot to

pro

ceed

with

the

tran

sact

ion

• To

be

able

to d

raft

a re

port

on

title

/leas

e to

the

clie

nt

prov

idin

g th

e cl

ient

with

all

of th

e re

leva

nt

info

rmat

ion

abou

t the

tran

sact

ion

and

prov

idin

g ad

vice

as t

o w

heth

er th

e cl

ient

shou

ld p

roce

ed a

nd

on th

e op

tions

ava

ilabl

e to

ove

rcom

e an

y pr

oble

ms

or d

efec

ts in

title

•

To u

nder

stan

d th

e pr

ovisi

ons o

f and

dra

ft a

nd

exec

ute

deed

s tha

t cre

ate

lega

l and

/or e

quita

ble

inte

rest

s in

land

incl

udin

g bu

t not

lim

ited

to tr

ansf

ers,

as

signm

ents

, lea

ses,

subl

ease

s, m

ortg

ages

and

to b

e ab

le to

mak

e va

lid a

men

dmen

ts to

such

doc

umen

ts

• To

per

form

the

corr

ect p

re-c

ompl

etio

n st

eps i

n a

com

mer

cial

con

veya

ncin

g tr

ansa

ctio

n in

clud

ing

prep

arin

g th

e re

leva

nt p

riorit

y se

arch

es

• To

be

able

to c

ompl

ete

com

mer

cial

con

veya

ncin

g tr

ansa

ctio

ns in

clud

ing

follo

win

g th

e La

w S

ocie

ty’s

Co

de fo

r Com

plet

ion

by P

ost a

nd p

repa

ring

the

docu

men

ts to

be

prov

ided

on

com

plet

ion

• To

be

able

to fo

llow

the

corr

ect p

ost c

ompl

etio

n pr

oced

ures

to p

erfe

ct th

e cl

ient

’s ti

tle, i

nclu

ding

but

no

t lim

ited

to p

ayin

g SD

LT a

nd fo

llow

ing

the

corr

ect

proc

edur

e to

regi

ster

title

at t

he L

and

Regi

stry

and

/or

upgr

ade

the

title

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

act

ing

for

both

a la

ndlo

rd a

nd te

nant

in c

omm

erci

al le

ase

tran

sact

ions

• To

und

erst

and

the

dist

inct

ion

betw

een

a le

ase

and

licen

ce, l

ease

hold

tenu

re a

nd th

e an

atom

y of

a

com

mer

cial

leas

e •

The

liabi

lity

of p

artie

s to

a co

mm

erci

al le

ase

(land

lord

, ten

ant a

nd g

uara

ntor

) inc

ludi

ng p

rivity

of

cont

ract

and

est

ate,

rele

vant

legi

slatio

n, g

uara

ntee

s an

d re

leas

e of

gua

rant

ors;

stre

ngth

of t

enan

t’s

cove

nant

, int

erpr

etin

g gu

aran

tee

prov

ision

s in

a co

mm

erci

al le

ase


76

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

• To

und

erst

and

and

deal

with

issu

es o

f lea

ses o

f par

t in

clud

ing

adeq

uate

ly d

efin

ing

the

prop

erty

, ser

vice

ch

arge

pro

visio

ns fr

om th

e la

ndlo

rd’s

and

tena

nt’s

vi

ew, a

ncill

ary

docu

men

tatio

n •

The

abili

ty to

dra

ft a

com

mer

cial

leas

e, su

blea

se a

nd

anci

llary

doc

umen

tatio

n in

clud

ing

but n

ot li

mite

d to

lic

ence

s, a

nd to

seek

to a

men

d te

rms a

ccor

ding

to

the

obje

ctiv

es o

f the

land

lord

or t

enan

t clie

nt a

nd to

be

abl

e to

adv

ise y

our l

andl

ord

and

tena

nt c

lient

on

spec

ific

part

s of a

com

mer

cial

leas

e an

d m

akin

g re

leva

nt a

men

dmen

ts in

clud

ing

prov

ision

s on:

o

Re

pair

and

deco

ratio

n, li

miti

ng te

nant

’s

repa

iring

obl

igat

ions

, app

lyin

g th

e re

leva

nt

stat

utor

y pr

ovisi

ons i

n re

latio

n to

a b

reac

h of

repa

iring

cov

enan

t, ad

visin

g on

and

am

endi

ng re

pairi

ng/d

ecor

atin

g pr

ovisi

ons,

an

d en

forc

emen

t of r

epai

ring

oblig

atio

ns

o

Insu

ranc

e in

clud

ing

insu

red

and

unin

sure

d ris

ks, r

ent s

uspe

nsio

n, te

rmin

atio

n,

insu

ranc

e pr

ovisi

ons r

elat

ing

to le

ase

of p

art,

and

advi

sing

on a

nd a

men

ding

insu

ranc

e pr

ovisi

ons

o

rest

rictin

g us

er a

nd a

ltera

tions

, app

lyin

g le

gisla

tion

rele

vant

to c

hang

e of

use

and

al

tera

tions

and

the

sanc

tions

for b

reac

h,

plan

ning

con

sent

for c

hang

e of

use

and

al

tera

tions

, am

endi

ng u

ser a

nd a

ltera

tion

prov

ision

s and

dra

ftin

g an

cilla

ry

docu

men

tatio

n su

ch a

s lic

ence

s o

Al

iena

tion

(incl

udin

g as

signm

ent,

subl

ettin

g an

d ot

her d

ealin

g), i

dent

ifica

tion

of ‘o

ld’ a

nd

‘new

’ lea

ses,

leas

e pr

ovisi

ons a

ffect

ing

alie

natio

n, u

nder

stan

ding

and

app

lyin

g


77

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

rele

vant

legi

slatio

n, a

men

ding

alie

natio

n pr

ovisi

ons,

dra

ftin

g an

cilla

ry d

ocum

enta

tion,

an

d re

med

ies f

or u

nrea

sona

bly

with

hold

ing

cons

ent

o

Rent

revi

ew, t

he c

omm

on ty

pes o

f rev

iew

pr

ovisi

ons a

nd p

rovi

sions

of a

n op

en m

arke

t re

nt re

view

, mak

ing

amen

dmen

ts to

rent

re

view

pro

visio

ns, a

nd a

dvisi

ng c

lient

s on

the

mec

hani

cs o

f a re

nt re

view

•

To In

terp

ret a

nd a

dvise

on

the

term

s of a

bus

ines

s le

ase

whe

n ac

ting

for a

pur

chas

er o

f a re

vers

iona

ry

inte

rest

(i.e

. an

inve

stor

) •

Und

erst

andi

ng o

f th

e ra

nge

of m

etho

ds b

y w

hich

a

busin

ess

leas

e m

ay

be

term

inat

ed

incl

udin

g th

e pr

inci

ple

of

secu

rity

of

tenu

re

unde

r re

leva

nt

legi

slatio

n (t

he A

ct),

to b

e ab

le to

follo

w th

e, re

new

al

and

term

inat

ion

proc

edur

e un

der

the

Act,

to b

e ab

le

to p

repa

re r

elev

ant

notic

es u

nder

the

Act

; an

d to

pr

ogre

ss n

egot

iatio

ns fo

r th

e re

new

al o

r te

rmin

atio

n of

a

busin

ess

leas

e un

der

the

Act;

fo

rfei

ture

; su

rren

der;

and

brea

k cl

ause

s (in

terp

retin

g an

d ad

visin

g of

the

exe

rcise

of

a br

eak

clau

se i

n a

com

mer

cial

le

ase)

, an

d dr

aftin

g an

cilla

ry

docu

men

tatio

n (in

clud

ing

but

not

limite

d no

tices

, fo

rms a

nd d

eeds

of s

urre

nder

) EN

TRY

EXPE

RIEN

CE

ALL

APPL

ICAN

TS

• co

nvey

anci

ng e

xper

ienc

e in

the

2 ye

ars p

rece

ding

the

appl

icat

ion

• Ge

nera

l des

crip

tion

of c

onve

yanc

ing

wor

k ca

rrie

d ou

t •

Desc

riptio

n of

typi

cal c

ase

load

•

An in

dica

tion

of c

harg

eabl

e ho

urs s

pent

on

conv

eyan

cing

wor

k in

eac

h of

the

last

2 y

ears

•

The

prop

ortio

n of

tim

e sp

ent o

n co

nvey

anci

ng w

ork

• De

tails

of t

he su

perv

isory

arr

ange

men

ts u

nder

whi

ch

the

appl

ican

t wor

ks a

nd/o

r the

ir su

perv

isory


78

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

resp

onsib

ilitie

s •

The

appl

ican

t is r

equi

red

to d

emon

stra

te h

is ex

perie

nce

of C

onve

yanc

ing

thro

ugh

the

subm

issio

n of

3 p

ortf

olio

s in

acco

rdan

ce w

ith th

e Po

rtfo

lio

Guid

elin

es.

•

Exam

ples

will

be

draw

n fr

om a

rang

e of

cas

es fr

om

the

appl

ican

t’s c

ase

load

.


79

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

STAG

E 2

QU

ALIF

ICAT

ION

CR

ITER

IA:

SKIL

LS

Appl

ican

ts m

ust d

emon

stra

te th

e fo

llow

ing

skill

s.

• Cl

ient

Car

e an

d Le

gal R

esea

rch

Appl

ican

ts m

ust

prov

ide

an e

xam

ple

to e

vide

nce

thei

r sk

ills i

n th

ese

elem

ents

Ei

ther

•

succ

essf

ul c

ompl

etio

n of

CIL

EX L

evel

6 P

rofe

ssio

nal

High

er D

iplo

mas

in th

e sk

ills o

f Leg

al R

esea

rch

and

Clie

nt C

are

O

r •

qual

ifica

tion

of a

n eq

uiva

lent

stan

dard

•

Whe

re th

e ap

plic

ant d

oes n

ot h

old

the

rele

vant

CIL

Ex

Leve

l 6 L

egal

Res

earc

h or

Clie

nt C

are

(or e

quiv

alen

t)

qual

ifica

tion,

he

shou

ld p

rovi

de a

por

tfol

io o

f evi

denc

e an

d lo

gboo

k w

hich

dem

onst

rate

s mee

ting

each

of t

he

outc

omes

set o

ut in

Ele

men

ts 1

and

2 b

elow

in

acco

rdan

ce w

ith th

e Po

rtfo

lio G

uide

lines

.

• Ex

ampl

es w

ill b

e dr

awn

from

a ra

nge

of c

ases

from

the

appl

ican

t’s c

ase

load

.

Elem

ent 1

CL

IEN

T CA

RE

Dem

onst

rate

kn

owle

dge

and

unde

rsta

ndin

g of

go

od

prac

tice

in

inte

rvie

win

g an

d ad

visi

ng

• Ex

plai

n su

cces

sful

clie

nt in

terv

iew

ing

• De

mon

stra

te in

terv

iew

s whi

ch th

e ap

plic

ant c

onsid

ers

to b

e su

cces

sful

and

iden

tify

wha

t mad

e th

em

succ

essf

ul. T

his m

ay b

e ev

iden

ced

by d

emon

stra

ting

an

abili

ty to

: •

Prep

are

for t

he in

terv

iew

and

app

ly a

stru

ctur

ed


80

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

appr

oach

to it

• Gr

eet t

he in

terv

iew

ee a

ppro

pria

tely

and

mai

ntai

n th

e in

terv

iew

ee’s

con

fiden

ce

• U

se a

ppro

pria

te li

sten

ing,

que

stio

ning

and

fe

edba

ck te

chni

ques

•

Be se

nsiti

ve to

div

ersit

y an

d ot

her r

elev

ant i

ssue

s an

d ha

ndle

any

em

otio

nally

dist

ress

ed c

lient

in a

se

nsiti

ve a

nd p

rofe

ssio

nal m

anne

r •

Give

app

ropr

iate

adv

ice

whe

n re

quire

d (in

clud

ing

the

need

to ta

ke fu

rthe

r ins

truc

tions

or u

nder

take

re

sear

ch b

efor

e do

ing

so)

• Ke

ep a

full

and

accu

rate

reco

rd o

f the

inte

rvie

w

• Cl

ose

the

inte

rvie

w a

ppro

pria

tely

and

dea

l with

any

fo

llow

-up

issue

s as r

equi

red.

•

Dem

onst

rate

the

abili

ty to

giv

e an

d co

mm

unic

ate

clea

r, ac

cura

te a

nd p

ract

ical

adv

ice

both

ora

lly a

nd in

writ

ing

on m

atte

rs re

latin

g to

con

veya

ncin

g ac

tiviti

es. T

his m

ay

be e

vide

nced

by

an a

bilit

y to

: •

Obt

ain

all r

elev

ant i

nfor

mat

ion

and

iden

tify

the

clie

nt’s

obj

ectiv

es

• Gi

ve c

lear

adv

ice

on a

ll re

leva

nt m

atte

rs a

risin

g •

Whe

re n

eces

sary

, ref

er th

e cl

ient

to o

ther

pr

ofes

siona

ls be

tter

abl

e to

dea

l with

the

issue

s •

Iden

tify

the

optio

ns a

vaila

ble

and

expl

ain

the

adva

ntag

es a

nd d

isadv

anta

ges o

f eac

h of

thos

e op

tions

•

Enab

le a

nd a

ssist

the

clie

nt to

reac

h a

deci

sion

base

d on

app

ropr

iate

adv

ice

• Gi

ve c

lear

, app

ropr

iate

and

acc

urat

e ad

vice

re

gard

ing

cost

s, d

isbur

sem

ents

and

fund

ing

• Se

ek a

ppro

pria

te in

stru

ctio

ns a

nd g

ive

clea

r adv

ice

rega

rdin

g th

e ne

xt st

eps t

o be

take

n in

the

mat

ter


81

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

Dem

onst

rate

goo

d pr

actic

e in

lega

l writ

ing

Dem

onst

rate

kno

wle

dge

and

unde

rsta

ndin

g of

pro

fess

iona

l co

nduc

t is

sues

aris

ing

in p

ract

ice

Dem

onst

rate

kno

wle

dge

and

unde

rsta

ndin

g of

the

impo

rtan

ce o

f clie

nt

care

in le

gal p

ract

ice

• De

al a

ppro

pria

tely

with

any

div

ersit

y or

oth

er

issue

s tha

t mig

ht a

rise

• Ke

ep a

n ac

cura

te re

cord

of t

he a

dvic

e gi

ve a

nd th

e in

form

atio

n on

whi

ch th

at a

dvic

e w

as b

ased

.

Prov

ide

evid

ence

of

le

gal

writ

ing

whi

ch

dem

onst

rate

s un

ders

tand

ing

of th

e fo

llow

ing

key

area

s of g

ood

prac

tice:

•

accu

rate

, suc

cinc

t, co

mpl

ete

and

prec

ise w

ritin

g •

awar

enes

s of t

he n

eed

to u

se ‘p

lain

Eng

lish’

and

writ

ing

usin

g co

rrec

t gra

mm

ar a

nd sp

ellin

g •

the

use

of le

gal E

nglis

h is

used

onl

y w

hen

nece

ssar

y an

d is

appr

opria

tely

exp

lain

ed

• ju

dici

ous u

se o

f str

uctu

re to

cle

arly

and

logi

cally

set o

ut

info

rmat

ion

• Pr

ovid

e ev

iden

ce to

dem

onst

rate

the

synt

hesis

of a

va

riety

of s

ourc

es to

pro

vide

adv

ice

to th

e cl

ient

•

Prov

ide

evid

ence

of u

se o

f app

ropr

iate

com

mun

icat

ion,

in

clud

ing

use

of a

ppro

pria

te to

ne a

nd st

yle,

to

sens

itive

ly m

anag

e cl

ient

exp

ecta

tions

•

Expl

ain

whe

re th

e ap

plic

ant w

ill fi

nd th

e ru

les o

f pr

ofes

siona

l con

duct

whi

ch a

ffect

thei

r pra

ctise

of t

he

law

•

Iden

tify

situa

tions

in w

hich

an

ethi

cal i

ssue

may

hav

e ar

isen

in th

eir p

ract

ice

and

how

they

dea

lt w

ith th

ose

situa

tions

•

Iden

tify

any

prof

essio

nal o

rgan

isatio

ns th

at e

xist

with

in

thei

r are

a of

pra

ctic

e an

d ex

plai

n be

nefit

s of

mem

bers

hip

• Ex

plai

n th

e SR

A or

CIL

Ex e

quiv

alen

t rul

es re

latin

g to

cl

ient

car

e an

d ev

iden

ce y

our u

se o

f the

rule

s on

prac

tice


82

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

: •

Evid

ence

use

of c

lient

car

e le

tter

s and

com

plai

nt

man

agem

ent h

andl

ing

• De

mon

stra

te u

nder

stan

ding

of t

he n

eed

for g

ood

clie

nt

care

to b

enef

it th

e bu

sines

s

Elem

ent 2

LE

GAL

RESE

ARCH

De

mon

stra

te k

now

ledg

e an

d un

ders

tand

ing

of a

nd b

e ab

le to

: 1

anal

yse

the

scop

e an

d co

mpl

exity

of

situ

atio

ns w

hich

nee

d le

gal r

esea

rch

2

eval

uate

lega

l res

earc

h so

urce

s 3

pe

rfor

m a

ppro

pria

te le

gal r

esea

rch

4

anal

yse

the

law

in re

latio

n to

pra

ctic

al p

robl

ems

5 re

cord

and

eva

luat

e in

form

atio

n 6

synt

hesi

se re

sear

ch to

pre

sent

adv

ice

• Id

entif

y sit

uatio

ns in

whi

ch th

e ne

ed fo

r leg

al re

sear

ch

has a

risen

in w

ork

• Ex

plai

n th

e st

eps t

he a

pplic

ant u

nder

took

to id

entif

y re

leva

nt so

urce

s of i

nfor

mat

ion

and

how

they

de

term

ined

the

relia

bilit

y, a

ccur

acy

and

curr

ency

of t

he

info

rmat

ion

disc

over

ed

• Ex

plai

n un

ders

tand

ing

of p

rimar

y an

d se

cond

ary

sour

ces

and

how

thes

e so

urce

s can

be

used

to e

nsur

e th

e ap

plic

ant h

as su

ffici

ently

rese

arch

ed th

e pr

oble

m

• Id

entif

y re

leva

nt st

atut

es, c

ase

law

and

oth

er so

urce

s fr

om th

eir r

esea

rch

• Ev

iden

ce h

ow th

ey p

riorit

ised

and

anal

ysed

the

rese

arch

an

d us

ed th

is to

bet

ter u

nder

stan

d th

e iss

ues r

aise

d in

th

e le

gal m

atte

r •

Evid

ence

thei

r syn

thes

is of

the

rese

arch

mat

eria

ls to

pr

ovid

e a

stru

ctur

ed a

nd a

ccur

ate

repo

rt

• Ev

iden

ce h

ow th

e ap

plic

ant e

valu

ated

the

rese

arch

en

surin

g th

at it

is c

ompr

ehen

sive

and

sens

itive

to th

e ne

eds o

f the

reci

pien

t

Elem

ent 3

IN

TERV

IEW

ING,

ADV

ISIN

G AN

D CO

MM

UN

ICAT

ING

INTE

RVIE

WIN

G•

An a

bilit

y to

con

duct

effe

ctiv

e in

terv

iew

s with

the

clie

nts a

cros

s a

rang

e of

con

veya

ncin

g m

atte

rs

• Pr

epar

e fo

r an

initi

al in

terv

iew

and

app

ly a

stru

ctur

ed

appr

oach

to it

•

Gree

t the

inte

rvie

wee

app

ropr

iate

ly

• U

se a

ppro

pria

te li

sten

ing,

que

stio

ning

and

feed

back

te

chni

ques

•

Mai

ntai

n ra

ppor

t with

the

inte

rvie

wee

. •

Be se

nsiti

ve to

div

ersit

y iss

ues

• Ke

ep a

full

and

accu

rate

reco

rd o

f the

inte

rvie

w


83

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

ADVI

SIN

G &

CO

MM

UN

ICAT

ING

• To

giv

e an

d co

mm

unic

ate

clea

r acc

urat

e an

d pr

actic

al a

dvic

e bo

th o

rally

and

in w

ritin

g on

mat

ters

rela

ting

to th

e to

a

conv

eyan

cing

tran

sact

ion

to a

clie

nt o

n th

e la

w, p

roce

dure

and

on

the

optio

ns a

vaila

ble

• Cl

ose

the

inte

rvie

w a

ppro

pria

tely

•

Clea

rly id

entif

y th

e ne

xt st

eps t

o be

take

n by

the

inte

rvie

wer

and

inte

rvie

wee

• O

btai

n al

l rel

evan

t inf

orm

atio

n to

iden

tify

the

clie

nt’s

ob

ject

ives

•

Give

cle

ar a

dvic

e on

all

rele

vant

mat

ters

aris

ing

• Id

entif

y th

e op

tions

ava

ilabl

e an

d ex

plai

n th

e pr

os a

nd

cons

of e

ach

of th

ose

optio

ns

• En

able

the

clie

nt to

mak

e de

cisio

ns o

n th

e tr

ansa

ctio

n ba

sed

on a

ppro

pria

te a

dvic

e

• Gi

ving

cle

ar, a

ppro

pria

te a

nd a

ccur

ate

advi

ce

rega

rdin

g co

sts a

nd fu

ndin

g •

Seek

app

ropr

iate

inst

ruct

ions

and

giv

e cl

ear a

dvic

e re

gard

ing

the

next

step

s to

be ta

ken

• De

al a

ppro

pria

tely

with

any

div

ersit

y iss

ues t

hat a

rise

• Pr

oduc

ing

an a

ccur

ate

reco

rd o

f the

adv

ice

give

n

Elem

ent 4

CO

STS

& F

UN

DIN

G

• An

aw

aren

ess o

f the

impo

rtan

ce o

f the

clie

nt h

avin

g su

ffici

ent

fund

s in

plac

e to

com

plet

e an

y co

nvey

ance

• Cl

ear a

nd a

ccur

ate

calc

ulat

ion

of a

ll of

the

cost

s the

cl

ient

will

incu

r dur

ing

a co

nvey

anci

ng tr

ansa

ctio

n in

clud

ing,

but

not

lim

ited

to th

e pu

rcha

se p

rice,

lega

l co

sts p

lus V

AT, c

ost o

f all

disb

urse

men

ts, a

ny

notif

icat

ion

fees

, and

any

stam

p du

ty la

nd ta

x th

at

need

s to

be p

aid

• A

clea

r cal

cula

tion

of th

e fu

nds a

vaila

ble

to th

e cl

ient

ta

king

into

acc

ount

any

con

ditio

ns a

ttac

hed

to a

m

ortg

age

offe

r and

whe

ther

thes

e w

ill b

e su

ffici

ent t

o co

mpl

ete

the

purc

hase

•

The

abili

ty to

pro

vide

gen

eric

adv

ice

on th

e m

ain

type

s of

mor

tgag

e fin

ance

ava

ilabl

e fo

r fun

ding

a p

urch

ase

• Aw

aren

ess o

f the

rang

e of

opt

ions

and

adv

ice

that

can

be

giv

en to

clie

nts w

here

ther

e is

a sh

ortf

all a

nd th

e pr

os a

nd c

ons a

ssoc

iate

d w

ith e

ach

optio

n


84

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

: •

The

prod

uctio

n of

a c

lear

and

succ

inct

com

plet

ion

stat

emen

t •

To a

dvise

on

the

tax

impl

icat

ions

of V

AT a

nd/o

r CGT

on

a co

nvey

anci

ng tr

ansa

ctio

n •

To a

rran

ge fo

r the

tran

sfer

of f

unds

on

com

plet

ion

by

draw

ing

dow

n th

e m

onta

ge fu

nds,

arra

ngin

g fo

r a

tele

grap

hic

tran

sfer

to th

e ve

ndor

’s so

licito

r El

emen

t 5

PRO

FESS

ION

AL C

ON

DUCT

AN

D ET

HICS

• An

aw

aren

ess o

f and

adh

eren

ce to

the

prof

essio

nal c

ondu

ct

rule

s, re

leva

nt la

w a

nd e

thic

s rel

atin

g to

con

veya

ncin

g pr

actic

e

• An

aw

aren

ess o

f pro

fess

iona

l obl

igat

ions

in a

div

erse

ra

nge

of si

tuat

ions

in re

spec

t of m

atte

rs re

latin

g to

su

bsta

ntiv

e la

w a

nd th

e ru

les o

f pro

fess

iona

l con

duct

in

conv

eyan

cing

tran

sact

ions

. •

An a

war

enes

s of t

he o

blig

atio

ns o

wed

to th

e cl

ient

, le

nder

, oth

er la

wye

rs, a

nd o

ther

third

par

ties i

n re

spec

t of

mon

ey la

unde

ring

legi

slatio

n an

d re

gula

tion

and

com

plyi

ng w

ith su

ch re

gula

tion.

•

To b

e ab

le to

iden

tify

and

deal

app

ropr

iate

ly w

ith

conf

licts

of i

nter

est t

hat a

rise

or m

ay a

rise

durin

g a

conv

eyan

cing

tran

sact

ion

arisi

ng b

etw

een

the

appl

ican

t an

d th

e cl

ient

, bet

wee

n on

e or

mor

e cl

ient

s, th

e cl

ient

an

d th

e le

nder

and

bet

wee

n th

e cl

ient

and

any

rele

vant

th

ird p

arty

incl

udin

g ap

plic

atio

n of

rele

vant

cas

e la

w

and

legi

slatio

n.

• Ev

iden

ce u

se o

f clie

nt c

are

lett

ers a

nd c

ompl

aint

m

anag

emen

t han

dlin

g •

An u

nder

stan

ding

of t

he b

ase

for t

he g

ivin

g of

pr

ofes

siona

l und

erta

king

s to

clie

nts,

the

lend

ers,

oth

er

law

yers

and

third

par

ties i

n co

nvey

anci

ng tr

ansa

ctio

ns;

the

impl

icat

ions

of g

ivin

g su

ch u

nder

taki

ngs;

the

cons

eque

nces

of b

reac

hing

such

und

erta

king

s and

de

mon

stra

tion

of th

e ap

prop

riate

use

of u

nder

taki

ngs i

n

conv

eyan

cing

tran

sact

ions

•

Adhe

renc

e to

the

stat

utor

y ru

les a

nd p

roce

dure

s in

rela

tion

to a

ctin

g fo

r clie

nts i

n de

alin

g w

ith sp

ecifi

ed


85

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

inve

stm

ents

in c

onve

yanc

ing

tran

sact

ions

(inc

ludi

ng, b

ut

not l

imite

d to

shar

e tr

ansf

ers,

insu

ranc

e, m

ortg

ages

) an

d w

heth

er th

e fir

m c

an a

ct u

nder

and

exc

lusio

n an

d/or

an

exem

ptio

n

Elem

ent 6

M

ANAG

ING

CON

VEYA

NCI

NG

WO

RK

FILE

HAN

DLIN

G•

An a

bilit

y to

pla

n an

d m

anag

e a

conv

eyan

cing

tran

sact

ion

effe

ctiv

ely

DEAL

ING

WIT

H O

THER

PRO

FESS

ION

ALS

• An

abi

lity

to d

eal w

ith a

nd in

stru

ct o

ther

pro

fess

iona

ls

• Al

loca

ting

time

and

reso

urce

s app

ropr

iate

ly,

• Be

ing

awar

e of

all

lega

l and

pro

cedu

ral r

equi

rem

ents

•

To a

ctiv

ely

man

age

a w

ide

rang

e an

d nu

mbe

r of

mat

ters

to e

nsur

e th

at th

ey p

rogr

ess i

n a

timel

y m

anne

r •

To d

iaris

e an

d be

aw

are

of a

ll de

adlin

es

•

To b

e ab

le to

com

mun

icat

e an

d de

al p

rofe

ssio

nal w

ith

othe

r pro

fess

iona

ls an

d th

ird p

artie

s ora

lly a

nd in

w

ritin

g.

• To

be

able

to in

stru

ct e

xper

ts in

clud

ing:

•

Appr

ecia

te th

e na

ture

and

func

tion

of d

iffer

ent

type

s of e

xper

ts re

leva

nt to

con

veya

ncin

g pr

actic

e •

Iden

tify

whe

re a

n ex

pert

will

nee

d to

be

inst

ruct

ed

durin

g a

conv

eyan

cing

tran

sact

ion

(suc

h as

a

surv

eyor

) •

Iden

tify

and

suita

bly

qual

ified

/exp

erie

nced

exp

ert

• Ag

ree

an a

ppro

pria

te fe

e fo

r the

exp

ert’s

wor

k •

Draf

t a le

tter

of i

nstr

uctio

n to

the

expe

rt

El

emen

t 7

LEGA

L W

RITI

NG

AND

DRAF

TIN

G

EFFE

CTIV

E LE

TTER

WRI

TIN

G

To w

rite

lett

ers

to c

o-pr

ofes

siona

ls, c

lient

s, a

nd o

ther

pa

rtie

s tha

t are

: •

accu

rate

, suc

cinc

t, co

mpl

ete

and

prec

ise w

ritin

g •

use

‘pla

in E

nglis

h’ a

nd w

ritin

g us

ing

corr

ect g

ram

mar

an

d sp

ellin

g •

lega

l Eng

lish

is us

ed o

nly

whe

n ne

cess

ary

and

is ap

prop

riate

ly e

xpla

ined

•

judi

ciou

s use

of s

truc

ture

to c

lear

ly a

nd lo

gica

lly se

t out

in

form

atio

n


86

Entr

y Le

vel C

ompe

tenc

ies

Lear

ning

Out

com

eTh

e en

try

requ

irem

ent

to o

btai

n co

nvey

anci

ng p

ract

ice

right

s se

eks

to

ensu

re th

at th

e ap

plic

ant:

Supp

ortin

g Ex

perie

nce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e of

:

DRAF

TIN

G To

cor

rect

ly d

raft

and

com

plet

e al

l con

trac

ts, d

eeds

, doc

umen

ts, f

orm

s an

d le

tter

s req

uire

d th

roug

hout

all

stag

es o

f a c

onve

yanc

ing

tran

sact

ion

• de

mon

stra

te th

e sy

nthe

sis o

f a v

arie

ty o

f sou

rces

to

prov

ide

advi

ce to

the

clie

nt

• us

e of

app

ropr

iate

com

mun

icat

ion,

incl

udin

g us

e of

ap

prop

riate

tone

and

styl

e, to

sens

itive

ly m

anag

e cl

ient

ex

pect

atio

ns.

• De

eds a

nd d

ocum

ents

requ

ired

to tr

ansf

er o

r gra

nt ti

tle

such

as t

rans

fers

, lea

ses,

und

erle

ases

, ass

ignm

ents

, ch

arge

s, e

tc.

• O

ther

dee

ds a

nd d

ocum

ents

that

cre

ate

an in

tere

st in

la

nd su

ch a

s tho

se c

reat

ing

eas

emen

ts a

nd c

oven

ants

•

Cont

ract

s and

opt

ions

for t

he sa

le o

f lan

d •

The

vario

us fo

rms a

nd d

ocum

enta

tion

invo

lved

in a

co

nvey

anci

ng tr

ansa

ctio

n in

clud

ing

but n

ot li

mite

d to

La

nd R

egist

ry fo

rms,

Law

Soc

iety

Pro

toco

l for

ms,

ta

xatio

n fo

rms,

mor

tgag

ees f

orm

s.

• Dr

aftin

g le

tter

s to

clie

nts a

nd o

ther

par

ties (

incl

udin

g cl

ient

car

e le

tter

s) a

nd re

port

s on

title

/leas

es.

El

emen

t 8

NEG

OTI

ATIO

N

• Th

e ab

ility

to n

egot

iate

with

oth

er p

rofe

ssio

nals

at v

ario

us

stag

es o

f a c

onve

yanc

ing

tran

sact

ion

and

third

par

ties o

n be

half

of c

lient

, sel

ler,

buye

r, te

nant

and

land

lord

• Be

ing

awar

e of

diff

eren

t neg

otia

ting

styl

es a

nd st

ance

s an

d cl

early

det

erm

inin

g th

e ag

enda

/obj

ectiv

es to

be

achi

eved

prio

r to

cond

uctin

g th

e ne

gotia

tions

•

Obt

aini

ng a

ll re

leva

nt in

form

atio

n an

d id

entif

ying

the

clie

nts o

bjec

tives

and

ent

erin

g in

to n

egot

iatio

ns w

ith

othe

r pro

fess

ions

and

third

par

ties t

o ac

hiev

e th

e cl

ient

’s o

bjec

tives

incl

udin

g bu

t not

lim

ited

to

nego

tiatin

g am

endm

ents

to c

ontr

acts

, dee

ds, a

nd o

ther

do

cum

enta

tion,

leas

es, a

ll an

cilla

ry d

ocum

enta

tion,

the

wor

ding

and

ext

ent o

f und

erta

king

s, lia

ising

and

ne

gotia

ting

with

the

Land

Reg

istry

, neg

otia

ting

and

liaisi

ng w

ith p

lann

ing

auth

oriti

es, a

nd a

ny o

ther

rele

vant

th

ird p

arty


FRAMEWORKS FOR BOTH CERTIFICATION SCHEMES

87


88

Ann

ex 4

- IN

TRO

DU

CTI

ON

– P

RA

CTI

CE

MA

NA

GEM

ENT

Th

e qu

alifi

catio

n cr

iteria

, lea

rnin

g ou

tcom

es a

nd e

vide

nce

of c

ompe

tenc

y st

ated

in th

is s

ched

ule

set o

ut:

• th

e le

vel o

f com

pete

ncy,

kno

wle

dge

and

unde

rsta

ndin

g re

quire

d to

run

a bu

sine

ss w

hich

pro

vide

s a

lega

l ser

vice

, hav

ing

cons

ider

atio

n fo

r rul

es a

nd re

gula

tions

, bot

h pr

ofes

sion

al a

nd le

gisl

ativ

e •

the

elem

ents

requ

ired

to e

vide

nce

that

leve

l of c

ompe

tenc

y, k

now

ledg

e an

d un

ders

tand

ing.

•

the

leve

l of c

ompe

tenc

y re

quire

d in

the

rele

vant

ski

lls fo

r thi

s ar

ea o

f pra

ctic

e –w

hat i

t mea

ns to

be

part

of a

pro

fess

ion,

C

ILE

x re

gula

tions

, man

agem

ent o

f a le

gal e

ntity

and

bus

ines

s ac

umen

•

the

elem

ents

requ

ired

to e

vide

nce

the

requ

ired

leve

l of c

ompe

tenc

e fo

r th

ese

rele

vant

ski

lls

• a

stat

emen

t of t

he s

tudy

and

wor

k-ba

sed

expe

rienc

e th

at d

emon

stra

tes

that

an

appl

ican

t has

atta

ined

the

requ

ired

leve

l of

com

pete

nce,

kno

wle

dge

and

unde

rsta

ndin

g in

all

the

requ

ired

elem

ents

. C

ertif

icat

ion

of p

ract

ice

man

agem

ent w

ill en

sure

that

the

appl

ican

t has

: •

met

the

appl

icat

ion

requ

irem

ents

•

an a

ppro

pria

te le

vel o

f sui

tabi

lity

to m

anag

e a

prac

tice

• an

app

ropr

iate

lev

el o

f kn

owle

dge

and

appr

ecia

tion

of t

he k

ey f

eatu

res

both

fin

anci

al a

nd n

on-fi

nanc

ial

of p

ract

ice

man

agem

ent

to i

nclu

de t

he a

bilit

y to

dea

l w

ith r

isk,

hav

e a

stra

tegy

, m

ake

info

rmed

bus

ines

s de

cisi

ons,

man

age

and

mot

ivat

e ot

hers

, the

ben

efits

of I

T an

d th

e ex

tern

al a

nd in

tern

al fo

rces

whi

ch w

ill ul

timat

ely

will

affe

ct a

n or

gani

satio

n’s

abilit

y to

suc

ceed

•

the

abilit

y an

d sk

ill to

adv

ance

the

orga

nisa

tion

thro

ugh

the

crea

tion

of a

stra

tegy

app

ropr

iate

to th

e m

arke

t sec

tor t

he

orga

nisa

tion

wis

hes

to ta

rget

, to

incl

ude

the

use

of a

bus

ines

s pl

an, m

arke

ting

plan

, cor

pora

te s

ocia

l res

pons

ibili

ty p

olic

y an

d ot

her a

ppro

pria

te a

ssoc

iate

d do

cum

ents

whi

ch m

ay b

e ne

eded

to s

uppo

rt th

e or

gani

satio

n’s

stra

tegy

•

the

abilit

y an

d sk

ill to

man

age

a cl

ient

’s e

xpec

tatio

ns a

ppro

pria

tely

, not

just

at t

he o

utse

t of a

cas

e, b

ut th

roug

hout

the

life

of

the

reta

iner

rela

tions

hip

• th

e ab

ility

and

skill

to re

ad a

nd in

terp

ret t

he fi

rm’s

acc

ount

s, in

add

ition

to a

ny s

uppo

rting

bud

gets

, cas

h flo

ws,

man

agem

ent

acco

unts

and

ad

hoc

repo

rts p

erta

inin

g to

the

firm

’s p

rofit

abilit

y an

d fin

anci

al p

ositi

on

• th

e ab

ility

and

skill

to p

erfo

rm th

e ta

sks

requ

ired

to e

valu

ate

the

bene

fits

of IT

and

the

need

for g

ood

proj

ect m

anag

emen

t •

to d

emon

stra

te a

leve

l of e

xper

ienc

e, k

now

ledg

e an

d un

ders

tand

ing

of p

rofe

ssio

nal c

ondu

ct a

nd re

gula

tion

cont

aine

d in

the

rele

vant

con

duct

rule

s an

d ot

her l

aw a

nd re

gula

tions

, inc

ludi

ng g

over

nmen

t leg

isla

tion,

and

whe

re th

ese

may

impa

ct a

nd to

be

abl

e to

app

ly th

em in

con

text

.


89

Le

arni

ng O

utco

me

An a

pplic

ant s

eeki

ng p

ract

ice

right

s mus

t de

mon

stra

te:

Supp

ortin

g Ev

iden

ce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e to

:

QU

ALIF

ICAT

ION

CRI

TERI

A

•

KNO

WLE

DGE

• U

NDE

RSTA

NDI

NG

• EX

PERI

ENCE

•

SKIL

LS

• Su

ffici

ent p

ract

ical

kno

wle

dge,

un

ders

tand

ing,

exp

erie

nce

and

skill

s – n

ote

thes

e ar

e di

ffere

nt d

epen

ding

of t

he ro

le o

f th

e ap

plic

ant

Dem

onst

rate

they

mee

t the

out

com

es se

t out

bel

ow b

y:

•

atte

ndan

ce o

n a

cour

se, o

r •

prac

tical

exp

erie

nce

Th

e ou

tcom

es a

re sp

lit in

to th

e fo

llow

ing

leve

ls:

•

Leve

l 1 -

man

dato

ry fo

r all

appl

ican

ts

• Le

vel 2

a - m

anda

tory

for c

ompl

ianc

e m

anag

ers

• Le

vel 2

b - m

anda

tory

for c

ompl

ianc

e m

anag

er u

nder

taki

ng p

ract

ice

man

agem

ent

• Le

vel 2

c - m

anda

tory

for c

ompl

ianc

e m

anag

er u

nder

taki

ng

acco

unts

man

agem

ent

Elem

ent 1

BE

ING

PART

OF

A PR

OFE

SSIO

N

EXTE

RNAL

INFL

UEN

CES

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd

appl

icat

ion

of th

e cu

rren

t leg

al m

arke

t and

lega

l en

titie

s whi

ch m

ay b

e cr

eate

d to

pro

vide

a le

gal

serv

ice

LEVE

L 1:

•

Know

ledg

e an

d un

ders

tand

ing

of th

e ty

pes o

f str

uctu

re th

roug

h w

hich

a le

gal e

ntity

may

be

form

ed

• Kn

owle

dge

and

unde

rsta

ndin

g of

thos

e ab

le to

regu

late

rese

rved

le

gal a

ctiv

ities

•

Und

erst

andi

ng th

at th

e st

ruct

ure

and

regu

latio

n of

lega

l ent

ities

an

d ac

tiviti

es m

ay c

hang

e an

d be

abl

e to

iden

tify

thes

e ch

ange

s •

Know

ledg

e an

d un

ders

tand

ing

of a

bus

ines

s pla

n, ta

king

into

ac

coun

t rec

ent a

nd c

urre

nt c

hang

es to

the

lega

l ser

vice

s mar

ket

• Kn

owle

dge,

und

erst

andi

ng a

nd a

bilit

y to

com

ply

with

a c

ompl

aint

s pr

oced

ure

in li

ne w

ith L

eO g

uide

lines

. LE

VEL

2a:

• Ab

ility

to p

repa

re a

bus

ines

s pla

n, ta

king

into

acc

ount

rece

nt a

nd

curr

ent c

hang

es to

the

lega

l ser

vice

s mar

ket

• Ab

ility

to c

reat

e a

com

plai

nts p

roce

dure

in li

ne w

ith L

eO

guid

elin

es.


90

Le

arni

ng O

utco

me

An a

pplic

ant s

eeki

ng p

ract

ice

right

s mus

t de

mon

stra

te:

Supp

ortin

g Ev

iden

ce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e to

:

REGU

LATI

ON

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd

appl

icat

ion

of th

e re

leva

nt c

ondu

ct ru

les a

nd o

ther

la

ws a

nd re

gula

tion

affe

ctin

g th

e pr

ofes

sion

al a

nd

lega

l pra

ctic

e De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

ap

prop

riate

app

licat

ion

of e

ffect

ive

proc

edur

es fo

r co

mpl

ianc

e

LEVE

L 1:

• Kn

owle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

obl

igat

ions

to th

e co

urt,

the

clie

nt, o

ther

law

yers

and

bar

riste

rs, s

take

hold

ers,

third

pa

rtie

s and

the

gene

ral p

ublic

•

Know

ledg

e, u

nder

stan

ding

and

app

licat

ion

of th

e re

gula

tions

for

whi

ch a

n in

divi

dual

is p

erso

nally

resp

onsib

le

• Kn

owle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

obl

igat

ions

to th

e cl

ient

•

Know

ledg

e an

d un

ders

tand

ing

of h

ow a

nd w

hen

a re

tain

er

rela

tions

hip

shou

ld b

e te

rmin

ated

•

Know

ledg

e an

d un

ders

tand

ing

of p

rofe

ssio

nal i

ndem

nity

in

sura

nce.

LE

VEL

2a:

• Ab

ility

to c

ompl

ete

a pr

ofes

siona

l ind

emni

ty p

ropo

sal f

orm

, ga

ther

ing

and

iden

tifyi

ng re

leva

nt in

form

atio

n fo

r pro

posa

l. LE

VEL

1:

• Kn

owle

dge

and

unde

rsta

ndin

g of

the

nom

inat

ion

proc

edur

e an

d su

itabi

lity

for t

he M

oney

Lau

nder

ing

Repo

rtin

g O

ffice

r (M

LRO

) •

Know

ledg

e an

d un

ders

tand

ing

of th

e M

oney

Lau

nder

ing

regu

latio

ns.

LEVE

L 2b

: •

Abili

ty to

iden

tify

and

appo

int a

MLR

O

• Kn

owle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

pro

cedu

res w

hich

a

lega

l ent

ity m

ust f

ollo

w in

ord

er to

pro

duce

an

offic

e po

licy

on

mon

ey la

unde

ring

• Kn

owle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

app

ropr

iate

file

te

stin

g w

hich

ens

ures

file

s are

onl

y op

ened

aft

er n

eces

sary

mon

ey


91

Le

arni

ng O

utco

me

An a

pplic

ant s

eeki

ng p

ract

ice

right

s mus

t de

mon

stra

te:

Supp

ortin

g Ev

iden

ce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e to

:

laun

derin

g ch

ecks

• Kn

owle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

the

requ

irem

ents

of

the

Info

rmat

ion

Com

miss

ione

r’s O

ffice

(ICO

) and

why

lega

l ent

ities

m

ust r

egist

er w

ith th

em

• Kn

owle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

equ

ality

and

di

vers

ity m

onito

ring

both

in th

e w

orkp

lace

and

thro

ugh

cont

ract

ing

of th

ird p

artie

s.

Elem

ent 2

CI

LEx

REGU

LATI

ON

S

CILE

x PR

ACTI

CE R

ULE

S (G

ENER

AL)

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd

appr

opria

te a

pplic

atio

n of

the

scop

e of

the

CILE

x pr

actic

e ru

les

CILE

x PR

ACTI

CE R

ULE

S (A

DMIN

ISTR

ATIO

N)

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd

appr

opria

te a

pplic

atio

n of

the

adm

inis

trat

ion

requ

irem

ents

of a

CIL

Ex re

gula

ted

entit

y in

add

ition

to

any

requ

irem

ents

to re

mai

n in

divi

dual

ly c

ompl

iant

LEVE

L 1:

•

Know

ledg

e an

d un

ders

tand

ing

of si

tuat

ions

whi

ch w

ould

giv

e ris

e to

a b

reac

h of

the

prac

tice

rule

s •

Know

ledg

e, u

nder

stan

ding

and

app

licat

ion

of th

e du

ty o

f co

nfid

entia

lity,

incl

udin

g id

entif

icat

ion

of w

hen

this

star

ts a

nd e

nds

LEVE

L 2b

: •

Know

ledg

e, u

nder

stan

ding

and

app

licat

ion

of th

e re

quire

men

ts to

fu

lfil t

he ro

le o

f pra

ctic

e m

anag

er.

LEVE

L 2c

: •

Know

ledg

e, u

nder

stan

ding

and

app

licat

ion

of th

e re

quire

men

ts to

fu

lfil t

he ro

le o

f the

fina

ncia

l man

ager

. LE

VEL

1:

• Kn

owle

dge,

und

erst

andi

ng a

nd a

bilit

y to

pro

vide

app

ropr

iate

ad

vice

rega

rdin

g fe

es to

be

char

ged

and

the

mer

its o

f the

cas

e fo

llow

ing

a co

st b

enef

it an

alys

is

• Kn

owle

dge,

und

erst

andi

ng a

nd a

bilit

y to

pro

vide

real

istic

cos

t es

timat

es in

the

form

of a

‘cos

ting’

of a

ll co

sts a

nd d

isbur

sem

ents

at

the

star

t of t

he c

ase

and

to p

rovi

de re

gula

r upd

ates

thro

ugho

ut

the

life

of th

e fil

e


92

Le

arni

ng O

utco

me

An a

pplic

ant s

eeki

ng p

ract

ice

right

s mus

t de

mon

stra

te:

Supp

ortin

g Ev

iden

ce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e to

:

• Kn

owle

dge

and

unde

rsta

ndin

g of

iden

tific

atio

n, d

ocum

enta

tion

and

deal

ing

appr

opria

tely

with

pot

entia

l con

flict

s of i

nter

ests

bot

h at

the

outs

et a

nd th

roug

hout

a re

tain

er re

latio

nshi

p •

Know

ledg

e an

d un

ders

tand

ing

of si

tuat

ions

whi

ch m

ay g

ive

rise

to

an u

nder

taki

ng a

nd th

e im

plic

atio

ns o

f giv

ing

an u

nder

taki

ng

• Kn

owle

dge

and

unde

rsta

ndin

g of

situ

atio

ns w

hich

wou

ld re

sult

in a

br

each

of t

he e

qual

ity a

nd d

iver

sity

code

. LE

VEL

2a:

• Kn

owle

dge,

und

erst

andi

ng a

nd d

emon

stra

tion

of g

ood

inte

rnal

go

vern

ance

•

Know

ledg

e, u

nder

stan

ding

and

app

licat

ion

of sy

stem

s, p

roce

dure

s an

d re

port

ing

to m

onito

r com

plia

nce

• Ap

plic

atio

n of

mon

itorin

g eq

ualit

y an

d di

vers

ity, b

oth

in th

e w

orkp

lace

and

in th

e se

lect

ion

of e

xter

nal r

esou

rces

. LE

VEL

2b:

• Kn

owle

dge,

und

erst

andi

ng a

nd im

plem

enta

tion

of p

roce

dure

s to

revi

ew a

nd te

st sy

stem

s put

in p

lace

to m

eet t

he o

utco

mes

of t

he

CILE

x pr

actic

e ru

les (

incl

udin

g m

anag

emen

t of u

nder

taki

ngs,

cos

t in

form

atio

n, fi

le re

view

s, c

lient

car

e, re

ferr

al a

rran

gem

ents

and

co

nflic

ts o

f int

eres

t •

Abili

ty to

iden

tify

whe

n a

fee

earn

er h

as u

nder

take

n w

ork

in th

e ab

senc

e of

suffi

cien

t res

ourc

es a

nd o

utsid

e th

eir c

ompe

tenc

e •

Abili

ty to

dra

ft p

olic

ies w

hich

pro

mot

e eq

ualit

y an

d di

vers

ity

• Ab

ility

to d

raft

app

ropr

iate

safe

guar

ds fo

r the

issu

ing

of

unde

rtak

ings

and

the

cons

eque

nces

of n

ot fu

lfilli

ng th

e cr

eate

d ob

ligat

ion

• Kn

owle

dge

and

unde

rsta

ndin

g of

the

diffe

renc

e be

twee

n an

in

trod

uctio

n an

d a

refe

rral

•

Know

ledg

e, u

nder

stan

ding

and

abi

lity

to d

raft

an

outs

ourc

ing

polic

y.


93

Le

arni

ng O

utco

me

An a

pplic

ant s

eeki

ng p

ract

ice

right

s mus

t de

mon

stra

te:

Supp

ortin

g Ev

iden

ce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e to

:

CILE

X PR

ACTI

CE R

ULE

S (C

OM

MU

NIC

ATIO

N)

Dem

onst

rate

the

abili

ty to

com

mun

icat

e th

e re

quire

men

ts o

f the

CIL

Ex p

ract

ice

rule

s ap

prop

riate

ly

FILE

MAN

AGEM

ENT

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd

appr

opria

te a

pplic

atio

n of

goo

d fil

e m

anag

emen

t

LEVE

L 1:

• Ab

ility

to e

stab

lish

good

rela

tions

hips

with

clie

nt a

nd th

ird p

artie

s,

incl

udin

g th

e ab

ility

to a

dapt

the

styl

e, m

ediu

m o

r met

hod

of

com

mun

icat

ion

for a

div

erse

rang

e of

clie

nts t

o id

entif

y th

e cl

ient

’s

obje

ctiv

e(s)

•

Abili

ty to

com

mun

icat

e to

the

clie

nt h

ow le

gal s

ervi

ces w

ill b

e pr

ovid

ed in

clud

ing

expe

cted

tim

e fr

ame,

wha

t the

clie

nt m

ust d

o an

d du

ties a

nd o

blig

atio

ns a

pplic

ant w

ill c

arry

out

•

Abili

ty to

dra

ft a

lett

er w

hich

iden

tifie

s the

clie

nt’s

obj

ectiv

es a

nd

advi

ses t

hem

of t

he ri

ght t

o co

mpl

ain

• Ab

ility

to c

omm

unic

ate

to e

nsur

e th

e cl

ient

is k

ept u

p to

dat

e w

ith

prog

ress

of a

mat

ter a

nd a

dvise

who

is d

ealin

g w

ith th

e m

atte

r, in

clud

ing

the

stat

us o

f tha

t per

son.

LE

VEL

2b:

• Ab

ility

to c

omm

unic

ate

valu

es to

all

staf

f whi

ch p

rom

ote

clie

nt

outc

omes

, tra

nspa

renc

y of

cos

ts

• Ab

ility

to m

anag

e cl

ient

exp

ecta

tions

and

eva

luat

e ov

eral

l clie

nt

satis

fact

ion.

LE

VEL

1:

• Kn

owle

dge

and

unde

rsta

ndin

g of

exa

mpl

es o

f key

dat

es a

nd th

e m

etho

ds w

hich

cou

ld b

e us

ed in

reco

rdin

g su

ch d

ates

in a

dia

rised

sy

stem

and

on

the

clie

nt’s

file

•

Abili

ty to

iden

tify

and

reco

rd k

ey d

ates

. LE

VEL

2a:

• Kn

owle

dge

and

unde

rsta

ndin

g of

the

elem

ents

of a

goo

d ca

se

man

agem

ent s

yste

m, i

nclu

ding

the

pote

ntia

l ben

efits

•

Abili

ty to

impl

emen

t and

ope

rate

a c

ase

man

agem

ent s

yste

m,

incl

udin

g fo

r use

as a

supe

rvisi

on a

nd c

ompl

ianc

e m

onito

ring

tool


94

Le

arni

ng O

utco

me

An a

pplic

ant s

eeki

ng p

ract

ice

right

s mus

t de

mon

stra

te:

Supp

ortin

g Ev

iden

ce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e to

:

• Ab

ility

to d

esig

n an

d im

plem

ent a

file

clo

sure

pro

cedu

re.

LEVE

L 2b

: •

Abili

ty to

cre

ate

and

perf

orm

a fi

le re

view

pro

cess

cov

erin

g bo

th

lega

l and

adm

inist

rativ

e ob

ligat

ions

•

Abili

ty to

par

ticip

ate

signi

fican

tly in

the

succ

essf

ul a

pplic

atio

n of

an

accr

edita

tion

stan

dard

. El

emen

t 3

MAN

AGEM

ENT

OF

A LE

GAL

ENTI

TY

EX

TERN

AL IN

FLU

ENCE

S De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

impa

ct

of e

xter

nal i

nflu

ence

s on

a bu

sine

ss

INTE

RNAL

INFL

UEN

CES

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd

appr

opria

te a

pplic

atio

n of

inte

rnal

influ

ence

s whi

ch

can

affe

ct a

bus

ines

s

LEVE

L 1:

•

Know

ledg

e an

d un

ders

tand

ing

of re

cent

and

/or c

urre

nt e

xter

nal

issue

s fac

ing

busin

ess/

lega

l ent

ities

•

Know

ledg

e an

d un

ders

tand

ing

of th

e im

pact

of i

nfla

tion,

how

this

impa

cts o

n bu

sines

s and

act

ions

whi

ch c

an b

e ta

ken

to

coun

terb

alan

ce th

is.

LE

VEL

2a:

• Ab

ility

to a

sses

s the

impa

ct o

f the

cur

rent

eco

nom

ic e

nviro

nmen

t. LE

VEL

2b:

• Kn

owle

dge,

und

erst

andi

ng a

nd a

bilit

y to

iden

tify

pend

ing

legi

slatio

n or

pro

fess

iona

l cha

nges

whi

ch c

ould

affe

ct th

e bu

sines

s.

LEVE

L 1:

•

Know

ledg

e an

d un

ders

tand

ing

of th

e in

tern

al in

fluen

ces w

hich

a

busin

ess i

s lik

ely

to fa

ce a

nd e

ffect

ive

way

s of c

ontr

ollin

g th

em.

LEVE

L 2a

: •

Abili

ty to

dev

elop

a c

ultu

re o

f acc

ount

abili

ty, c

ompl

ianc

e an

d op

enne

ss fo

r the

bus

ines

s •

Abili

ty to

man

age

a te

am.


95

Le

arni

ng O

utco

me

An a

pplic

ant s

eeki

ng p

ract

ice

right

s mus

t de

mon

stra

te:

Supp

ortin

g Ev

iden

ce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e to

:

RISK

MAN

AGEM

ENT

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd

appr

opria

te a

pplic

atio

n of

risk

man

agem

ent

CON

TIN

GEN

CY P

LAN

NIN

G De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

ap

plic

atio

n of

bas

ic c

ontin

genc

y pl

anni

ng

PEO

PLE

MAN

AGEM

ENT

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd

appl

icat

ion

of g

ood

supe

rvis

ion;

incl

udin

g ap

prop

riate

man

agem

ent,

mot

ivat

ion

and

de

lega

tion

LEVE

L 1:

• Kn

owle

dge

and

unde

rsta

ndin

g of

the

diffe

rent

type

s of r

isk

affe

ctin

g a

busin

ess

• Ab

ility

to id

entif

y ex

ampl

es o

f risk

s and

to id

entif

y ho

w th

ese

risks

ca

n be

man

aged

. LE

VEL

2a:

• Ab

ility

to re

spon

d to

risk

s •

Know

ledg

e an

d un

ders

tand

ing

of c

olle

ctio

n, re

view

, eva

luat

ion

and

man

agem

ent o

f risk

•

Abili

ty to

pro

duce

a ri

sk m

anag

emen

t pol

icy

• Kn

owle

dge,

und

erst

andi

ng a

nd im

plem

enta

tion

of a

ppro

pria

te

supe

rvisi

on

• Kn

owle

dge

and

unde

rsta

ndin

g of

the

prin

cipl

es su

ppor

ting

dele

gatio

n.

LEVE

L 2b

: •

Know

ledg

e an

d un

ders

tand

ing

of th

e ke

y co

nten

ts o

f an

effe

ctiv

e co

ntin

genc

y pl

an, a

nd th

e ne

ed fo

r reg

ular

revi

ew

• Ab

ility

to d

raft

a c

ontin

genc

y pl

an

• Ab

ility

to te

st a

con

tinge

ncy

plan

. LE

VEL

1:

• Kn

owle

dge

and

unde

rsta

ndin

g of

the

nega

tive

effe

cts o

f poo

r m

anag

emen

t •

Abili

ty to

man

age

and

mot

ivat

e ot

hers

. LE

VEL

2a:

• Ab

ility

to id

entif

y th

e lin

k be

twee

n lo

w m

otiv

atio

n an

d lo

w

prod

uctio

n •

Know

ledg

e, u

nder

stan

ding

and

app

licat

ion

of p

roce

dure

s to


96

Le

arni

ng O

utco

me

An a

pplic

ant s

eeki

ng p

ract

ice

right

s mus

t de

mon

stra

te:

Supp

ortin

g Ev

iden

ce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e to

:

PRO

JECT

MAN

AGEM

ENT

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd

appl

icat

ion

of p

lann

ing,

con

trol

, man

agin

g an

d ev

alua

ting

a pr

ojec

t suc

cess

fully

IN

FORM

ATIO

N T

ECHN

OLO

GY (I

T)

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd

appl

icat

ion

of IT

in a

lega

l env

ironm

ent

man

age

and

mot

ivat

e•

Abili

ty to

use

spec

ific,

mea

sura

ble,

ach

ieva

ble,

rela

tive,

tim

e bo

und

obje

ctiv

es to

del

egat

e •

Abili

ty to

enc

oura

ge a

cul

ture

of c

ontin

uous

impr

ovem

ent.

LEVE

L 2a

: •

Know

ledg

e an

d un

ders

tand

ing

of th

e ne

ed fo

r a p

roje

ct p

lan

and

the

elem

ents

whi

ch sh

ould

be

incl

uded

in th

e pl

an

• Ab

ility

to a

pply

thes

e el

emen

ts to

allo

w fo

r suc

cess

ful p

roje

ct

man

agem

ent

• Ab

ility

to e

valu

ate

the

succ

ess o

f the

pro

ject

. LE

VEL

1:

• Kn

owle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

bes

poke

third

par

ty

soft

war

e to

com

plet

e pr

escr

ibed

ele

ctro

nic

appl

icat

ions

/sub

miss

ions

. LE

VEL

2a:

• Kn

owle

dge

and

unde

rsta

ndin

g of

the

use

of IT

in m

onito

ring

com

plia

nce

and

unde

rsta

nd it

s adv

anta

ges,

incl

udin

g as

a ti

me

savi

ng d

evic

e.

El

emen

t 4

BUSI

NES

S AC

UMEN

STRA

TEGY

De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

ap

prop

riate

app

licat

ion

of st

rate

gy a

nd th

e us

e of

a

busi

ness

pla

n to

und

erpi

n th

at st

rate

gy

LEVE

L 1:

•

Know

ledg

e an

d un

ders

tand

ing

of a

stra

tegy

•

Abili

ty to

per

form

an

anal

ysis

whi

ch id

entif

ies t

he st

reng

ths,

wea

knes

ses,

opp

ortu

nitie

s and

thre

ats (

SWO

T an

alys

is) o

f/to

the

busin

ess

• Kn

owle

dge

and

unde

rsta

ndin

g of

how

a c

ompe

titiv

e ad

vant

age

arise

s and

how

a fi

rm c

an d

iffer

entia

te th

emse

lves

from


97

Le

arni

ng O

utco

me

An a

pplic

ant s

eeki

ng p

ract

ice

right

s mus

t de

mon

stra

te:

Supp

ortin

g Ev

iden

ce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e to

:

MAR

KETI

NG

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd

appl

icat

ion

of a

mar

ketin

g st

rate

gy w

hich

supp

orts

th

e bu

sine

ss p

lan

PRO

FITA

BLIT

Y De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

com

petit

ors.

LEVE

L 2b

: •

Impl

emen

tatio

n an

d cr

eatio

n of

stra

tegy

•

Know

ledg

e, u

nder

stan

ding

and

app

licat

ion

of li

kely

tren

ds e

vide

nt

follo

win

g ch

ange

s to

inte

rnal

and

ext

erna

l inf

luen

ces a

nd u

se th

ese

to id

entif

y a

firm

’s c

urre

nt m

arke

t pos

ition

•

Know

ledg

e, u

nder

stan

ding

and

app

licat

ion

of th

e cr

itica

l suc

cess

fa

ctor

s (CS

F) o

f a b

usin

ess a

nd u

se th

ese

to id

entif

y th

e fa

ctor

s w

hich

are

like

ly to

be

criti

cal t

o th

e su

cces

s of t

he b

usin

ess.

LE

VEL

1:

• Kn

owle

dge

and

unde

rsta

ndin

g of

wha

t is m

eant

by

a m

arke

ting

mix

•

Abili

ty to

impl

emen

t and

eva

luat

e a

mar

ketin

g pl

an w

hich

supp

orts

th

e bu

sines

s pla

n •

Know

ledg

e an

d un

ders

tand

ing

of th

e im

port

ance

of a

web

site

(or

whe

re a

ppro

pria

te p

rovi

de a

ratio

nale

as t

o w

hy a

web

site

wou

ld

not m

eet c

lient

nee

ds).

LEVE

L 2b

: •

Abili

ty to

cre

ate

an e

ffect

ive

mar

ketin

g pl

an

• Kn

owle

dge

and

unde

rsta

ndin

g of

var

ious

met

hods

of s

ocia

l med

ia

• Ab

ility

to id

entif

y po

tent

ial b

enef

its o

f effe

ctiv

e us

e of

soci

al m

edia

•

Abili

ty to

iden

tify

the

pote

ntia

l risk

s pre

sent

ed b

y so

cial

med

ia

both

inte

rnal

ly a

nd e

xter

nally

. LE

VEL

1:

• Kn

owle

dge

and

unde

rsta

ndin

g of

wor

king

with

in b

udge

ts

• Kn

owle

dge

and

unde

rsta

ndin

g of

a c

ash

flow

fore

cast

.


98

Le

arni

ng O

utco

me

An a

pplic

ant s

eeki

ng p

ract

ice

right

s mus

t de

mon

stra

te:

Supp

ortin

g Ev

iden

ce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e to

:

appl

icat

ion

of a

ppro

pria

te to

ols t

o de

term

ine

prof

itabi

lity

LEVE

L 2a

:•

Abili

ty to

bud

get a

nd a

naly

se th

e va

rianc

es w

hich

aris

e th

roug

h a

give

n pe

riod

• Ab

ility

to c

reat

e a

cash

flow

fore

cast

and

upd

ate

it fo

r a g

iven

pe

riod

• Kn

owle

dge,

und

erst

andi

ng a

nd id

entif

icat

ion

of k

ey p

erfo

rman

ce

indi

cato

rs (K

PIs)

, inc

ludi

ng h

ow th

ese

can

be m

et a

nd u

sed

to

mea

sure

a fi

rm’s

succ

ess i

n co

mpa

rison

with

the

busin

ess s

trat

egy.

LEVE

L 2c

: •

Know

ledg

e an

d un

ders

tand

ing

of /a

nd a

bilit

y to

diff

eren

tiate

be

twee

n fix

ed a

nd v

aria

ble

cost

s and

dire

ct a

nd in

dire

ct c

osts

•

Know

ledg

e an

d un

ders

tand

ing

of th

e us

e of

app

ropr

iate

ratio

s and

fo

rmul

ae to

asc

erta

in a

n or

gani

satio

n’s o

vera

ll pr

ofita

bilit

y an

d de

part

men

t pro

fitab

ility

•

Abili

ty to

cal

cula

te 2

ratio

s to

assis

t in

asce

rtai

ning

ove

rall

prof

itabi

lity

• Ab

ility

to u

se a

ppro

pria

te fo

rmul

ae to

asc

erta

in a

dep

artm

ent’s

pr

ofita

bilit

y •

Know

ledg

e an

d un

ders

tand

ing

of w

hat i

s mea

nt b

y di

rect

, ind

irect

, fix

ed a

nd v

aria

ble

cost

s •

Know

ledg

e an

d un

ders

tand

ing

of w

hat i

s mea

nt b

y in

effic

ienc

ies

and

how

pro

cess

es c

an b

e m

easu

red

for v

alue

•

Abili

ty to

iden

tify

inef

ficie

ncie

s whi

ch w

ould

lead

to a

loss

of p

rofit

:


99

Anne

x 5

- IN

TRO

DU

CTI

ON

– A

CC

OU

NTS

The

entry

crit

eria

, lea

rnin

g ou

tcom

es a

nd e

vide

nce

of c

ompe

tenc

y st

ated

in th

is s

ched

ule

set o

ut:

• th

e le

vel o

f com

pete

ncy,

kno

wle

dge

and

unde

rsta

ndin

g re

quire

d to

kee

p th

e bo

oks

of a

ccou

nts

spec

ific

to a

lega

l ent

ity a

nd

to a

pply

a m

inim

um s

tand

ard

of a

ccou

ntan

cy fo

r a b

usin

ess

• th

e el

emen

ts re

quire

d to

evi

denc

e th

at le

vel o

f com

pete

ncy,

kno

wle

dge

and

unde

rsta

ndin

g

• th

e le

vel o

f com

pete

ncy

requ

ired

in th

e re

leva

nt s

kills

for t

his

area

of p

ract

ice

– to

acc

urat

ely

acco

unt f

or c

lient

s’ m

oney

, run

th

e fir

m’s

ow

n ac

coun

ts, a

pply

CIL

Ex

acco

unts

rule

s, b

ring

the

acco

unts

from

tria

l bal

ance

to p

rofit

and

loss

/bal

ance

she

et

acco

unt p

ositi

on

• th

e el

emen

ts re

quire

d to

evi

denc

e th

e re

quire

d le

vel o

f com

pete

nce

for t

hese

rele

vant

ski

lls

• a

stat

emen

t of t

he s

tudy

and

wor

k-ba

sed

expe

rienc

e th

at d

emon

stra

tes

that

an

appl

ican

t has

atta

ined

the

requ

ired

leve

l of

com

pete

nce,

kno

wle

dge

and

unde

rsta

ndin

g in

all

the

requ

ired

elem

ents

.

Cer

tific

atio

n of

acc

ount

s w

ill en

sure

that

the

appl

ican

t has

: •

met

the

appl

icat

ion

requ

irem

ents

• an

app

ropr

iate

leve

l of e

xper

tise

to m

anag

e th

e fir

ms

acco

unts

and

fina

nces

to a

n ac

cept

able

sta

ndar

d

• an

app

ropr

iate

leve

l of k

now

ledg

e an

d ap

prec

iatio

n of

the

key

feat

ures

of p

rote

ctin

g cl

ient

’s m

oney

, effe

ctiv

e bi

lling

and

effic

ient

fina

ncia

l man

agem

ent

• th

e ap

prop

riate

leve

l of k

now

ledg

e an

d sk

ill to

per

form

dou

ble

entry

boo

king

, rai

se a

val

id in

voic

e an

d a

thre

e w

ay b

ank

reco

ncili

atio

n.


100

Le

arni

ng O

utco

me

An a

pplic

ant m

ust m

eet t

he fo

llow

ing

outc

omes

:

Supp

ortin

g Ev

iden

ce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e to

: Q

UAL

IFIC

ATIO

N C

RITE

RIA

• KN

OW

LEDG

E •

UN

DERS

TAN

DIN

G •

EXPE

RIEN

CE

• SK

ILLS

• Ha

s suf

ficie

nt p

ract

ical

kno

wle

dge,

un

ders

tand

ing,

exp

erie

nce

and

skill

s – n

ote

thes

e ar

e di

ffere

nt d

epen

ding

of t

he ro

le o

f th

e ap

plic

ant

Dem

onst

rate

they

mee

t the

out

com

es se

t out

bel

ow b

y:

•

atte

ndan

ce o

n a

cour

se, o

r •

prac

tical

exp

erie

nce

Th

e ou

tcom

es a

re sp

lit in

to th

e fo

llow

ing

leve

ls:

•

Leve

l 1 -

man

dato

ry fo

r all

appl

ican

ts

• Le

vel 2

a - m

anda

tory

for c

ompl

ianc

e m

anag

ers

• Le

vel 2

b - m

anda

tory

for c

ompl

ianc

e m

anag

er u

nder

taki

ng p

ract

ice

man

agem

ent

• Le

vel 2

c - m

anda

tory

for c

ompl

ianc

e m

anag

er u

nder

taki

ng a

ccou

nts

man

agem

ent

Q

UAL

IFIC

ATIO

N C

RITE

RIA

Elem

ent 1

CI

LEX

ACCO

UNTS

RU

LES

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd w

here

ap

prop

riate

app

ly th

e ru

les a

nd re

gula

tions

rela

ting

to th

e ha

ndlin

g of

clie

nt m

oney

LEVE

L 1:

•

Know

ledg

e an

d un

ders

tand

ing

of th

e ac

coun

ts ru

les

• Ab

ility

to c

ompl

ete

a th

ree

way

ban

k re

conc

iliat

ion

to a

ccur

atel

y ac

coun

t for

all

clie

nt m

oney

•

Abili

ty to

reco

rd a

nd a

ccou

nt fo

r clie

nt m

oney

, ens

urin

g it

is ba

nked

pr

ompt

ly a

nd n

ot le

ft un

atte

nded

or u

nsec

ure

• U

nder

stan

d th

e im

port

ance

of t

he a

udit

trai

l and

ens

ure

ther

e is

a cl

ear a

udit

trai

l •

Und

erst

and

the

need

to k

eep

clie

nt m

oney

safe

and

sepa

rate

from

th

at o

f the

bus

ines

s •

Know

ledg

e an

d un

ders

tand

ing

of th

e sit

uatio

ns w

here

it is

fair

and

reas

onab

le to

acc

ount

for i

nter

est t

o th

e cl

ient

•

Know

ledg

e an

d un

ders

tand

ing

of m

oney

hel

d as

an

agen

t/st

akeh

olde

r •

Know

ledg

e, u

nder

stan

ding

and

app

licat

ion

of th

e in

tern

al p

olic

y on

w

ho c

an w

ithdr

aw m

oney

•

Know

ledg

e an

d un

ders

tand

ing

of w

hat i

s mea

nt b

y tr

ust m

oney

and


101

Le

arni

ng O

utco

me

An a

pplic

ant m

ust m

eet t

he fo

llow

ing

outc

omes

:

Supp

ortin

g Ev

iden

ce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e to

: an

indi

vidu

al’s

lega

l res

pons

ibili

ty a

s a tr

uste

e. LE

VEL

2a:

• Ab

ility

to a

pply

con

trol

s to

safe

guar

d cl

ient

mon

ey

• Co

mm

unic

ate

know

ledg

e an

d un

ders

tand

ing

of th

e ac

coun

ts ru

les t

o st

aff t

o en

sure

com

plia

nce

• U

nder

stan

d th

e di

ffere

nce

betw

een

clie

nt m

oney

and

clie

nt a

ccou

nt.

LEVE

L 2c

: •

Abili

ty to

dra

ft, i

mpl

emen

t and

test

robu

st in

tern

al c

ontr

ols,

in

clud

ing

who

can

with

draw

clie

nt m

oney

and

be

able

to d

istin

guish

be

twee

n a

mat

eria

l and

non

-mat

eria

l bre

ach

• Ab

ility

to p

erfo

rm a

n in

tern

al a

udit

• Ab

ility

to d

raft

, im

plem

ent a

nd c

omm

unic

ate

a fa

ir an

d re

ason

able

in

tere

st p

olic

y

• Ab

ility

to m

ake

a ca

lcul

atio

n of

inte

rest

•

Ensu

re fi

les a

re c

lose

d in

a ti

mel

y m

anne

r and

surp

lus f

unds

are

re

turn

ed p

rom

ptly

•

Abili

ty to

dra

ft, i

mpl

emen

t and

per

iodi

cally

revi

ew a

com

plia

nce

regi

ster

and

mai

ntai

n co

mpl

ete

reco

rds o

f all

brea

ches

•

Cont

rol t

he re

leas

e of

clie

nt b

ank

deta

ils o

utsid

e of

the

lega

l ent

ity

• Kn

owle

dge,

und

erst

andi

ng a

nd a

pplic

atio

n of

tim

e co

stin

g an

d un

ders

tand

ing

the

bene

fits o

f thi

s inf

orm

atio

n fo

r rep

ortin

g pu

rpos

es.

El

emen

t 2

GEN

ERAL

BO

OKK

EEPI

NG

DOUB

LE E

NTR

Y BO

OKK

EEPI

NG

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd

appl

icat

ion

of d

oubl

e en

try

book

keep

ing

LEVE

L 1:

•

Know

ledg

e an

d un

ders

tand

ing

of p

ostin

g en

trie

s to

the

clie

nt le

dger

ac

coun

t and

app

ropr

iate

cas

hboo

ks o

f a le

gal e

ntity

•

Know

ledg

e an

d un

ders

tand

ing

of a

bill

of c

osts

•

Know

ledg

e an

d un

ders

tand

ing

of a

tria

l bal

ance

.


102

Le

arni

ng O

utco

me

An a

pplic

ant m

ust m

eet t

he fo

llow

ing

outc

omes

:

Supp

ortin

g Ev

iden

ce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e to

:

FIN

ANCI

AL S

TATE

MEN

TS

Dem

onst

rate

kno

wle

dge

and

unde

rsta

ndin

g of

the

use

of fi

nanc

ial s

tate

men

ts

LEVE

L 2c

: •

Abili

ty to

pos

t ent

ries t

o cl

ient

ledg

er a

ccou

nt a

nd c

ashb

ooks

•

Abili

ty to

pro

duce

bill

of c

osts

•

Abili

ty to

pro

duce

tria

l bal

ance

.

LEVE

L 1:

•

Know

ledg

e an

d un

ders

tand

ing

of w

hen

it is

appr

opria

te to

pro

vide

th

e cl

ient

with

a fi

nanc

ial s

tate

men

t. LE

VEL

2c:

• Ab

ility

to p

rodu

ce c

lear

and

info

rmat

ive

finan

cial

stat

emen

ts w

hich

re

flect

the

clie

nt’s

pos

ition

and

whi

ch in

clud

e ba

lanc

es d

ue to

the

clie

nt o

r to

the

lega

l ent

ity

• Ab

ility

to d

raft

a fi

nanc

ial s

tate

men

t •

Know

ledg

e, u

nder

stan

ding

and

app

licat

ion

of ti

me

cost

ing

and

unde

rsta

ndin

g th

e be

nefit

s of t

his i

nfor

mat

ion

for r

epor

ting

purp

oses

. El

emen

t 3

FIN

ANCE

S

VALU

E AD

DED

TAX

(VAT

) De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

ap

prop

riate

app

licat

ion

of V

AT

LEVE

L 1:

• Kn

owle

dge

and

unde

rsta

ndin

g as

to h

ow to

cal

cula

te V

AT p

ayab

le

• Kn

owle

dge

and

unde

rsta

ndin

g of

a v

atab

le d

isbur

sem

ent a

nd a

re-

char

ge a

nd u

nder

stan

d th

e di

ffere

nce

betw

een

the

two.

LE

VEL

2c:

• Ab

ility

to p

ost a

vat

able

disb

urse

men

t and

a re

-cha

rge

to a

clie

nt

ledg

er

• Ab

ility

to p

erfo

rm a

par

tial e

xem

ptio

n ca

lcul

atio

n

• Ab

ility

to c

ompl

ete

a U

K VA

T re

turn

.


103

Le

arni

ng O

utco

me

An a

pplic

ant m

ust m

eet t

he fo

llow

ing

outc

omes

:

Supp

ortin

g Ev

iden

ce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e to

:

CRED

IT C

ON

TRO

L AN

D DE

BT C

OLL

ECTI

ON

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd

appr

opria

te a

pplic

atio

n of

the

crea

tion

of a

cre

dit

cont

rol p

olic

y N

OM

INAL

LED

GERS

De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

ap

prop

riate

app

licat

ion

of n

omin

al le

dger

s for

a le

gal

entit

y AC

COU

NTS

De

mon

stra

te k

now

ledg

e, u

nder

stan

ding

and

LEVE

L 1:

•

Know

ledg

e an

d un

ders

tand

ing

of h

ow c

redi

t con

trol

incl

udin

g bu

sines

s pay

men

t ter

ms a

nd d

ebt c

olle

ctio

n po

licie

s and

pro

cedu

res

are

crea

ted.

LEVE

L 2:

•

Abili

ty to

impl

emen

t and

com

mun

icat

e a

cred

it co

ntro

l pol

icy

incl

udin

g bu

sines

s pay

men

t ter

ms a

nd d

ebt c

olle

ctio

n po

licie

s and

pr

oced

ures

. LE

VEL

2c:

• Ab

ility

to c

reat

e a

cred

it co

ntro

l pol

icy

• Ab

ility

to c

reat

e an

d co

mm

unic

ate

a se

t of b

usin

ess t

erm

s and

co

nditi

ons r

elev

ant t

o a

lega

l ent

ity

• Ab

ility

to d

raft

deb

t col

lect

ion

proc

edur

es.

LEVE

L 1:

• Kn

owle

dge

and

unde

rsta

ndin

g of

mai

ntai

ning

a n

omin

al le

dger

•

Abili

ty to

pos

t a sm

all s

elec

tion

of n

on-v

atab

le e

ntrie

s to

a no

min

al

ledg

er

• Ab

ility

to e

xpla

in w

hat i

s mea

nt b

y ‘d

raw

ings

’ and

the

use

of th

e ca

pita

l and

cur

rent

acc

ount

s.

LEVE

L 2c

: •

Know

ledg

e, u

nder

stan

ding

and

abi

lity

to d

istin

guish

bet

wee

n pr

ofit

and

loss

ledg

ers a

nd a

bal

ance

shee

t nom

inal

ledg

er

• Ab

ility

to p

ost e

ntrie

s to

a no

min

al le

dger

. LE

VEL

1:

• Ab

ility

to re

ad a

nd in

terp

ret m

anag

emen

t rep

orts

whi

ch in

clud

e Pr

ofit

and

Loss

Acc

ount

s and

Bal

ance

She

et


104

Le

arni

ng O

utco

me

An a

pplic

ant m

ust m

eet t

he fo

llow

ing

outc

omes

:

Supp

ortin

g Ev

iden

ce

The

appl

ican

t will

nee

d to

pro

vide

evi

denc

e to

:

appl

icat

ion

of in

form

atio

n re

latin

g to

the

finan

cial

po

sitio

n of

a le

gal e

ntity

De

mon

stra

te o

utlin

e kn

owle

dge

and

unde

rsta

ndin

g of

taxa

tion

SET

OF

ACCO

UN

TS

Dem

onst

rate

kno

wle

dge,

und

erst

andi

ng a

nd

appr

opria

te a

pplic

atio

n of

the

crea

tion

and

inte

rpre

tatio

n of

acc

ount

s

• Ab

ility

to id

entif

y sig

nific

ant v

aria

tions

to th

e ac

coun

ts fr

om p

revi

ous

year

s.

LEVE

L 2a

: •

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•

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tand

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as i

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cor

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. LE

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. LE

VEL

1:

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it an

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ss a

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alan

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alan

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: •

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tify

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busin

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s unl

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mee

t its


105

Le

arni

ng O

utco

me

An a

pplic

ant m

ust m

eet t

he fo

llow

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outc

omes

:

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g Ev

iden

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appl

ican

t will

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denc

e to

: fo

rthc

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g lia

bilit

ies a

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hen

it is

appr

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te to

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ify IL

EX

Prof

essio

nal S

tand

ards

of t

his.

LE

VEL

2c:

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to p

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ce p

rofit

and

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ount

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alan

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• Ab

ility

to m

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nece

ssar

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nual

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int w

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sines

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nger

a g

oing

co

ncer

n.


107

ADMISSIONS AND LICENSING COMMITTEE RULES APPENDIX 3

APPENDIX 3

ADMISSIONS AND LICENSING COMMITTEE RULES

108


ADMISSIONS AND LICENSING COMMITTEE RULES 1. IPS shall establish an Admissions and Licensing Committee. 2. The Admissions and Licensing Committee shall:

♦ apply and monitor the Certification Rules for the reserved legal activity and

regulated legal activity schemes; ♦ consider and determine applications by applicants for reserved or regulated legal

activity rights referred to it;

♦ consider and determine applications for the renewal of advocacy certificates referred to it;

♦ consider and determine applications by prospective or current course providers

for accreditation or renewal of accreditation to provide courses referred to it by the Officer;

♦ consider whether or not an authorised person may continue to hold a Certificate

which authorises them to undertake a reserved or regulated legal activity;

♦ determine whether accreditation of a course provider to provide a course should be withdrawn;

♦ receive reports of inspections of courses from the external advisors and the

Officer; ♦ receive reports of the moderation of course assessments from the external

advisors; ♦ receive annual reports from course providers; ♦ submit an annual report to the IPS Board.

3. The Officers will report all decisions made by them to the Admissions and Licensing Committee.

4. Wherever the Officer is unable to make a decision or takes the view that the matter

requires Committee consideration they may refer the matter to the Admissions and Licensing Committee.

5. A person or organisation affected by any decision which the Admissions and Licensing

Committee makes pursuant to its powers under these Rules may apply for reconsideration of that decision. Any such person or organisation must lodge an application for reconsideration at the IPS offices within 20 working days of receiving written notification of the decision. The application must include written reasons why it

109


should be reconsidered. The applicant shall have a right to be heard by the Committee when it reconsiders their application.

6. Where an application is reconsidered by the Admissions and Licensing Committee it shall

have all the powers that were available to it at the original consideration of the application.

7. An appeal may be made against the decision reached by the Admissions and Licensing

Committee in accordance with Rule 5. Appeals will be considered by an Appeal Panel comprising a professional member and two lay members drawn from the panel of lay and professional members appointed to serve on IPS’ appeal bodies under the Investigation, Disciplinary and Appeal Rules (IDAR). The Appeal Panel will have available to it all the powers available to the Admissions and Licensing Committee at the original consideration of the application.

8. The Admissions and Licensing Committee shall report annually to the IPS Board on its

work during the preceding calendar year, and make such recommendations as it thinks fit concerning the operation of the scheme Rules falling within its remit.

9. The Admissions and Licensing Committee will comprise:

• Fellows of CILEx; and • Independent members, at least 1 of whom shall have knowledge or experience of

consumer issues Who are not be members of CILEx Council or the IPS Board and provided that the independent members are in the majority.

10. A Fellow who is a member of IPS’ Professional Conduct, Disciplinary or Appeals Panel

shall not be eligible to serve as a member of the Admissions and Licensing Committee.

11. Appointments of independent members and Fellows shall be made by the IPS Board.

12. Each independent member and Fellow will be appointed to the Admissions and Licensing Committee by IPS for a period of five years. Upon the termination of the five year period of their appointment the Board may reappoint them or make a new appointment.

13. No Fellow or independent member may serve more than two consecutive terms as a member of the Admissions and Licensing Committee. Where they fail without good reason to fulfil their duties set out in these Rules IPS may terminate their appointment whether or not they have completed their current term of office.

14. The external advisors shall be invited to attend meetings of the Admissions and Licensing Committee. Where necessary the Committee may seek advice on matters under its consideration from other persons or sources.

15. At least three members of the Admissions and Licensing Committee must be present at a

meeting to constitute a quorum. The external advisors will not form part of the quorum.

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16. The Admissions and Licensing Committee will appoint one of its members as Chair. The Chair will be appointed for a period of one year. The Chair will be eligible for reappointment, but may not serve as Chair for more than three consecutive years.

17. Decisions of the Admissions and Licensing Committee will be reached by a majority vote.

In the case of an equality of votes the Chair shall have a casting vote. External advisors may not vote on any matter at a meeting.

18. The Admissions and Licensing Committee shall meet at least once each year. Subject to

this, where the Committee deems it appropriate it may consider applications and any other matter by way of a postal agenda or telephone conference.

19. IPS shall have the power to pay fees to members of the Admissions and Licensing

Committee and shall from time to time, determine the amount and basis of payments of such fees.

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AUTHORISATION RULES APPENDIX 4

APPENDIX 4

AUTHORISATION RULES

112


IPS AUTHORISATION RULES Interpretation 1. In these rules, unless otherwise provided:

the Act: means the Legal Services Act 2007; Applicant Body: means a partnership, company or sole principal

which applies to be authorised by IPS to provide one or more regulated legal activities;

Approved Manager: means a person who is approved by IPS to be a Manager in an Authorised Body;

Authorised Body: means a partnership, company or sole principal authorised by IPS to provide one or more regulated legal activities;

Authorised Person: has the same meaning as in s.18 of the Act; CILEx: means the Chartered Institute of Legal Executives;Compliance Manager: means an Approved Manager who has lead

responsibility for ensuring that an Authorised Body, its Authorised Persons, Managers, employees and sub-contractors comply with the CILEx Code of Conduct and IPS Rules;

IDAR: means the IPS Investigation, Disciplinary and Appeals Rules;

IPS: means ILEX Professional Standards Ltd; regulated legal activity: means:

(a) a reserved legal activity; or (b) immigration advice or immigration services;

reserved legal activity: has the same meaning as in the Act. Applications 2. (1) An Applicant Body must make an application for authorisation in the form

prescribed by IPS. (2) An Applicant Body must ensure that any information it provides to IPS is

complete and accurate. It must inform IPS of any change which occurs to the information it has provided in support of its application.

(3) An Applicant Body must have a practising address in England or Wales. (4) An Applicant Body must undertake to comply with the requirements of the CILEx

Code of Conduct and IPS Rules including the Indemnity Insurance Rules and Compensation Fund Rules.

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(5) An Applicant Body has a duty to declare prior conduct relating to the body, any of its Managers and any other person connected to or associated with that body. For this purpose prior conduct has the same meaning as in IDAR.

(6) IPS will consider an application and notify the Applicant Body of its decision

within a timescale specified by IPS. (7) In carrying out an assessment of the application for authorisation IPS may visit an

Applicant Body to obtain further information. IPS will consider a visit as part of the application of its Risk Assessment Framework.

Application decisions and determination criteria 3. (1) Once IPS has considered an application it will either:

(a) grant Authorisation; or (b) refuse Authorisation.

(2) In determining any application IPS will be guided by its Risk Assessment Framework and the Regulatory Objectives under the Act. Before it reaches a decision it may require an Applicant Body to provide additional information.

(3) If IPS decides that an Applicant Body has failed to meet, or may be unlikely to

meet any of the requirements set out in the CILEx Code of Conduct or IPS Rules, IPS may require the Applicant Body to meet specified compliance requirements or agree to meet specified conditions. IPS will make such assessments using its Risk Assessment Framework.

(4) IPS may grant Provisional Authorisation to an Applicant Body until it obtains

Professional Indemnity Insurance which satisfies the requirements of the IPS Indemnity Insurance Rules. In that event, the Applicant Body must obtain insurance under those rules before it will be authorised to practise as an Authorised Body. The Applicant Body will not become an Authorised Body until that condition is met.

(5) Where an Applicant Body is authorised, IPS will specify any limitations on

authorisation which will include whether authorisation is restricted to one or more specific regulated legal activities.

(6) IPS may only grant an application for authorisation if:

(a) the Applicant Body includes at least one person who is an Approved Manager and, where the Applicant Body seeks to carry out one or more regulated legal activities, who is an Authorised Person authorised to carry out one or more of those regulated legal activities;

(b) the Applicant Body has a practising address in England or Wales; (c) IPS is satisfied that upon authorisation the Applicant Body will be able to

comply with IPS Rules and the CILEx Code of Conduct; (d) IPS is satisfied that the Applicant Body's management and governance

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arrangements are adequate to effectively manage risk and safeguard the Regulatory Objectives;

(e) IPS is satisfied that the Applicant Body will be able to meet any specified compliance requirements or conditions placed on it including the condition specified at Rule 3(4).

Terms of authorisation 4. (1) Authorisation is granted for an indefinite period.

(2) An Authorised Body must comply with the IPS Indemnity Insurance Rules and IPS

Compensation Fund Rules. (3) An Authorised Body must have an Approved Manager and, where the body is

authorised to carry out any regulated legal activities, that Approved Manager must be an Authorised Person who is authorised to carry out those regulated legal activities.

(4) An Authorised Body that wishes to conduct any regulated legal activity other

than one forming part of its original authorisation must, before doing so, apply to IPS for a modification to its authorisation. Any application for such a modification must be made in the form prescribed by IPS. IPS will assess any such application: (a) as if it was an application for authorisation under these Rules: and (b) by reference to its Risk Assessment Framework; and will notify the Authorised Body of its decision within a timescale specified by IPS.

(5) An Authorised Body must notify IPS of any material change that may affect its

ability to comply with these Rules, any other IPS Rules or the CILEx Code of Conduct. Notification must be made before any change takes place or, where this is not possible, as soon as reasonably practicable. Failure to do so will constitute a material breach of these rules and IPS reserves the right to revoke authorisation in such circumstances.

(6) An Authorised Body, its Approved Managers and Authorised Persons are subject

to the CILEx Code of Conduct and all applicable IPS Rules. (7) IPS may require an Authorised Body to meet specified compliance requirements

or agree to specified conditions if it decides that the Authorised Body has failed or may be unlikely to meet any of the requirements of the CILEx Code of Conduct or IPS Rules. IPS will make such assessments using its Risk Assessment Framework.

(8) IPS may revoke Authorisation if:

(a) an Authorised Body no longer has an Approved Manager; (b) the Approved Manager of an Authorised Body is no longer authorised to

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carry out the regulated legal activity or regulated legal activities IPS has authorised it to carry out;

(c) an Authorised Body no longer has a practising address in England or Wales; (d) IPS is no longer satisfied that an Authorised Body is able to comply with the

CILEx Code of Conduct or applicable IPS Rules; (e) an Authorised Body's management or governance arrangements are

deemed by IPS to be no longer adequate to manage risk effectively or safeguard the Regulatory Objectives.

(9) IPS may also revoke Authorisation if it determines that the Authorised Body is in

breach of the CILEx Code of Conduct or any IPS Rules. Any such breach will be determined by IPS and will include, but not be limited to, the following: (a) an Authorised Body has failed to meet compliance requirements or

conditions specified by IPS; (b) an Authorised Body has provided inaccurate or misleading information or

there has been a material omission, delay, or failure to provide information to IPS;

(c) for any other reason IPS considers that it would be contrary to the public interest or otherwise inconsistent with the Regulatory Objectives to allow authorisation to continue.

(10) The requirements relating to the revocation of authorisation including the timing

of any decision to revoke authorisation will be determined by the relevant Panel or Tribunal under IDAR.

(11) An Authorised Body must inform IPS as soon as reasonably practicable if that

body or any Authorised Person or Approved Manager is subject to any matter identified in Rule 11 of IDAR (prior conduct).

(12) Where any individual designated as an Approved Manager is no longer employed

by an Authorised Body or can no longer carry out their role as an Approved Manager, the Authorised Body must inform IPS as soon as reasonably practicable prior to this change taking place, or where this has not been possible within 28 days of the change taking place.

(13) If a change specified in Paragraph (12) applies to a Compliance Manager the

Authorised Body must provide IPS with details of the replacement Compliance Manager as soon as reasonably practicable. If the replacement Compliance Manager is not an Approved Manager, the individual must apply to IPS to be designated as an Approved Manager and specify their designation as Compliance Manager.

(14) An Authorised Body must at all times have suitable arrangements in place to

ensure that: (a) its Authorised Persons, Managers, and employees comply with the duties

imposed by the CILEx Code of Conduct and all other IPS Rules which apply to them;

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(b) Arrangements for ensuring that they do not employ any person disqualified from being employed in an Authorised Body providing legal services;

(15) The Authorised Body must supply any information required by IPS which IPS

deems necessary in order to carry out periodic risk assessment and review in support of its regulatory duties.

(16) Authorised Bodies will be required to provide Annual Returns. IPS will determine

the format and information requirements for such returns. (17) A failure to supply a completed Annual Return within the timescale specified by

IPS will constitute a breach of Paragraph (9)(b). (18) An Authorised Body must pay IPS the periodic fee(s) of such amounts and at such

times as IPS may prescribe Managers and the Compliance Manager 5. (1) An Authorised Body must have at least one Manager. All Managers must apply

to be designated as Approved Managers by IPS. One Manager must also be designated as Compliance Manager and must consent to being designated as such.

(2) IPS will determine, in accordance with Rule 6, whether a Manager or Compliance

Manager in an Authorised Body is fit and proper to hold that post. (3) When applying to be an Authorised Body, and after any authorisation has been

granted, an Authorised Body must undertake not to employ any person who is disqualified from being employed in an Authorised Body providing legal services, or designate in the role of Manager or Compliance Manager any person who is disqualified from performing any of those roles or any similar role within an Authorised Body.

(4) An Authorised Body must have suitable arrangements in place to ensure that the

Compliance Manager is able to discharge their duties in accordance with the CILEx Code of Conduct and these and all other IPS Rules. A Compliance Manager may be assisted by others in undertaking compliance duties but cannot delegate overall responsibility for compliance to any other person.

(5) IPS may withdraw Approved Manager designation from an individual if IPS

deems that the individual is no longer fit and proper to carry out that role. IPS will provide the Authorised Body and the individual with written reasons for its decision.

(6) The Compliance Manager must take all reasonable steps to:

(a) comply with the CILEx Code of Conduct, IPS Accounts Rules, and any other relevant rules set by IPS and CILEx;

117


(b) ensure compliance with any statutory obligations of the body, its Managers and employees in relation to the body's carrying on of authorised activities;

(c) record any material compliance failures and notify IPS as soon as reasonably practicable. Material failures will include any breach or pattern of breaches of the CILEx Code of Conduct, the IPS Accounts Rules or any other Rules set by IPS and CILEx. A material failure will also include the failure to inform IPS if the Authorised Body is in financial difficulty;

(d) record any compliance failures and make such records available to IPS on request and in any event at least annually as part of the annual return submitted to IPS.

Fit and proper test 6. (1) In determining whether an Approved Manager is fit and proper for the purpose

of these Rules, IPS will consider the person’s character, suitability, fitness and propriety having regard to: (a) the person’s ability to comply with the professional principles in section

1(3) of the Act; and (b) The factors set out in Paragraph (2)

(2) The factors are whether the person:

(a) has been convicted of a criminal offence: (i) for which a term of imprisonment was imposed; (ii) involving dishonesty or fraud; (iii) involving perjury or other offences relating to the administration of

justice; (iv) involving serious violence.

(b) has been the subject of an adverse regulatory finding involving: (i) material breach of regulatory requirements; (ii) failure to provide information or the provision of false information; (iii) refusal, suspension or withdrawal of regulated status;

(c) has been declared bankrupt, entered into any individual voluntary arrangements, been the subject of a court judgement for debt;

(d) has been removed as or disqualified from being a company director or charity trustee;

(e) has been concerned in the management or ownership of any company which has been wound up or put into receivership or administration in circumstances of insolvency;

(f) has been the subject of a judgment of a civil court concerning any fraud, misrepresentation or conduct related to the administration of justice;

(g) has engaged in other conduct involving dishonesty, violence, discrimination, abuse of trust or financial impropriety or mismanagement.

Waivers 7. IPS may in its discretion waive any provision of these Rules for a particular

purpose or purposes.

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Regulatory Conflict 8. (1) If a conflict arises between a requirement imposed on an Authorised Body or on

an employee or Manager of the body by IPS as the regulator of that body, and on an individual Manager or employee of that body by another approved regulator, then the requirement imposed by IPS prevails over the requirement imposed by the other approved regulator.

(2) If a conflict arises between a requirement imposed on a non-IPS authorised body

or on an employee or Manager of that body by another approved regulator as the regulator of that body and on an individual Manager or employee of that firm by IPS, then the requirement imposed by the other approved regulator prevails over the requirement imposed by IPS.

Appeals 9. (1) An appeal may be made against any of the following decisions made by IPS under

these rules: (a) refusal of an application for Authorisation; (b) revocation of authorisation; (c) refusal of an application to be an Approved Manager; (d) withdrawal of Approved Manager designation from an individual;

(2) An appeal may be made by giving notice to the Appeals Panel established under

IDAR. (3) A notice under Paragraph (2) shall be addressed to the Appeals Panel at the

offices of IPS and shall: (a) state that it is a notice of appeal under this Rule; (b) include:

(i) the name and address of the appellant, (ii) the date, nature and other relevant details of the decision which is

the subject of the appeal (iii) a concise statement of the grounds of the appeal, and (iv) the name and address of the appellant's representative (if any) and

state whether correspondence concerning the appeal should be sent to the representative instead of the appellant;

(c) be signed by or on behalf of the appellant; (d) be accompanied by a copy of any documents on which the appellant

proposes to rely for the purposes of the appeal. (4) Rules 35(1), (2), (4) to (6), (8) and (9), 36 and 37 of IDAR shall apply to an appeal

made under these Rules. (5) Appeals shall normally be heard in private unless the appellant requests

otherwise.

119


(6) Having considered an appeal, the Appeals Panel may: (a) dismiss the appeal; (b) allow the appeal and quash the decision appealed against; or (c) substitute for the decision appealed against any other decision that

the IPS could have made;

and may make such ancillary orders, including orders for costs, as it considers just and appropriate.

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121

STRATEGIC RISK COMMITTEE RULES APPENDIX 5

APPENDIX 5

STRATEGIC RISK COMMITTEE RULES

122


STRATEGIC RISK COMMITTEE RULES

1. IPS shall establish a Strategic Risk Committee. 2. The Strategic Risk Committee shall:

• oversee the application of IPS risk based and outcomes focused regulatory strategy and its adaptation to meet changing market conditions;

• review operation of the risk framework and update/supplement risk rating

criteria; • determine how the framework should be applied across impact and

probability scoring ranges; • receive and review data from IPS risk operations and receive summaries on

risk data assessments on the wider market for legal services; • consider and decide whether to endorse decisions made by Operational Risk

Group Managers to reject authorisation; • consider and decide whether to endorse decisions made by Operational Risk

Group Managers to revoke authorisation; • consider and decide whether to endorse decisions made by Operational Risk

Group Managers to reject designation as an Approved Manager; • consider and decide whether to endorse decisions made by Operational Risk

Group Managers to withdraw designation as an Approved Manager. 3. A person or organisation (the applicant) affected by any decision which the Strategic

Risk Committee makes to reject an application for authorisation, revoke authorisation, reject an application for Approved Manager designation, or withdraw Approved Manager designation, may apply for reconsideration of that decision. Any such person or organisation must lodge an application for reconsideration at the IPS offices at Kempston Manor within 20 working days of receiving written notification of the decision. The application must include written reasons why it should be reconsidered. The applicant shall have a right to be heard by an Appeals Panel constituted under the Investigation Disciplinary and Appeals Rules (IDAR).

4. The Strategic Risk Committee shall report annually to the IPS Board on its work

during the preceding calendar year, and make such recommendations as it thinks fit concerning the operation of the Risk Framework falling within its remit.

5. The Strategic Risk Committee will comprise:

• Fellows of CILEx; and

123


• Independent members, at least 1 of whom shall have knowledge or experience of risk management

who shall not be members of CILEx Council or the IPS Board and provided that the independent members are in the majority.

6. A Fellow who is a member of IPS’ Professional Conduct, Disciplinary or Appeals Panel

shall not be eligible to serve as a member of the Strategic Risk Committee. 7. Appointments of independent members and Fellows shall be made by the IPS Board. 8. Each independent member and Fellow will be appointed to the Strategic Risk

Committee by IPS for a period of five years. Upon the termination of the five year period of their appointment the Board may reappoint them or make a new appointment.

9. No Fellow or independent member may serve more than two consecutive terms as a member of the Strategic Risk Committee. Where they fail without good reason to fulfil their duties set out in these Rules IPS may terminate their appointment whether or not they have completed their current term of office.

10. Where necessary the Strategic Risk Committee may seek advice on matters under its

consideration from other persons or sources. 11. At least three members of the Strategic Risk Committee must be present at a

meeting to constitute a quorum. 12. The Strategic Risk Committee will appoint one of its members as Chair. The Chair will

be appointed for a period of one year. The Chair will be eligible for reappointment, but may not serve as Chair for more than three consecutive years.

13. Decisions of the Strategic Risk Committee will be reached by a majority vote. In the

case of an equality of votes the Chair shall have a casting vote. 14. The Strategic Risk Committee shall meet at least once each year. Subject to this,

where the Committee deems it appropriate it may perform its functions by way of a postal agenda or telephone conference.

15. IPS shall have the power to pay fees to members of the Strategic Risk Committee and

shall from time to time, determine the amount and basis of payments of such fees.

124


125

CODE OF CONDUCT APPENDIX 6

APPENDIX 6

CODE OF CONDUCT

126


The CILEx Code of Conduct

This is the Code of Conduct (the Code) of the Chartered Institute of Legal Executives (CILEx) and its regulatory body, ILEX Professional Standards Limited (IPS). It sets out the principles to which CILEx members, CILEx practitioners and Authorised Bodies must adhere in their conduct, practice and professional performance, and the outcomes they must meet. Membership and regulated practice carry both privileges and responsibilities. They require that in your conduct, practice and professional performance you:

• develop and use your professional knowledge and skills for the benefit of those who use your services

• maintain good professional relationships with others

• act in a way that promotes confidence and trust in the legal professions and the provision of legal services.

Core Principles You must adhere to the following core principles in the work you do and the decisions you make. The principles also help the public to know the standards of behaviour that are expected of you. You must:

1. Uphold the rule of law and the impartial administration of justice.

2. Maintain high standards of professional and personal conduct and justify public trust in you, your profession and the provision of legal services.

3. Behave with honesty and integrity.

4. Comply with your legal and regulatory obligations and deal with your regulators and ombudsmen openly, promptly and co-operatively.

5. Act competently in the best interests of your client and respect client confidentiality.

6. Treat everyone fairly and without prejudice.

7. Ensure your independence is not compromised.

8. Act effectively and in accordance with proper governance and sound financial and risk management principles.

9. Protect client money and assets.

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Application You must comply with the Code whenever it applies to you. Your professional and personal conduct will be judged against it and a breach may lead to action being taken against you. Compliance with the Code will be taken into account in considering information which raises a question about your conduct, practice or professional performance. The Principles Explained Each core principle is supported by a series of outcomes. You must adhere to the principles and meet the outcomes. Where IPS provides guidance to the Code of Conduct, this is not exhaustive but is intended to help you to understand our expectations of you. Compliance with any guidance may not be an absolute requirement but you may be called upon to justify a departure from it if your behaviour is called into question Definitions In the Code: You and your means a CILEx member, CILEx practitioner or Authorised Body. 1. Uphold the rule of law and the impartial administration of justice. You must:

1.1 Understand and comply with your primary and overriding duty to the court, obey court orders and do nothing which would place you in contempt.

1.2 Not knowingly allow the court to be misled.

2. Maintain high standards of professional and personal conduct and justify public trust in you, your profession and the provision of legal services.

You must: 2.1 Advise your client of your professional status and that you are authorised to

practise and/or regulated by IPS. Where your practice is regulated by IPS your business communications must confirm that.

2.2 Not engage in any conduct that could undermine or affect adversely the confidence and trust placed in you and your profession by your client, your employer, professional colleagues, the public and others.

3 Behave with honesty and integrity.

You must: 3.1 Be honest in all your dealings and in all financial matters. 3.2 Not intentionally mislead anyone you deal with.

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3.3 Report to IPS without delay any suspicion that another has breached the Code unless bound by legal professional privilege or client confidentiality.

3.4 Report to the relevant authority any misconduct of another which falls to be regulated by that authority unless bound by legal professional privilege or client confidentiality.

3.5 Not hold yourself out as having a qualification or professional status that you do not possess.

4 Comply with your legal and regulatory obligations and deal with regulators and ombudsmen openly, promptly and co-operatively.

You must: 4.1 Understand and comply with the law and regulation applicable to you. 4.2 Take all practicable steps to ensure you can demonstrate that you have adhered to

the Core Principles and met the associated Outcomes. 4.3 Not place others in breach of any regulatory requirement or rule of professional

conduct. 4.4 Respond openly, promptly and co-operatively to communications from your

regulators and ombudsmen.

5 Act competently in the best interests of your client and respect client confidentiality.

You must: 5.1 Maintain a high level of competence in your legal work and ensure that your legal

knowledge is current and of sufficient depth for your role. 5.2 Identify and address any deficiencies in your knowledge or training, or that of your

staff, so as to maintain a level of competence and knowledge appropriate to the work and level of responsibility in which you or your staff are engaged.

5.3 Act only on matters that are within your competence. 5.4 Not act for a client in an area of law where you have insufficient knowledge or

experience. 5.5 Act on your client’s instructions except when to do so would involve a breach of the

law or this Code. 5.6 Not act in a matter where you do not have the right or are not authorised to act. 5.7 Adequately explain and agree with your client the terms upon which your services

are to be provided, including the extent of the services, payment and the likely or anticipated cost, outcome and timescale for the advice and services to be provided.

5.8 Provide prompt, clear and accurate information and advice to your client, advise them openly and honestly and keep them up to date with information they need about the work you are performing for them within agreed timescales.

5.9 Inform your client fully as to your complaints procedures including their right to refer a complaint to the Legal Ombudsman or IPS where appropriate.

5.10 Not charge a client for the cost of handling a complaint. 5.11 Where your practice is regulated by IPS, include in the terms of business with your

client, a statement that IPS is your regulator and may seek access to their papers and that, in these circumstances, you will grant IPS access unless the client objects.

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5.12 Maintain confidentiality in respect of your client’s affairs except where to do so would conflict with the law or the Code or where your client explicitly authorises you to disclose confidential information.

6 Treat everyone fairly and without prejudice

You must: 6.1 Ensure your business or your role within it, your business model, processes and

practices adequately: o assist consumers and clients to access justice and the full range of legal

services; and o provide each client with equal opportunity to secure a favourable outcome in

their matter, irrespective of their vulnerability or susceptibility to discrimination.

7 Ensure your independence is not compromised.

You must: 7.1 Not act or continue to act where there is a conflict of interest or a significant risk

that a conflict may arise. 7.2 Not act or continue to act for a client if you reasonably consider that they are

providing instructions under duress or undue influence, except where to withdraw from acting would be detrimental to the client’s interests.

7.3 Where instructions are provided by a third party, confirm them with your client to ensure they are your client’s own instructions.

7.4 Ensure that none of your commercial interests or financial arrangements adversely affect the independence of your advice or your ability to act impartially.

8 Act effectively and in accordance with proper governance and sound financial and risk management principles.

You must: 8.1 Maintain proper standards of work and keep accurate records. In matters such as

communications with clients, professional colleagues and others, your records should be contemporaneous and in any event must be made as soon as practicable thereafter.

8.2 Ensure that you properly supervise tasks that you have asked others to perform on your behalf, recognising that you remain accountable for any such work.

8.3 Ensure that anyone you ask to perform work on your behalf is appropriately qualified and authorised to perform it.

8.4 Ensure that clients’ matters are supervised and regularly checked by those with sufficient competence and experience to assess the quality of the work and to ensure issues identified are addressed.

8.5 Adhere to effective management, oversight and reporting structures.

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8.6 Comply with effective procedures to ensure compliance with your legal and regulatory obligations.

9 Protect client money and assets.

You must: 9.1 Identify, assess, manage and promptly address risks to money and assets entrusted

to you by clients and others. 9.2 Effectively monitor the financial stability of your business or your role within it, so

as to protect client money and assets from risks associated with the financial position of your business or the business of your employer.

Further Help & Guidance If you are unsure how this Code applies to you, contact IPS on 01234 845770 or info @ilexstandards.org.uk

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ACCOUNTS RULES APPENDIX 7

APPENDIX 7

ACCOUNTS RULES

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THE IPS ACCOUNTS RULES 1. Authority and Interpretation

1.1 CILEx has delegated to IPS responsibility for these rules. 1.2 A breach of these Rules may result in proceedings being instigated. 1.3 Definitions:

• Account Period: as defined in Rule 10 hereof; • Accounts Records: as defined in Rule 7 hereof; • Accountant’s Report: a statement from the Authorised Body’s Reporting

Accountant to confirm compliance with IPS Accounts Rules; • Authorised Body: any entity which is authorised and regulated by IPS; • Authorised Person: an “Authorised Person” under Section 18 of the Legal

Services Act 2007 in relation to a particular Reserved Legal Activity if that person is authorised to carry on that activity by a relevant approved Regulator;

• Client Account: an account at a bank or building society in England and Wales in the name of the Authorised Body and which includes in its title the words "Client Account". A Client Account may be an account pooling funds from more than one client or an account designated for a particular purpose;

• Client Money: money beneficially owned by anyone other than the Authorised Body;

• Designated Client Account: a deposit or share account for money relating to a single client and which includes in its title “client account”;

• Entity: any person or body providing or offering to provide legal services which may include any Regulated Legal Activity;

• Guidance: written guidance issued by IPS and describing itself as a Guidance on a given matter;

• CILEx: the Chartered Institute of Legal Executives; • CILEx Practitioner: means a practitioner authorised by IPS to provide one or

more regulated legal activity; • IPS: ILEX Professional Standards Ltd; • Office Account: an account at a bank or building society in England and Wales in

the name of an Authorised Body and which includes in its title the words "Office Account";

• Office Money: money beneficially owned by Authorised Body; • Reporting Accountant: as defined in Rule 13 hereof; • Regulated Legal Activity:

(a) a reserved legal activity within the meaning of the Legal Services 2007; or

(b) immigration advice or immigration services; • Regulated Practice: an entity regulated by an Approved Regulator under

the Legal Services Act 2007; and • You and Your: a CILEx member, CILEx Practitioner or an Authorised Body.

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2. Client Money 2.1 You must as soon as is practicable pay Client Money received into your Client

Account and only into that account unless: 2.1.1 the client gives written instructions for the cheque or cash to be held

as such for the client's own convenience; or 2.1.2 the money received represents unpaid professional disbursements

included in a payment of costs which may be paid into Office Account provided they are then disbursed within two working days.

2.2 You must use each client’s money for that client’s matter only. 2.3 Subject to rule 3.9 you may withdraw money from Client Account only upon the

instructions of the client to whom the money belongs. 2.4 You may withhold money from Client Account on the written authorisation of

IPS. IPS may impose a condition that you pay the money to a charity which gives an indemnity against any subsequent legitimate claim for the sum received.

2.5 You may transfer a client's money from Client Account to Office Account to settle that client's liability for costs incurred or disbursements paid by you in accordance with your terms of business and following the rendering of the relative account and/or written intimation to that client that the funds are to be transferred.

2.6 Nothing in these Rules deprives you of any legal recourse or right, whether by way of lien set off, counter claim or otherwise, against money standing in client account to the credit of the client against whom legal recourse or right is sought.

2.7 Regular payments from any body administering public legal aid funding must be paid into your office account. You must within 28 days of submitting a report to such a body, notifying completion of the matter, either pay any unpaid professional disbursements or transfer into a Client Account that sum equivalent to the amount of unpaid professional disbursements relating to that matter. Where such a body permits you to submit regular reports at various stages during a matter the provisions relating to unpaid professional disbursements apply to any such disbursements included in each report. Regular payments can be either standard monthly payments paid by the body under legal aid contracting arrangements or any other payments received from the body under an arrangement for payments on a regular basis.

2.8 You must maintain accurate and up to date accounts in accordance with these rules and any guidance issued by IPS from time to time.

2.9 You must retain your ability to repay Client Money immediately unless the client agrees otherwise in writing.

2.10 Notwithstanding any provision herein to the contrary in relation to matters which are publicly funded: 2.10.1 Payments received from any body administering public legal aid

funding may be paid into Office Account with the written consent of that body provided that any payment in respect of unpaid disbursements must within 14 days of receipt either be applied to pay those disbursements or transferred to Client Account unless the payments are regular payments in which case Rule 2.7 applies.

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2.10.2 Payments received from any other party must be paid into Client Account and recorded in a ledger which notes any interest the body administering public legal aid funding has in such receipt.

2.10.3 You may transfer any funds held on Client Account to which you are entitled after delivering to the body administering public legal aid funding a report comprising an up to date and comprehensive cash account in relation to the matter in question and an intimation of your intention to effect a transfer to Office Account indicating the amount of the proposed transfer.

2.10.4 You must comply with your obligations to the body administering public legal aid funding including but not limited to any obligation to preserve that body’s statutory charge.

3. Client Account 3.1 You must not pay any of your own money into Client Account except either:

3.1.1 when under a duty to do so imposed by these rules; or 3.1.2 any nominal sum required to open or maintain the account; or 3.1.3 where a payment is made under rule 3.2.

3.2 You may pay into Client Account an advance from you to fund a payment on behalf of a client or controlled trust. This money becomes Client Money or controlled trust money. Rule 6 (interest) will not apply to that money.

3.3 You must ensure that funds are not overdrawn against a specific client on Client Account

3.4 You must not effect any payments or receipts through Client Account unless those payments and receipts are incidental to the provision of substantive legal services by you to a client.

3.5 You may transfer Client Money between Client Accounts. 3.6 You may withdraw money from Client Account to reverse a payment into Client

Account made in error. 3.7 You must make good any deficiency in Client Account, immediately that it

becomes known, from your own funds through Office Account. 3.8 You must pay a receipt of mixed Client Money and other funds into Client

Account and within 14 days transfer the amount of other funds to Office Account. In these circumstances you need not comply with the provisions of Rule 2.5.

3.9 You may transfer amounts from a ledger in the name of one client to a ledger in the name of another client: 3.9.1 only with the prior written authority of both clients; and 3.9.2 provided that it would have been permissible to withdraw that sum

from the account in accordance with these rules; and 3.9.3 it would have been permissible to pay that sum into the account under

these rules. 3.10 You may hold funds jointly with:

3.10.1 the Client, 3.10.2 a CILEx Practitioner, 3.10.3 an Authorised Body,

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3.10.4 a Regulated Practice, 3.10.5 an Authorised Person, or 3.10.6 a third party when instructed in writing by your client to do so, provided that: 3.10.7 the funds are held on a joint account designated as to beneficiary and

purpose; and 3.10.8 you maintain, available for inspection by IPS, the client's written

authority for every payment made from the joint account upon your signature and duplicate original bank statements for the joint account; and

3.10.9 compliance with these requirements is confirmed in the Accountant’s report required by Rule 10 herein.

3.11 IPS may by written consent relieve you of your duty to comply with these rules in whole or part in relation to a specific client's funds where IPS considers it appropriate in the circumstances to do so and IPS is satisfied that adequate other arrangements exist to safeguard that client's interests.

4. Method and authority for withdrawals from client account 4.1 A withdrawal from a Client Account may be made only after a specific authority

in respect of that withdrawal has been signed by an appropriate person or persons in accordance with the Authorised Body’s procedures for signing on Client Account. An authority for withdrawals from Client Account may be signed electronically, subject to appropriate safeguards and controls.

4.2 Authorised Bodies must put in place appropriate systems and procedures governing withdrawals from Client Account, including who should be permitted by the Authorised Body to sign on Client Account.

4.3 A signed authority shall not be required for the transfer of money from one Client Account to another Client Account at the same bank or building society except where either is a separate designated account.

4.4 A withdrawal from a Client Account in favour of you must be made either by way of a cheque to you or by way of a transfer to your office account. The withdrawal in favour of you must not be made in cash.

5. Office Account 5.1 You must effect all payments and receipts of your own money in connection with

your practice through an Office Account. 5.2 You must maintain as part of your required Accounts Records accurate and up to

date records of payments from and receipts into Office Account. 6. Interest on Client Account

6.1 You must place Client Money on deposit so as to earn interest unless it would be

unreasonable or inappropriate to do so.

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6.2 You must account to each client for the proper proportion of any interest earned (or which ought to have been earned) except to the extent that, on that client's money: 6.2.1 the amount due does not exceed such amount as IPS may from time to

time stipulate in Guidance; or 6.2.2 the interest is in respect of client money held on account of costs or

disbursements; or 6.2.3 the interest is in respect of money held for any body administering

public legal aid funds. 6.3 You may not exclude your obligations to pay interest in accordance with these

rules by contract with your client. 6.4 If you hold money as a stakeholder you must pay interest to the recipient of the

stake. 6.5 Your client may, without prejudice to any other remedy, apply to IPS for a

Certificate as to whether or not interest, or a sum in lieu of interest, should have been paid, and, if so, the amount. If IPS certifies that interest, or a sum in lieu of interest, should have been paid, you must pay the certified sum.

7. Accounting Records 7.1 You must operate proper accounting systems and controls resulting in the

maintenance of complete and accurate Accounting Records sufficient to demonstrate the entitlements to all Client Money held by you and document every payment or receipt effected in the course of your practice.

7.2 In particular (but without limit) you must have available together for inspection by IPS the following: 7.2.1 a record for every payment from Client Account; 7.2.2 written vouchers describing and authorising every Client Account and

Office Account transaction; 7.2.3 an up to date ledger for each matter for each client showing all Office

Account and Client Account transactions for that matter and the balance of Client Money held in relation to that matter for that client;

7.2.4 Client Account and Office Account cash books showing every transaction on those accounts;

7.2.5 all Client Account and Office Account bank statements and passbooks; 7.2.6 all Client Account and Office Account chequebooks and paying in

books with all counterfoils properly completed; 7.2.7 documentary reconciliations of Client Account; 7.2.8 all written authorities obtained for inter-client ledger transfers

required by rule 3.9; 7.2.9 all bills and written intimations of costs sent by you; 7.2.10 a list of all joint accounts with the records required by paragraph 3.10.

7.3 You may maintain Accounting Records in either or both written and electronic form but insofar as records are maintained in electronic form you must: 7.3.1 electronically back up all information held at the end of business each

day and store the most recent copy away from your premises whenever the office is closed;

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7.3.2 use a system which is capable of providing printed copies of ledgers and other information held immediately upon it being required.

7.4 You must take every necessary step to ensure that all Accounting Records are kept safe and in good order.

8. Reconciliation of Client Account 8.1 You must, at least once every five weeks:

8.1.1 compare the balance on the Client Account cashbook with the balance shown on the statements and passbooks (after allowing for all unpresented items) of all Client Accounts; and

8.1.2 as at the same date prepare a listing of balances shown by the client ledgers of the liabilities to clients, and compare the total of those balances with the Client Account cashbook; and

8.1.3 prepare a reconciliation statement that explains the cause of any difference; and

8.1.4 take appropriate action promptly to correct any differences in order to balance the reconciliation statement.

9. Retention of Records 9.1 You must retain for a period of at least six years from the date of the last entry

those materials referred to in rule 7.2 and all other records (whether held electronically or otherwise) pertaining to transactions on each Client Account, whether held as a general Client Account or a separate Designated Client Account.

9.2 You must retain paid cheques and other authorities for withdrawals from Client Account for a period of at least two years but these may remain in the physical possession of a bank or building society held on your behalf.

10. Accountant’s Report 10.1 You must deliver to IPS an Accountant’s Report from a Reporting Accountant

that must cover a period of no more than twelve months; 10.1.1 contiguous with the period of the previous Accountant’s Report

delivered by you; or 10.1.2 if there is no previous Accountant’s Report, from the date upon which

you first held Client Money. 10.2 If you have not held Client Money during the whole of a period for which an

Accountant’s Report would otherwise be required you may, in relation to that reporting period, provide to IPS in place of an Accountant’s Report, a certificate (in such form as IPS may stipulate in any Guidance) to that effect and such certificate shall be deemed to be an Accountant’s Report for the purpose of rule 10.1.

10.3 Your Accountant’s Report must relate to your most recently concluded Account Period as defined in Rule 10.1 above and must be delivered to IPS as soon as

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reasonably practicable and in any event within six months from the conclusion of that Account Period.

10.4 You must deliver an Accountant’s Report to IPS for the period up to and including the date upon which for any reason you ceased to hold Client Money.

11. Test Procedures 11.1 The Reporting Accountant must examine the Accounts Records selected by them

and make the following checks:- 11.1.1 confirm that your accounting system complies with the requirements

for Accounts Records in these rules; and 11.1.1.1 that an appropriate client ledger is kept for each client; and 11.1.1.2 the client ledger shows details of all money received, held or

paid on account. 11.1.2 for each clientthe transactions relating to Client Money are accurately

recorded; 11.1.3 make checks of postings to the client ledger accounts from records of

receipts and payments of Client Money; 11.1.4 compare a sample of payments into and from the Client Account as

shown in the bank or building society statements or passbooks with your records of receipts and payments of Client Money;

11.1.5 check the system for recording costs and making transfers of costs from the Client Accounts;

11.1.6 examine a selection of documents to confirm that the documentary evidence of the financial transactions comply with these rules and that the entries relating to those transactions comply with these rules;

11.1.7 select details of the balances on client ledgers for at least two dates and compare the total shown by the client ledger accounts of liabilities to the clients with the cash account balance, andreconcile that cash account balance with the balances held as client monies;

11.1.8 confirm that reconciliation statements have been kept in accordance with these rules;

11.1.9 check the client ledger accounts to see whether any payments have been made from the Client Account in excess of money held on behalf of that client;

11.1.10 check the office ledgers, office cash accounts and the bank statements for any Office Account to see whether any Client Money has been improperly paid into an Office Account, or if it has been improperly paid into Office Account and has been kept there in breach of the rules;

11.1.11 check the records for any Client Money held outside a Client Account to ascertain what transactions have been effected in respect of their money and to confirm that the client has given the appropriate instructions in accordance with these rules;

11.1.12 check the client ledgers to ensure these rules have been complied with in respect of maintaining records;

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11.1.13 check that statements and passbooks are being kept in accordance with these rules and cross check transactions with client files where appropriate;

11.1.14 check that interest earned on Designated Client Accounts and accounts opened on clients instructions are credited in accordance with these rules; and

11.1.15 ask for any information or explanations from you which is required as a result of these checks.

11.2 The Reporting Accountant may examine your accounting records, files and other documents at your office. If the Reporting Accountant requires access to these records, files and documents at your office you must permit access.

11.3 The Reporting Accountant must request, and you must provide, details of all accounts kept or operated by you in connection with your practice at any time during the Account Period to which the report relates.

11.4 The Reporting Accountant must note in the Accountant’s Report any substantial departures from these rules discovered by them whilst carrying out work in preparation of the report.

12. Matters outside the Reporting Accountant’s remit 12.1 The Reporting Accountant is not required to:-

12.1.1 extend their enquiries beyond the information contained in the documents produced, supplementary information and explanations given by you;

12.1.2 enquire into stocks, shares, securities or documents of title held by you on behalf of your clients;

12.1.3 consider whether accounting records have been properly written up at a time that does not fall within the period of time to which their report relates;

12.1.4 check compliance with the provisions relating to payments of sums in lieu of interest.

13. Reporting Accountant 13.1 A person is eligible to be a Reporting Accountant for the purpose of these rules if

they are an accountant who is: 13.1.1 a member of an accountancy body incorporated by Royal Charter or

the Association of Authorised Public Accountants; 13.1.2 a person who is a registered auditor within the terms of Section

35(1)(a) of the Companies Act 1989 or the employee, director or partner of a firm or company which is so registered unless they are disqualified by the provisions of 13.2; or

13.1.3 is eligible within guidelines which may be published by IPS from time to time but not otherwise.

13.2 A person may not be a Reporting Accountant if:

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13.2.1 they have at any time within the previous five years been a partner, owner, manager, shareholder, member, employee or officer in the Authorised Body to which the report relates; or

13.2.2 they are the parent, spouse, civil partner, sibling or child of a manager or employee of the Authorised Body; or

13.2.3 they have been disqualified from acting as such by IPS by written notice given after such person has had a fair opportunity to make representations that such notice should not be given.

13.3 You must include the following provisions in the terms upon which the Reporting Accountant is to act: 13.3.1 The Reporting Accountant undertakes to deliver the required

Accountant’s Report which will have been prepared for submission to IPS who may rely upon it; and

13.3.2 The Reporting Accountant may immediately report in writing to IPS any suspicion of dishonesty or any serious breach of these rules coming to their attention or any other matter which might constitute circumstances representing a material risk to client funds;

13.3.3 The Reporting Accountant warrants that they are eligible to act as such under these rules and under those of their own professional body;

13.3.4 You consent to the disclosure of confidential information by the Reporting Accountant to IPS if required by IPS for any purpose under these rules;

13.3.5 The Reporting Accountant is instructed to notify IPS in writing immediately of the termination of their retainer as Reporting Accountant indicating any matter which could have given rise to a notification under rule 13.3.2.

13.3.6 If a Reporting Accountant is unable for any reason to provide an Accountant’s Report to IPS at the time and in the form required by these rules they are instructed to immediately notify IPS in writing with a full and appropriate explanation.

14. Content of Accountant’s Report 14.1 The Accountant’s Report shall be in such form as may be stipulated by IPS but

must include statements that: 14.1.1 your accounting systems and records comply with rule 7 hereof; 14.1.2 reconciliations have been carried out in accordance with rule 8 hereof; 14.1.3 sufficient checks have been carried out to properly express the opinion

that as at the end of the relevant financial period the amounts due to clients balance the funds in Client Account;

14.1.4 on the basis of a reasonable number of checked balances, interest has been paid to clients in accordance with these rules;

14.1.5 the test procedures set out in any current IPS Guidance to Reporting Accountants have been applied; and

14.1.6 you either have or have not declined to produce any document or disclose any information requested by the Reporting Accountant whether on grounds of confidentiality, privilege or otherwise.

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15. Statutory Rules or Regulations 15.1 If you, in the course of practice, act as a liquidator, a trustee in bankruptcy, a

Court of Protection receiver or a trustee of an occupational pension scheme, you must comply with the appropriate statutory rules and regulations and will not be in breach of these rules to the extent that any action or omission is required by applicable statutory rules and regulations.

15.2 You must obtain the authorisation of IPS before accepting any appointment referred to in paragraph 15.1 and must comply with any conditions referable thereto which are attached to the your authorisation by IPS.

16. Accounts Rules Waivers 16.1 If you do not hold client funds, IPS may grant you a written waiver from

compliance with these Accounts Rules whilst this remains the case.

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143

FIRST TIER COMPLAINTS HANDLING REQUIREMENTS APPENDIX 8

APPENDIX 8

FIRST TIER COMPLAINTS HANDLING REQUIREMENTS

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ILEX PROFESSIONAL STANDARDS LTD

GUIDANCE ON COMPLAINTS HANDLING

1. One of the requirements of Principle 5 of the Code of Conduct is that those regulated by

IPS must inform clients fully and honestly about complaints procedures including their right to refer a complaint to the Legal Ombudsman or IPS where appropriate. This guidance sets out what you must do to comply with this requirement.

2. This guidance applies to all CILEx members, CILEx practitioners and Authorised Bodies.

You must take all practicable steps to make sure that:

• complaints handling procedures provide effective safeguards for clients; • complaints are dealt with fully and promptly; and • appropriate redress is provided where necessary.

Even if you do not have direct responsibility for complaints handling policy or procedures within your firm or workplace you are expected to do what you can in your particular circumstances to comply with this guidance.

3. Clients should be given information about your firm’s complaints handling procedure when client care letters are sent or at the point where instructions are accepted. Clear information should be given to clients at this time about their right to complain, how to make a complaint and who to make a complaint to. Clear information should be given to clients about their right to complain to the Legal Ombudsman if any complaint regarding the service provided by the firm is not resolved to their satisfaction. The information provided must include the role of the Legal Ombudsman service, contact details and timescales for making a complaint to the Legal Ombudsman.

4. The process for clients to make a complaint to the firm must be clear and simple for all

clients to use, must be free of charge and make provision for complaints to be made by any reasonable means. Complaints should be dealt with quickly and, as far as possible, within the time limit which applies to the making of a complaint to the Legal Ombudsman (currently 8 weeks). At the end of any complaints process clients must be informed of their right to complain to the Legal Ombudsman, contact details of the Legal Ombudsman, how to make such complaint and the timescale for doing so.

5. Firms must provide information about the Legal Ombudsman service to their existing

clients at the next appropriate time, whether or not a complaint has been made to the firm or is in prospect. This is a requirement of the Legal Services Board made under Section 112(2) of the Legal Services Act 2007.

6. If you have personal responsibility for client matters and your employer has not made

arrangements to comply with this guidance (or guidance or rules issued by another legal services regulator such as the SRA or the CLC) you should inform your clients of the

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complaints handling procedures of the firm and make sure they receive the necessary information about the Legal Ombudsman service.

7. Where your firm is regulated by IPS, include in client care letters and concluding

correspondence statements that as your regulator IPS: • may seek access to the clients papers and that, in these circumstances, you will

grant IPS access unless the client objects; and • administers a consumer feedback programme and that the client’s comments are

welcomed. The statement shall advise the client of the online programme and the alternative arrangements for participation for those without online access.

8. If a complaint is made by one of your clients or your employer’s clients, a full record of

the way the complaint is handled should be kept separate from the main client file. A log of all complaints made by clients should also be kept.

9. If a complaint is made to the Legal Ombudsman or IPS by one of your clients or your

employers’ clients, you must cooperate with the Ombudsman and IPS and assist them to deal with the complaint. This is a requirement of Principle 4 of the Code of Conduct.

10. For the purpose of this guidance a complaint is an oral or written expression of

dissatisfaction which alleges that the complainant has suffered or may suffer financial loss, distress, inconvenience or other detriment.

ILEX Professional Standards

8 November 2012

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147

INVESTIGATION, DISCIPLINARY AND APPEAL RULES APPENDIX 9

APPENDIX 9

INVESTIGATION, DISCIPLINARY AND APPEAL RULES

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IPS INVESTIGATION, DISCIPLINARY AND APPEALS RULES

PART I: GENERAL

Application of Rules, establishment of Panels and Tribunal 1. (1) These Rules shall apply to any:

(a) allegation of misconduct made against a Relevant Person; or

(b) declaration of prior conduct made by an Applicant or Relevant Person.

(2) In these rules misconduct means any breach of the CILEx Code of Conduct. (3) The Professional Conduct Panel is established for the purposes set out in Part II. (4) The Disciplinary Tribunal is established for the purposes set out in Part III. (5) The Appeals Panel is established for the purposes set out in Part IV.

Panellists 2. (1) IPS shall appoint and maintain lists of lay and professional members to act as

panellists on:

(a) the Professional Conduct Panel;

(b) the Disciplinary Tribunal; and

(c) the Appeals Panel.

(2) A person shall not at any one time be included in more than one list maintained under paragraph (1).

(3) IPS shall remove from the relevant list the name of any panellist:

(a) whose term of appointment has ended and not been renewed;

(b) who has resigned by giving notice in writing to that effect to IPS; or

(c) who in the opinion of IPS has ceased to be a suitable person to act as a panellist.

(4) The term of appointment of a panellist shall be not more than five years and no

panellist shall serve for more than ten years.

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Interpretation 3. In these Rules, unless otherwise provided:

allegation: has the meaning given in Rule 15(1);

Appeals Panel: means the Appeals Panel established under Rule 1(5) as constituted from time to time;

Applicant: means a person applying for Membership or Authorisation;

Approved Manager: means a person approved by IPS to be a Manager of an Authorised Body;

Authorisation means authorisation by IPS as an Approved Manager, Authorised Body or CILEx Practitioner;

Authorised Body: means a partnership, company or sole principal authorised by IPS to provide one or more regulated legal activities;

CILEx: means the Chartered Institute of Legal Executives;

CILEx Member: means a person who has been admitted to membership of CILEx in any grade;

CILEx Practitioner: means a practitioner authorised by IPS to provide one or more regulated legal activity

complainant: means a person who has made a complaint against a Relevant Person to IPS;

Disciplinary Tribunal: means the Disciplinary Tribunal established by Rule 1(4) as constituted from time to time;

IPS: means ILEX Professional Standards Limited;

lay member: means a person who is not and who has never been an authorised person (within the meaning of s.18 of the Legal Services Act 2007) or registered by CILEx in any grade;

Membership means enrolment or reinstatement as a CILEx Member;

misconduct: has the meaning given in Rule 1(2);

person includes an individual, body corporate or other entity;

Practice Management Agreement: has the meaning given in Rule 30(6);

Professional Conduct Panel: means the Professional Conduct Panel

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established under Rule 1(3) as constituted from time to time;

professional member: means a Fellow of CILEx who is not a member of the CILEx Council or the IPS Board of Directors and who is otherwise eligible to be appointed to a list of panellists under Rule 2;

regulated legal activity means: (a) a reserved legal activity; (b) immigration advice or immigration

services;

Relevant Person means an Approved Manager, Authorised Body, CILEx Member or CILEx Practitioner.

reserved legal activity: has the same meaning as in the Legal Services Act 2007.

Extension of time

4. Where these Rules prescribe a time limit by which a person must act or after which

they may not act, an Investigator, the Professional Conduct Panel, the Disciplinary Tribunal or the Appeals Panel (as the case may be) may, upon application, vary that time limit if satisfied that in all the circumstances it is reasonable to do so.

Service of documents 5. (1) Any notice required to be given under these Rules may be given to a person or

that person’s representative:

(a) by sending it by first class post to a relevant address;

(b) by leaving it at a relevant address;

(c) by personal service, effected by leaving the document with an individual or, in the case of a body corporate or other entity, with a director, officer or manager of that body corporate or entity;

(d) by such other method as the Professional Conduct Panel, the Disciplinary Tribunal or the Appeals Panel (as the case may be) may direct.

(2) For the purpose of paragraph (1), a relevant address means:

(a) in the case of an individual, the last known address of that person, including their usual or last known residence or usual or last known place of business;

(b) in the case of a body corporate or other entity, its principal or registered office, its last known address or any other office or place of business which

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is connected to the proceedings to which the notice relates;

and for this purpose, the last known address of a Relevant Person is the address of that person as it appears in records maintained by IPS.

(3) A notice which is served in accordance with paragraph (1) shall be deemed to be

served at the time of personal service or delivery or on the second working day after it was posted.

(4) Where it is satisfied on reasonable grounds that it is in the public interest to do

so, the Professional Conduct Panel, the Disciplinary Tribunal or the Appeals Panel (as the case may be) may:

(a) deem service to be effective even though the requirements of paragraph (1) have not been complied with; or

(b) dispense with the requirement of service altogether. Effect on Membership or Authorisation 6. A Relevant Person shall not be permitted to terminate their Membership or

Authorisation whilst the subject of any investigation or proceedings under these Rules.

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PART II: INVESTIGATION OF COMPLAINTS AND THE PROFESSIONAL CONDUCT PANEL

Interpretation of Part II

7. In this Part, unless the context otherwise requires:

Clerk: means the Clerk to the Professional Conduct Panel;

Investigator: means a person appointed by IPS to conduct investigations under this Part;

Panel: means the Professional Conduct Panel; and

prior conduct: has the meaning given in Rule 11(4).

Professional Conduct Panel

8. The Panel shall consider:

(a) declarations of prior conduct made by or on behalf of Applicants and Relevant Persons and other information relating to their prior conduct; and

(b) allegations made against Relevant Persons.

Composition of the Panel

9. (1) The quorum for a meeting of the Professional Conduct Panel is three members

from the list of panellists maintained under Rule 2(1)(a), of whom two shall be lay members and one shall be a professional member.

(2) the Panel must

(a) select one of their number to chair the meeting; or

(b) if different members are to chair different parts of the meeting, elect one of their number to chair the proceedings on any matter before considering that matter.

Conduct of meetings

10. (1) Meetings of the Panel shall be held in private.

(2) Meetings shall be held at the offices of IPS unless the Panel decides otherwise

but nothing in these Rules shall require any meeting to be held outside the United Kingdom.

(3) Minutes and a record of the decisions of the Panel shall be made by the Clerk.

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(4) The Panel may resolve to consider and determine a matter without a meeting and, in that event, a decision signed by the members of the Panel shall be as valid as if it was made at a meeting.

(5) In considering a matter, the Panel:

(a) may take account of, but is not bound by, the findings, views or analysis of an Investigator;

(b) may seek further information from the Relevant Person;

(c) may take account of any further representations and material adduced by the Applicant or Relevant Person.

(6) Where, in accordance with Rule 14(1)(d) or 17(5), the Panel has requested that:

(a) an Applicant or Relevant Person attend a meeting of the Panel; or

(b) where the Applicant or Relevant Person is an entity, that a representative of that entity attend a meeting of the Panel;

an Applicant or Relevant Person who so attends or which is so represented may be represented at the meeting by any person, whether or not legally qualified, but the Panel may refuse to permit a particular person to assist or represent a party if the Panel is satisfied that there are good and sufficient reasons for doing so.

(7) Decisions at a meeting of the Panel shall be made by a majority vote of the

panellists present. (8) The Panel shall give reasons for its decisions and inform the parties of any right

of an appeal. (9) IPS shall within 21 days of any decision of the Panel notify the Applicant or

Relevant Person of that decision and, in the case of an allegation, IPS shall notify any complainant of the decision once it takes effect.

Duty to declare prior conduct

11. (1) Every Applicant or Relevant Person who is an individual must declare in writing to IPS if that individual has at any time:

(a) been convicted or accepted a caution in the United Kingdom for a criminal offence, or been convicted elsewhere for an offence which, if committed in England and Wales, would constitute a criminal offence;

(b) been removed from being a trustee of, or being concerned with the management or control of, a charity;

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(c) been removed from office as a member, director or manager of any public body;

(d) been adjudged bankrupt or made a composition with creditors;

(e) been disqualified from acting as a director of a company;

(f) been the subject of a civil judgment;

(g) been subject to any investigation or proceedings concerning the person’s fitness to practise by any regulatory or professional body.

(2) Paragraph (1)(a) shall apply subject to the Rehabilitation of Offenders Act 1974. (3) In respect of every Applicant or Relevant Person that is not an individual, a

declaration must be made in writing to IPS if:

(a) a resolution for a voluntary winding-up of the Relevant Person has ever been passed without a declaration of solvency under section 89 of the Insolvency Act 1986;

(b) the Relevant Person has ever entered administration within the meaning of paragraph 1(2)(b) of Schedule B1 to that Act;

(c) an administrative receiver within the meaning of section 251 of that Act has been appointed in respect of that Relevant Person;

(d) a meeting of creditors has been held in relation to the Relevant Person under section 95 of that Act;

(e) an order for the winding up of the Relevant Person has been made;

(f) a civil judgment has been made against that Relevant Person;

(g) that Relevant Person has been the subject of any investigation or proceedings conducted by any regulatory or professional body.

(4) Each of the matters in paragraph (1) and (3) is referred to in these Rules as prior

conduct. (5) In paragraphs (1)(f) and (3)(f) references to a civil judgment are to a judgment of

a civil court concerning any debt, fraud, misrepresentation or conduct related to the administration of justice.

(6) A declaration of prior conduct shall be considered and determined in accordance

with Rules 13 and 14.

Timing of declaration

12. (1) Every Applicant must disclose full details of prior conduct at the earliest

opportunity and, unless the conduct occurs later, in any application for Membership or Authorisation.

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(2) Every Relevant Person must disclose full details of prior conduct at the earliest opportunity and in any event (if not previously disclosed to IPS or CILEx):

(a) in the case of a CILEx Member:

(i) in any application for Membership;

Iii) in any application for a change in Membership grade;

(iii) in any other application to CILEx or IPS; and

(iv) in an annual return;

(b) in the case of an Approved Manager, Authorised Body or CILEx Practitioner:

(i) in any application for Authorisation; and

(ii) in any annual return form.

(3) Where requested to do so by IPS, an Applicant or Relevant Person must provide further details of any prior conduct.

(4) Failure by a Relevant Person to comply with this Rule and Rule 11 may be

treated as misconduct.

Investigator decisions: prior conduct

13. (1) An Investigator may determine that no action is to be taken in relation to a

declaration of prior conduct where:

(a) the Applicant or Relevant Person has declared an outstanding judgment and there is no evidence of:

(i) persistent or deliberate failure to meet financial obligations;

(ii) a related criminal offence; or

(iii) failure to make arrangements to pay off any debts;

(b) the Applicant or Relevant Person has declared a caution or spent conviction and is not a CILEx Fellow or applying for CILEx Fellowship;

(c) the Applicant or Relevant Person has declared a driving offence and:

(i) there is no evidence of a persistent pattern of offending,

(ii) a custodial sentence was not imposed; and

(iii) the duration of any disqualification imposed was not 18 months or more;

(d) the Applicant or Relevant Person is or has been subject to a bankruptcy Order or has entered into an arrangement with their creditors; or

(e) the prior conduct is of a kind which the Panel has given the Investigator delegated authority to determine.

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(2) The Investigator shall, within 21 days of making a decision, notify the Applicant or Relevant Person of that decision and, in respect of a decision made under paragraph (1)(e), shall at the same time inform the Panel of that decision.

(3) An Investigator may decline to make a determination under this rule if, in the

opinion of the Investigator, it would be more appropriate for the declaration to be determined by the Panel.

Panel decisions: prior conduct

14 (1) In considering any declaration or other information relating to prior conduct, the

Panel shall have regard to any guidance published by IPS and may:

(a) seek advice from or refer the matter to an Investigator or any CILEx or IPS committee it considers appropriate;

(b) request that the Applicant or Relevant Person provide such further information as the Panel may reasonably require; and

(c) request that the Applicant or Relevant Person or, where the Applicant or Relevant person is an entity, a representative of that entity, attend a meeting of the Panel.

(2) Failure by a Relevant Person to comply with a request under paragraph (1)(b) or

(c) may be treated as misconduct. (3) In respect of any prior conduct the Panel may:

(a) decide to take no further action;

(b) accept or refuse any application for Membership or Authorisation or any other application to which the prior conduct relates;

(c) impose conditions on the Applicant or Relevant Person as it may think appropriate in respect of their future conduct and, in the case of an individual, their employment;

(d) require the Applicant or Relevant Person to give an undertaking as to their future conduct;

(e) reprimand the Relevant Person, warn the Relevant Person as to their future conduct or both; or

(f) refer the matter to the Disciplinary Tribunal as if it was an allegation. Investigating misconduct: initial procedure

15. (1) Where IPS receives a complaint or any other information to the effect that a

Relevant Person may have engaged in misconduct (an allegation), it may investigate the allegation in accordance with these Rules.

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(2) An Investigator shall investigate an allegation as follows:

(a) the Investigator shall gather information about and investigate the issues involved including, where the allegation arises from a complainant, obtaining:

(i) any information about the complaint that the complainant wishes to provide; and

(ii) the consent of the complainant to provide a copy of the complaint and any supporting information to the Relevant Person;

(b) the Investigator shall notify the Relevant Person that an allegation has been made against them, provide the Relevant Person with details of the allegation (including a copy of any complaint or supporting information) and a copy of the Rules and invite the Relevant Person to submit representations to the Investigator within 14 days;

(c) the Investigator may seek information or advice from third parties.

(3) The Investigator may supply the complainant with a copy of all or part of any response from the Relevant Person and, in that event:

(a) shall allow the complainant a period of 14 days in which to make written observations; and

(b) shall allow the Relevant Person a period of 14 days in which to comment on any observations received from the complainant.

(4) At the conclusion of the investigation, the Investigator shall prepare a report

containing a summary of the information obtained and an analysis of the issues for consideration and shall forward the same to the Relevant Person and complainant and invite them within a period of 14 days to comment in writing on the report.

(5) Upon receipt of comments from the Relevant Person or the expiry of the time

allowed for comments (whichever is the sooner), the Investigator shall either determine the matter or refer it to the Panel.

(6) A Relevant Person is obliged to comply with and respond to reasonable

enquiries made by an Investigator and failure to do so may be treated as misconduct.

Decisions by Investigators in certain cases

16. (1) Where an Investigator is of the opinion that:

(a) there is no evidence available to substantiate an allegation;

(b) the allegation does not disclose any misconduct by the Relevant Person;

(c) IPS has no jurisdiction to consider the allegation; or

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(d) the time which has elapsed since the events (or knowledge of those events, if later) giving rise to the allegation exceeds the prescribed period;

the Investigator may reject the allegation without further reference to the Panel.

(2) For the purpose of paragraph (1)(d), the prescribed period means such period of not less than one year as IPS may prescribe.

(3) Where an Investigator is of the opinion that the evidence available indicates that

the Relevant Person has a case to answer in respect of an allegation; and either:

(a) the allegation is of a serious nature; or

(b) an adverse finding has previously been made against the Relevant Person by the Professional Conduct Panel or Disciplinary Tribunal in respect of an allegation of a similar nature;

the Investigator may refer the allegation directly to the Disciplinary Tribunal without further reference to the Panel.

(4) An Investigator shall:

(a) provide reasons for rejecting or referring to the Disciplinary Tribunal any allegation under this Rule;

(b) notify the Relevant Person and any complainant of the decision within 21 days; and

(c) report any such decision to the Panel.

Powers of the Professional Conduct Panel

17. (1) The Panel shall consider any allegation which is referred to it and determine

whether the Relevant Person has a case to answer.

(2) In determining whether there is a case to answer, the Panel shall consider whether, based upon the available evidence, there is realistic prospect that IPS would be able to prove the allegation of misconduct before the Disciplinary Tribunal.

(3) In respect of an allegation, the Panel may determine that:

(a) there is no case to answer; or

(b) there is a case to answer and:

(i) refer the allegation to the Disciplinary Tribunal; or

(ii) with the consent of the Relevant Person, dispose of the allegation in accordance with paragraph (4).

(4) Where the Relevant Person admits an allegation and consents to the Panel doing

so, the Panel may dispose of the matter by:

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(a) requiring the Relevant Person to give undertakings as to their future conduct;

(b) imposing conditions on the Relevant Person in respect of their conduct or, in the case of an individual, their employment;

(c) reprimanding the Relevant Person, warning them as to their future conduct or both.

(5) Before reaching a decision under paragraph (4), the Panel may request that the

Relevant Person or, where the Relevant Person is an entity, a representative of that entity, attend a meeting of the Panel and failure to comply with such a request may constitute misconduct.

Determination by consent

18. (1) Where, in respect of any allegation:

(a) an Investigator is of the opinion that the Relevant Person has a case to answer; and

(b) the Relevant Person admits the allegation;

then subject to paragraph (3), the Investigator and the Relevant Person may agree to determine the allegation by consent.

(2) The terms of any determination by consent shall include:

(a) a statement to the effect that the Relevant Person admits the allegations(s);

(b) the imposition on the Relevant Person of one or more of the sanctions available to the Professional Conduct Panel under Rule 17 or the Disciplinary Tribunal under Rule 31 (other than the imposition of costs); and

(c) a provision that IPS may in its absolute discretion notify any person or publish the terms of the determination by consent.

(3) A determination by consent shall not take effect until it has been approved by

order of the Panel. (4) Failure by a Relevant Person to comply with the terms of a determination by

consent shall constitute misconduct.

Interim orders

19. (1) The Panel may at any time, on the application of an Investigator or of its own

motion, consider whether it is necessary for the protection of the public, in the

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interests of the Relevant Person concerned or otherwise in the public interest to suspend or restrict a Relevant Person’s Membership or Authorisation pending a hearing before the Disciplinary Tribunal.

(2) The Panel shall give the Relevant Person not less than 7 days’ notice of a

meeting to consider the imposition or review of an interim order, unless the Panel consider that due to the seriousness or urgency of the case a shorter period of notice is appropriate.

(3 The notice under paragraph (2) shall inform the Relevant Person of the time,

date and place of the hearing, brief details of the matters giving rise to the application for an interim order and of the right to appear before and be heard by the Panel.

(4) In considering whether to make an interim order, the Panel shall determine its

own procedure in accordance with these Rules, any guidance published by IPS and the overriding requirement of fairness.

(5) The Panel may order that the Relevant Person’s Membership or Authorisation

be:

(a) suspended; or

(b) subject to such restrictions as the Panel considers appropriate;

for a maximum period of 18 months and any such order must be reviewed by the Panel every 3 months.

(6) Where the Panel makes an interim order against a Relevant Person that is an

Authorised Body, it may also require the Relevant Person to enter into a Practice Management Agreement.

Appeals

20. (1) Decisions of the Panel (other than a decision to impose an interim suspension

order which shall take effect immediately) shall only take effect after the period for lodging an appeal against the decision has expired or, where an appeal is made, after the appeal has been disposed of or withdrawn.

(2) An Applicant or Relevant Person may appeal against any decision or order of the

Panel other than a decision to refer a matter to the Disciplinary Tribunal (3) A complainant may make an application to the Panel seeking the review of a

decision of an Investigator under Rule 16 to reject an allegation. (4) An application under paragraph (3) must be made in writing within 21 days of

notification of the decision of the Investigator and, in conducting any review, the

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Panel may confirm the Investigator’s decision, require the Investigator to investigate the matter further or consider the matter as if it was a referral made under Rule 17, but subject to such modifications as the Panel consider appropriate.

(5) An appeal under paragraph (2) must be made in accordance with Part IV.

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PART III: THE DISCIPLINARY TRIBUNAL

Interpretation of Part III

21. (1) In this Part, unless the context otherwise requires:

Chair: means the Chair of a Disciplinary Tribunal Panel;

Clerk: means the clerk to the Disciplinary Tribunal;

finalised hearing date: means either the first hearing date or, where the first hearing date is varied by the Panel, that varied hearing date;

first hearing date: means the hearing date set under Rule 24(1);

Panel: means the members of the Disciplinary Tribunal appointed to hear a particular matter;

party: means IPS and the respondent(s);

respondent: means a Relevant Person against whom an allegation is made.

(2) In this Part any reference to the Professional Conduct Panel or Investigator having referred a matter to the Disciplinary Tribunal includes a decision by an Appeals Panel under Part IV to refer a matter to the Disciplinary Tribunal.

Disciplinary Tribunal

22. (1) The Tribunal has jurisdiction to hear matters referred to it under Part II by the

Professional Conduct Panel or Investigator or by an Appeals Panel under Part IV.

(2) The Tribunal shall determine its own procedure in accordance with these Rules, the guidance published from time to time by IPS and the overriding requirement of fairness.

Disciplinary Tribunal Panel

23. (1) A matter that has been referred to the Tribunal shall be heard by a Panel of 3

members from the list of panellists maintained under Rule 2(1)(b), of whom 2 shall be lay members and 1 shall be a professional member.

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(2) The members of the Panel shall choose one of their number to act as Chair for the purposes of the hearing.

(3) If, during the course of any hearing, a member of the Panel is unable to continue

to attend the hearing, the remaining members may, with the consent of the parties, continue with the hearing.

(4) Where, under paragraph (3), a matter is heard by the remaining two members

and they are unable to arrive at a determination, the matter shall be re-heard by a new Panel comprising panellists who were not members of the original Panel.

Proceedings

24. (1) Where a matter has been referred to the Tribunal, the Clerk shall, as soon as

reasonably practicable:

(a) notify the parties that the matter has been referred to the Tribunal; and

(b) fix a date, time and venue for the hearing of the matter by the Tribunal.

(2) Unless the Tribunal directs otherwise, hearings shall be held at the offices of IPS but nothing in these Rules shall require any hearing to be held outside the United Kingdom.

(3) IPS shall, not less than 42 days before the first hearing date, lodge with the Clerk

a notice setting out:

(a) particulars of the allegations against the Respondent that are to be heard by the Tribunal; and

(b) the nature of the evidence that IPS will present to the Tribunal.

(4) IPS shall, at the same time that any notice is lodged under paragraph (2), serve a copy of that notice on the Respondent.

(5) Not less than 28 days before the first hearing date, each party will serve on the

other copies of any documentary evidence in their possession or control relating to the allegations and any witness statements upon which they intend to rely.

(6) Any fact which needs to be proved at a hearing by the evidence of witnesses

may be proved by evidence given in a witness statement and a party who requires a witness to attend a hearing for the purpose of cross-examination upon the content of a witness statement served in accordance with paragraph (5) must serve notice to that effect upon the opposing party within 7 days of disclosure of the statement.

(7) A party shall be deemed to admit the authenticity of any document disclosed

under paragraph (5) above unless, within 7 days of disclosure of the document, that party serves notice requiring the document to be proved at a hearing.

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Directions and preliminary matters

25. (1) The Panel may at any time give directions for the management and conduct of proceedings and determine any preliminary issues raised by any party.

(2) The Panel may give directions or determine issues under paragraph (1) without a

meeting of the Panel but by two or more of the Panel advising the Clerk of their decision and, in that event, the Clerk shall notify the parties of the decision within three days of the date on which the decision was made.

(3) Where the parties consent, a single Panel member may give directions or

determine an issue under paragraph (1).

Additional allegations

26. Where the Panel is satisfied that it would not cause unfairness to the respondent, the

Panel may permit IPS to add allegations to the matter referred to the Tribunal, and those additional allegations shall be treated as if they were included in the original matter referred to the Tribunal.

Hearing documentation

27. Not less than 7 days before the finalised hearing date, IPS shall produce and provide

the Clerk and the respondent with copies of an indexed and paginated hearing bundle comprising:

(a) the allegations;

(b) any documents relied upon by the parties;

(c) any witness statements; and

(d) any relevant notices.

Conduct of hearings

28. (1) Hearings shall be held in public unless the Panel is satisfied that, in the interests

of justice or for the protection of the private life of the respondent, the complainant, a person giving evidence or any other person, the public should be excluded from all or part of a hearing.

(2) The Panel shall give IPS and the respondent and, in its discretion any other

person, the opportunity of being heard. (3) A party may be represented at a hearing by any person, whether or not legally

qualified, but the Panel may refuse to permit a particular person to assist or

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represent a party if the Panel is satisfied that there are good and sufficient reasons for doing so.

Evidence 29. (1) The Panel may control the evidence by giving directions as to:

(a) the issues on which it requires evidence;

(b) the nature of the evidence which it requires to decide those issues; and

(c) the way in which the evidence is to be placed before the Panel.

(2) The burden of proof shall rest upon IPS and the standard of proof shall be the balance of probabilities.

(3) Subject to the requirements of a fair hearing, the Panel may:

(a) admit evidence whether or not it would be admissible in civil proceedings; and

(b) exclude evidence that would otherwise be admissible;

(4) The Panel may limit cross-examination. (5) Subject to any other provisions of these Rules, the Civil Evidence Act 1968 and

the Civil Evidence Act 1995 shall apply in relation to the hearing of a matter as they apply in relation to civil proceedings.

(6) Production before the Panel of:

(a) a certificate purporting to be under the hand of a competent officer of a Court in the United Kingdom or overseas that a respondent has been convicted of a criminal offence shall be conclusive evidence of the offence committed;

(b) a copy of the determination of any Tribunal in or outside England and Wales exercising a professional disciplinary jurisdiction shall be conclusive evidence of the facts found proved in relation to that determination;

(c) a copy of the judgment of any Civil Court shall be conclusive evidence of the facts found proved in relation to that judgment.

Decisions

30. (1) Decisions of the Panel shall be made by a majority vote of the panellists present.

(2) The Panel may:

(a) announce its decision and reasons at the conclusion of the parties’ cases;

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(b) announce its decision at the conclusion of the parties’ cases and give its reasons on a later date; or

(c) reserve its decision and reasons to a later date,

(3) Where the Panel reserves its decision or reasons, the Panel shall notify the parties of its decision, reasons and any order made within 21 days of the conclusion of the parties’ cases and, where necessary, the notice shall specify a date, not more than 21 days after the date of the notice, for any further hearing.

(4) Where the Panel’s decision is that one or more of the allegations against the

respondent has been proved:

(a) IPS shall inform the Panel of any previous disciplinary proceedings in which any allegation has been proved against the respondent; and

(b) the respondent may then make submissions in mitigation and, where appropriate, in respect of costs.

(5) Where the Panel finds that one or more of the allegations against the

respondent has been proved the Panel:

(a) may:

(i) take no further action;

(ii) reprimand the respondent, warn the respondent as to their future conduct or both;

(iii) impose conditions on the respondent as it may think appropriate in respect of the respondent’s conduct or, where the respondent is an individual, their employment (and such conditions may be imposed in addition to any reprimand or warning); or

(iv) order that the respondent be excluded from Membership or Authorisation for such period (which may be a minimum fixed or indefinite period) as it shall decide; and

(b) may order the respondent:

(i) except where the Panel has ordered that the respondent be excluded from Membership or Authorisation, to pay a fine not exceeding an amount determined by IPS from time to time; and

(ii) to pay costs to IPS in respect of the proceedings; and

(c) may, in the case of a respondent that is an Authorised Body which has been excluded from Authorisation, also require the respondent to enter into a Practice Management Agreement.

(6) For the purpose of these Rules a Practice Management Agreement means an

agreement between IPS and an Authorised Body imposing such requirements as IPS considers appropriate in the circumstances for the orderly conduct or

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transfer of the Authorised Body’s business, funds and client files and the terms of such an agreement may include (but are not limited to) requirements that:

(a) the Authorised Body cease to accept new business or clients;

(b) the business of the Authorised Body be managed or supervised by a person appointed by IPS;

(c) the Authorised Body and those responsible for its management to execute powers of attorney, bank mandates or other instruments and take such other steps as are required to enable any person appointed by IPS to perform their functions under a Practice Management Agreement, including safeguarding client funds, files and other assets; and

(d) the Authorised Body meet the costs of any steps taken by IPS or any person appointed by it under a Practice Management Agreement.

(7) Where the Panel finds that one or more of the allegations against the

respondent has not been proved, it may order IPS to pay the reasonable costs of the respondent.

(8) An Order of the Panel shall take effect 21 days after notification under

paragraph (3) or (4) or, where a further hearing has been convened under that paragraph, 21 days after the conclusion of that hearing, unless before then a written notice of appeal has been given to the Tribunal.

(9) Where the Panel makes an Order against a respondent under paragraph (5)(a), it

may also order that the respondent’s Membership or Authorisation be suspended immediately or made subject to immediate conditions until the Order takes effect in accordance with Paragraph (8) if it considers that doing so is necessary for the protection of the public, in the respondent’s own interests or otherwise in the public interest.

(10) Where the Panel makes an Order under paragraph (5) any certificate previously

issued to the Relevant Person by CILEx or IPS shall cease to have effect and shall be delivered by the respondent to IPS.

Interim orders

31. (1) The Tribunal may at any time, on the application of the Investigator or of its own

motion, consider whether it is necessary for the protection of the public, in the interests of the Relevant Person concerned or otherwise in the public interest to suspend or restrict a Relevant Person’s Membership or Authorisation pending the conclusion of proceedings before the Tribunal.

(2) The Tribunal shall give the Relevant Person not less than 7 days’ notice of a

meeting to consider the imposition or review of an interim order, unless the Tribunal consider that due to the seriousness or urgency of the case a shorter period of notice is appropriate.

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(3) The notice under paragraph (2) shall inform the Relevant Person of the time, date and place of the hearing, brief details of the matters giving rise to the application for an interim order for suspension and of the right to appear before and be heard by the Tribunal.

(4) In considering whether to make an interim order, the Tribunal shall determine

its own procedure in accordance with these Rules, any guidance published by IPS and the overriding requirement of fairness.

(5) The Tribunal may order that the Relevant Person’s Membership or Authorisation

be:

(a) suspended; or

(b) subject to such restrictions as the Panel considers appropriate;

for a maximum period of 18 months and any such order must be reviewed by the Panel every 3 months.

(6) Where the Panel makes an interim order against a Relevant Person that is an

Authorised Body it may also require the Relevant Person to enter into a Practice Management Agreement.

Appeals

32. (1) Decisions of the Tribunal (other than a decision to impose an interim order which

shall take effect immediately) shall only take effect after the period for lodging an appeal against the decision has expired or, where an appeal is made, after the appeal has been disposed of or withdrawn.

(2) The respondent may appeal against:

(a) a finding by the Tribunal that one or more allegations has been proved; or

(b) any sanction or costs imposed by the Tribunal.

(3) IPS may appeal against:

(a) a decision of the Tribunal which, in the opinion of IPS, was made based upon a manifest error, is irrational or similarly flawed; or

(b) the imposition by the Tribunal of a sanction which, in the opinion of IPS, is unduly lenient.

(4) An appeal must be made in accordance with Part IV.

169


PART IV: THE APPEALS PANEL

Interpretation of Part IV

33. In this Part, unless the context otherwise requires:

Appeals Clerk: means the Clerk to the Appeals Panel;

appellant: means the person in whose name an appeal is made to the Appeals Panel and, in the case of an appeal under Rule 32(3), means IPS;

Chair means the Chair of an Appeals Panel

Disciplinary Tribunal: includes a Panel of the Disciplinary Tribunal that has heard a case under Part III.

Notice of appeal

34. (1) An appeal shall be made by giving notice in writing in accordance with this Rule.

(2) The notice shall be addressed to the Appeals Panel at the offices of IPS and shall:

(a) state that it is a notice of appeal and whether the appeal is made under Rule 20 or Rule 32;

(b) include:

(i) the name and address of the appellant,

(ii) the date, nature and other relevant details of the decision which is the subject of the appeal

(iii) a concise statement of the grounds of the appeal, and

(iv) the name and address of the appellant's representative (if any) and state whether correspondence concerning the appeal should be sent to the representative instead of the appellant;

(c) be signed by or on behalf of the appellant;

(d) be accompanied by a copy of any documents on which the appellant proposes to rely for the purposes of the appeal.

(3) A notice of appeal must be lodged no later than 42 days after the date on which

the decision that is the subject of the appeal was made.

170


Appeals Panel

35. (1) The Appeals Panel shall comprise 2 lay members and 1 professional member from the list maintained under Rule 2(1)(c).

(2) The members of the Appeals Panel shall choose one of their number to act as

Chair for the purposes of the appeal. (3) An Appeals Panel shall consider and determine any appeal made in accordance

with Rules 20 or 32. (4) At the beginning of the hearing the Chair shall explain to the parties the order of

proceedings which the Appeal Panel proposes to adopt. (5) The Appeal Panel may conduct the hearing in such manner as it considers most

suitable to the clarification of the issues before it and generally to the just handling of the proceedings and the parties shall be heard in such order as the Panel shall determine, taking into account that the burden of proof rests upon the appellant.

(6) In determining an appeal, the Appeals Panel may admit any evidence it

considers fair and relevant to the case before it, whether or not such evidence would be admissible in a civil proceedings.

(7) Having considered an appeal, the Appeals Panel may

(a) dismiss the appeal;

(b) allow the appeal and quash the decision appealed against; or

(c) substitute for the decision appealed against any other decision that the Professional Conduct Panel or Disciplinary Tribunal (as the case may be) could have made.

and may make such ancillary orders, including orders for costs, as it considers just and appropriate.

(8) Decisions of the Appeals Panel shall be made by a majority vote of the panellists

present. (9) Notice of the decision of the Appeals Panel shall be given in writing to the

appellant within 21 days and shall take effect 28 days after the date on which it was made.

(10) Where the decision in an Appeal under Rule 20(2) has the effect of referring a

matter to the Disciplinary Tribunal, that referral shall be treated for all purposes as if it was made by the Professional Conduct Panel.

(11) Appeals under Rule 20 shall normally be heard in private unless the appellant

requests otherwise.

171


(12) Appeals under Rule 32 shall be heard in public, unless the Appeals Panel is satisfied that, in the interests of justice or for the protection of the private life of the appellant, any complainant, person giving evidence or any other person, the public should be excluded from all or part of a hearing.

Representation

36. (1) The Appeals Panel shall give the appellant and the respondent to the appeal and,

at its discretion any other person who appeared before the Professional Conduct Panel or Disciplinary Tribunal, the opportunity of being heard.

(2) A party may be represented at a hearing by any person, whether or not legally

qualified, but the Appeals Panel may refuse to permit a particular person to assist or represent a party if the Appeals Panel is satisfied that there are good and sufficient reasons for doing so.

Determination without convening hearing

37. The Appeals Panel may determine an appeal without convening a hearing, on the basis

of any documents or written representations provided by the parties, where:

(a) the Appeals Panel has notified the parties of its intention to do so; and

(b) the parties have consented.

172


PART V: OTHER MATTERS

Notice and publication etc. of decisions

38. (1) IPS shall cause all adverse findings and orders of the Professional Conduct Panel, Disciplinary Tribunal and Appeals Panel (Decisions) to be recorded against the relevant entry in the relevant CILEx register.

(2) Where a Relevant Person against whom a Decision is made is

(a) employed, or

(b) is a partner, director, manager of, or holds a financial interest in, a relevant body;

IPS shall notify the employer or relevant body of the Decision.

(3) in this Rule relevant body means:

(a) an Authorised Body;

(b) a legal services body within the meaning of s.9A of the Administration of Justice Act 1985; or

(c) a body licensed under Part 5 of the Legal Services Act 2007.

(4) IPS shall give notice of all decisions to such other regulatory and oversight bodies as it considers appropriate.

(5) IPS shall cause all decisions and the name of the Relevant Person concerned to

be published in such manner as it considers appropriate. (6) Paragraphs (2), (4) and (5) shall not apply to the extent that the Professional

Conduct Panel, Disciplinary Tribunal or Appeals Panel directs otherwise.

Recovery of fines and costs

39. Any fine or costs order imposed under these Rules shall be recoverable as a debt. Maintenance of exhibits and transcripts

40. Any exhibits produced or used at a hearing of the Professional Conduct Panel,

Disciplinary Tribunal or Appeals Tribunal and any recording or transcript of those proceedings shall be kept by IPS for a period of at least one year after the proceedings to which they relate.

173


Annual Report 41. An annual report shall be made to the IPS Board of the work of the Investigators,

Professional Conduct Panel, Disciplinary Tribunal and Appeals Panel during the previous year.

Transitional Provisions

42. (1) These Rules shall come into force on [DATE] (the Commencement Date).

(2) Any allegation received by IPS before the Commencement Date but which on

that date has not been referred to the Professional Conduct Panel, Disciplinary Tribunal or Appeals Tribunal in accordance with the Investigation, Disciplinary and Appeals Rules dated 4th January 2010 (the Old Rules) shall be dealt with under these Rules.

(3) Any allegation received by IPS before the Commencement Date and which on

that date has been referred to the Professional Conduct Panel, Disciplinary Tribunal or Appeals Tribunal under the Old Rules shall continue to be dealt with in accordance with the Old Rules.

(4) Any allegation received by IPS after the Commencement Date shall be dealt with

in accordance with these Rules.

174


175

PROFESSIONAL INDEMNITY INSURANCE RULES APPENDIX 10

APPENDIX 10

PROFESSIONAL INDEMNITY INSURANCE RULES

176


IPS PROFESSIONAL INDEMNITY INSURANCE RULES Interpretation 1. In these Rules, unless otherwise provided:

Authorised Body: has the same meaning as in the IPS Authorisation Rules;

Cessation Period: means, in respect of an Authorised Body:

(a) that has ceased business and paid the requisite run off premium, the period of 60 days from the end of an Indemnity Period; and

(b) that has not ceased business but is unable to renew or obtain qualifying insurance, the period of 60 days from the end of an Extended Indemnity Period;

Extended Indemnity Period: means the period of 30 days from the end of an Indemnity Period, during which a policy of qualifying insurance continues to have effect;

Indemnity Period: means any period of one year during which indemnity cover is provided to an Authorised Body under a policy of qualifying insurance;

IPS: means ILEX Professional Standards Limited;

Minimum Wording: means the minimum policy wording prescribed by IPS from time to time which must from part of a policy of qualifying insurance;

qualifying insurance: means a policy of indemnity insurance that is provided by a qualifying insurer which provides cover in accordance with the Minimum Wording and the Qualifying Insurers Agreement;

qualifying insurer: means an insurer who is a party to a Qualifying Insurers Agreement which remains in force for the purpose of issuing new policies of qualifying insurance;

Qualifying Insurers Agreement means an agreement between IPS and one or more insurers for the provision by those insurers of qualifying insurance to Authorised Bodies;

regulated legal activity: means: (a) a reserved legal activity; or (b) immigration advice or immigration services;

reserved legal activity: has the same meaning as in the Legal Services Act

177


2007;

run-off premium: means the premium which an Authorised Body is liable to pay under a policy of qualifying insurance for the provision of run-off cover for the period of six years after the Authorised Body has ceased to carry on business.

Insurance obligation 2. (1) Every Authorised Body carrying on one or more regulated legal activity during

any Indemnity Period must have qualifying insurance.

(2) A person who is the Compliance Manager of an Authorised Body must ensure that the Authorised Body complies with Paragraph (1) and the other requirements of these Rules.

Cessation 3. (1) An Authorised Body that has been unable to renew or obtain qualifying

insurance before the end of an Extended Indemnity Period must cease practice promptly and by no later than the end of the Cessation Period.

(2) During a Cessation Period, the Authorised Body may only engage in activities

connected with private legal practice to discharge its obligations within the scope of instructions given to the Authorised Body before the Cessation Period or which are necessary in connection with the discharge of such obligations.

(3) An Authorised Body that ceases practice for any reason shall:

(a) within 28 days of ceasing business:

(i) pay the run off premium to its qualifying insurer, or

(ii) obtain alternative and equivalent run-off cover from another qualifying insurer; or

(b) where it is unable to comply with paragraph (a), promptly inform IPS. Insolvency of qualifying insurer 4. If a qualifying insurer is the subject of an insolvency event, an Authorised Body that is

insured by that insurer must obtain qualifying insurance from another qualifying insurer as soon as reasonably practicable and in any event within four weeks of the insolvency event.

178


Monitoring 5. IPS may require an Authorised Body that is, or is reasonably believed by IPS to be,

conducting business to provide IPS with such information as it may reasonably require to be satisfied that the Authorised Body has qualifying insurance.

Use of information 6. (1) A qualifying insurer, in relation to any Authorised Body which applies to it for

qualifying insurance, shall inform IPS of:

(a) any failure by the Authorised Body to pay any premium or to reimburse any part of a policy excess which has been paid to a claimant by the qualifying insurer;

(b) a material inaccuracy in any proposal form submitted by or on behalf of the Authorised Body;

(c) any matter or circumstances that, but for the provisions of the Minimum Wording, would entitle a qualifying insurer to avoid or repudiate the Authorised Body’s policy;

(d) any suspected dishonesty or fraud by or on behalf of the Authorised Body;

(e) any claim of inadequate professional services made against the Authorised Body of which the qualifying insurer is aware; and

(f) any matter or circumstances that would entitle the qualifying insurer to receive a run-off premium from the Authorised Body.

(2) A qualifying insurer may provide information to IPS under Paragraph (1) without

giving notice to the Authorised Body concerned: Insurance details 7. (1) An Authorised Body shall provide details of its qualifying insurance when

requested to do so by a person who asserts a claim against that policy or has any other legitimate interest in the information.

(2) The details which must be provided under Paragraph (1) are:

(a) the name of the qualifying insurer(s);

(b) the policy number(s); and

(c) the address and contact details of the qualifying insurer(s) for the purpose of making any claim.

179


Accountants' reports 8. Any accountant's report which an Authorised Body is required to deliver to IPS under

the IPS Accounts Rules must contain a statement certifying (if it is the case) that, for the period covered by the report, the Authorised Body had proof of qualifying insurance.

Disciplinary consequences of non-compliance 9. Failure by an Authorised Body or a person who is an Authorised Manager of an

Authorised Body to comply with these Rules may be treated as misconduct. Waiver 10. (1) IPS may waive any provision of these Rules as it thinks fit.

(2) A waiver may:

(a) apply in a particular case or cases;

(b) include extending the time, prospectively or retrospectively, for the doing of any act under any Rule; and

(c) be subject to such terms and conditions as IPS thinks fit.

(3) Any application for a waiver must be made in writing to IPS as soon as reasonably practicable and the making of an application shall not relieve an Authorised Body or any person from any obligation under these Rules.

180


181

IPS MINIMUM WORDING APPENDIX 11

APPENDIX 11

IPS MINIMUM WORDING

182

Prof

essi

onal

In

dem

nity

In

sura

nce

(Firm

s au

thor

ised

by

C

ILEX

/IPS)

1

. C

ove

rag

e Th

e In

sure

r to

the

ext

ent

and

in t

he m

anne

r he

rein

afte

r pr

ovid

ed h

ereb

y ag

rees

: 1.

1 C

ivil

Liab

ility

To

inde

mni

fy t

he In

sure

d ag

ains

t an

y C

ivil

Liab

ility

to

the

exte

nt t

hat

it ar

ises

fro

m P

rivat

e Le

gal P

ract

ice

in c

onne

ctio

n w

ith t

he F

irm’s

Pra

ctic

e, a

Prio

r Pr

actic

e or

a S

ucce

ssor

Pra

ctic

e pr

ovid

ed t

hat

a C

laim

in r

espe

ct o

f su

ch li

abili

ty:

a) is

firs

t m

ade

agai

nst

an In

sure

d du

ring

the

Perio

d of

Insu

ranc

e; o

r b)

is m

ade

agai

nst

an In

sure

d du

ring

or a

fter

the

Per

iod

of In

sura

nce

and

aris

ing

from

Circ

umst

ance

s fir

st n

otifi

ed t

o th

e In

sure

r du

ring

the

Perio

d of

Insu

ranc

e.

1.2

Exte

nded

Inde

mni

ty P

erio

d an

d C

essa

tion

Perio

d T

o in

dem

nify

the

Ins

ured

for

the

Ext

ende

d In

dem

nity

per

iod

and

the

Ces

satio

n Pe

riod

agai

nst

any

Civ

il Li

abili

ty a

s de

fined

in

clau

se 1

.1 a

bove

, st

rictly

sub

ject

to

pay

men

t of

ad

ditio

nal p

rem

ium

as

follo

ws:

a)

Th

e pr

emiu

m p

ayab

le f

or t

he E

xten

ded

Inde

mni

ty P

erio

d sh

all b

e 1/

12 o

f th

e pr

emiu

m p

ayab

le f

or t

he P

erio

d of

Insu

ranc

e un

der

this

pol

icy

such

pay

men

t to

be

mad

e be

fore

the

exp

iry o

f th

e Ex

tend

ed In

dem

nity

Per

iod;

b)

Th

e pr

emiu

m p

ayab

le f

or t

he C

essa

tion

Perio

d sh

all b

e 2/

12 o

f th

e pr

emiu

m p

ayab

le f

or t

he P

erio

d of

Insu

ranc

e un

der

this

pol

icy

such

pay

men

t to

be

mad

e w

ithin

14

days

of

the

com

men

cem

ent

of

the

Ces

satio

n P

erio

d Pr

ovid

ed t

hat

in t

he e

vent

tha

t th

e In

sure

d ob

tain

s al

tern

ativ

e co

ver

durin

g th

e Ex

tend

ed In

dem

nity

Per

iod

or C

essa

tion

Perio

d th

en c

over

und

er t

his

clau

se w

ill b

e ca

ncel

led

ab in

itio

and

prem

ium

ret

urne

d to

the

Insu

red

less

any

pay

men

ts m

ade

by t

he In

sure

d in

res

pect

of

the

cove

r un

der

this

cla

use.

1.

3 R

un-o

ff C

over

a)

To

inde

mni

fy t

he In

sure

d if

the

Firm

’s P

ract

ice

ceas

es d

urin

g or

on

expi

ry o

f th

e Pe

riod

of In

sura

nce

or E

xten

ded

Inde

mni

ty P

erio

d or

Ces

satio

n Pe

riod

and

the

Firm

has

not

ob

tain

ed s

ucce

edin

g in

sura

nce

in c

ompl

ianc

e w

ith t

he M

inim

um T

erm

s ag

ains

t an

y C

ivil

Liab

ility

as

defin

ed in

cla

use

1.1

abov

e (a

‘C

essa

tion’

) du

ring

a pe

riod

endi

ng o

n th

e si

xth

anni

vers

ary

of t

he d

ate

upon

whi

ch t

he P

erio

d of

Insu

ranc

e en

ds.

b) In

dem

nity

und

er t

his

clau

se w

ill o

nly

be a

vaila

ble

if th

ere

is n

o Su

cces

sor

Prac

tice

and

will

be

stric

tly s

ubje

ct t

o pa

ymen

t of

pre

miu

m a

s re

ferr

ed t

o in

cla

use

1.2(

c) b

elow

with

in 2

8 da

ys o

f ce

ssat

ion.

c)

An

addi

tiona

l pr

emiu

m o

f 22

5% o

f th

e an

nual

(or

, w

here

app

licab

le,

annu

alis

ed)

prem

ium

sho

wn

in t

he S

ched

ule

(rec

alcu

late

d to

ref

lect

the

com

puls

ory

min

imum

Lim

it of

In

dem

nity

with

a n

il ex

cess

will

bec

ome

paya

ble

in f

ull w

ithin

28

days

of

Ces

satio

n of

the

Firm

if t

here

is n

o Su

cces

sor

Prac

tice.

d)

Not

with

stan

ding

sub

-cla

uses

a)

and

b) a

bove

, an

Ins

ured

whi

ch i

s ce

asin

g du

ring

the

Perio

d of

Ins

uran

ce a

nd w

hich

, bu

t fo

r th

is p

rovi

sion

, w

ould

be

succ

eede

d to

, m

ay e

lect

be

fore

its

Ces

satio

n to

be

insu

red

unde

r ru

n-of

f co

ver

prov

ided

suc

h el

ectio

n an

d pa

ymen

t in

ful

l of

the

run-

off

prem

ium

(cal

cula

ted

in a

ccor

danc

e w

ith s

ub-c

laus

e c)

) is

mad

e pr

ior

to it

s C

essa

tion.

e)

Pay

men

t of

the

run

-off

pre

miu

m w

ill b

e in

add

ition

to

and

not

in s

ubst

itutio

n fo

r pa

ymen

t of

the

pre

miu

m f

or t

he P

erio

d of

Insu

ranc

e.


183

f) W

here

run

-off

cov

er h

as b

een

activ

ated

in a

ccor

danc

e w

ith t

his

Polic

y bu

t th

e Fi

rm’s

Pra

ctic

e re

star

ts,

the

Insu

rer

may

can

cel s

uch

run-

off

cove

r on

suc

h te

rms

as t

he In

sure

r in

its

sole

dis

cret

ion

requ

ires,

pro

vide

d th

at:

i) th

ere

is in

sura

nce

com

plyi

ng w

ith t

he M

inim

um T

erm

s in

rel

atio

n to

tha

t Fi

rm in

for

ce o

n th

e da

te o

f ca

ncel

latio

n; a

nd

ii) t

he In

sure

r pr

ovid

ing

such

insu

ranc

e co

nfirm

s in

writ

ing

to t

he F

irm a

nd t

he In

sure

r (if

diff

eren

t) t

hat:

aa

) it

is p

rovi

ding

the

Firm

with

insu

ranc

e th

at c

ompl

ies

with

the

Min

imum

Ter

ms

for

the

curr

ent

inde

mni

ty p

erio

d; a

nd

bb)

it is

doi

ng s

o on

the

bas

is t

hat

the

Firm

’s P

ract

ice

is r

egar

ded

as b

eing

a c

ontin

uatio

n of

the

Fi

rm’s

Pra

ctic

e pr

ior

to C

essa

tion

and

that

acc

ordi

ngly

it

is l

iabl

e fo

r C

laim

s ag

ains

t th

e Fi

rm a

risin

g fr

om i

ncid

ents

, oc

curr

ence

s, f

acts

, m

atte

rs,

acts

and

/or

omis

sion

s th

at

occu

rred

prio

r to

Ces

satio

n.

g) F

or t

hese

pur

pose

s a

Firm

’s P

ract

ice

shal

l (w

ithou

t lim

itatio

n) b

e re

gard

ed a

s ce

asin

g if

(and

with

eff

ect

from

the

dat

e up

on w

hich

) th

e Fi

rm c

ease

s to

be

regu

late

d by

ILE

X

Prof

essi

onal

Sta

ndar

ds L

imite

d.

1.4

Def

ence

Cos

ts

To in

dem

nify

the

Insu

red

agai

nst

Def

ence

Cos

ts in

rel

atio

n to

: a)

any

Cla

im r

efer

red

to in

cla

use

1.1;

or

b) a

ny C

ircum

stan

ces

first

not

ified

to

the

Insu

rer

durin

g th

e Pe

riod

of In

sura

nce;

or

c) a

ny in

vest

igat

ion

or in

quiry

(sav

e in

res

pect

of

any

disc

iplin

ary

proc

eedi

ng u

nder

the

aut

horit

y of

ILEX

Pro

fess

iona

l Sta

ndar

ds L

imite

d) d

urin

g or

aft

er t

he P

erio

d of

Insu

ranc

e ar

isin

g fr

om a

ny C

laim

ref

erre

d to

in c

laus

e 1.

1 or

fro

m C

ircum

stan

ces

first

not

ified

to

the

Insu

rer

durin

g th

e Pe

riod

of In

sura

nce.

1.

5 M

inim

um W

ordi

ng

a) T

his

polic

y sh

all

be c

onst

rued

and

mod

ified

so

far

as i

s ne

cess

ary

to i

ncor

pora

te t

he M

inim

um W

ordi

ng i

n fo

rce

from

tim

e to

tim

e fr

om t

he d

ate

on w

hich

any

cha

nge

in t

he

Min

imum

Wor

ding

com

es in

to e

ffec

t.

b) W

here

cla

use

1.5

(a) a

pplie

s:

i)

unl

ess

the

Min

imum

Wor

ding

exp

ress

ly p

rovi

de t

o th

e co

ntra

ry, a

ny c

hang

e in

the

m s

hall

not

conf

er a

ny in

crea

sed

cove

r or

ben

efit

on t

he In

sure

d in

rel

atio

n to

: aa

) Cla

ims

alre

ady

mad

e or

intim

ated

; or

bb

) Cla

ims

aris

ing

from

Circ

umst

ance

s al

read

y no

tifie

d to

the

Insu

rer

at t

he t

ime

the

chan

ge in

the

Min

imum

Wor

ding

tak

es e

ffec

t.

ii) t

he In

sure

r m

ay c

harg

e su

ch a

dditi

onal

pre

miu

m a

s th

e In

sure

r in

its

sole

dis

cret

ion

cons

ider

s w

ould

hav

e ap

plie

d ha

d th

e ch

ange

in t

he M

inim

um W

ordi

ng b

een

know

n at

the

tim

e th

e pr

emiu

m f

or t

he P

olic

y w

as a

gree

d.

2.

Lim

it o

f In

dem

nit

y 2.

1 Th

e lim

it of

the

Insu

rer’

s lia

bilit

y un

der

this

Pol

icy

shal

l be

the

sum

spe

cifie

d in

the

Sch

edul

e fo

r an

y O

ne C

laim

, exc

lusi

ve o

f D

efen

ce C

osts

, sav

e th

at t

he L

imit

of In

dem

nity

und

er

this

Pol

icy

shal

l not

exc

eed

the

min

imum

req

uire

d lim

it of

inde

mni

ty a

s re

quire

d by

ILEX

Pro

fess

iona

l Sta

ndar

ds L

imite

d if

cove

r is

pro

vide

d pu

rsua

nt t

o cl

ause

1.3

abo

ve.

2.2

The

Insu

rer

shal

l ind

emni

fy t

he In

sure

d in

res

pect

of

all D

efen

ce C

osts

und

er c

laus

e 1.

4 pr

ovid

ed t

hat,

if p

aym

ent

in e

xces

s of

the

am

ount

of

inde

mni

ty a

vaila

ble

unde

r th

is P

olic

y ha

s to

be

mad

e to

dis

pose

of

any

Cla

im o

r C

laim

s ag

ains

t th

e In

sure

d, t

he I

nsur

er’s

lia

bilit

y fo

r su

ch D

efen

ce C

osts

sha

ll be

suc

h pr

opor

tion

ther

eof

as t

he a

mou

nt o

f in

dem

nity

av

aila

ble

unde

r th

is P

olic

y be

ars

to t

he a

mou

nt r

equi

red

to d

ispo

se o

f su

ch C

laim

or

Cla

ims.

2.

3 W

here

thi

s Po

licy

is u

nder

writ

ten

join

tly w

ith a

ny o

ther

insu

rer:

(a

) the

Insu

rer

shal

l be

seve

rally

liab

le o

nly

for

its r

espe

ctiv

e pr

opor

tion

of li

abili

ty a

s se

t ou

t in

the

Sch

edul

e; a

nd


184

(b)

in a

dditi

on t

o th

e pr

opor

tiona

te l

imit

of D

efen

ce C

osts

set

out

in

clau

se 2

.2,

the

Insu

rer’

s lia

bilit

y fo

r D

efen

ce C

osts

sha

ll be

fur

ther

lim

ited

to t

he e

xten

t or

pro

port

ion

of t

he

Insu

rer’

s lia

bilit

y in

rel

atio

n to

the

Cla

im.

3.

Exce

ss

3.1

The

am

ount

of

the

Exce

ss s

peci

fied

in t

he S

ched

ule

shal

l be

born

e by

the

Insu

red

for

any

One

Cla

im s

ave

that

, whe

re c

over

is p

rovi

ded

purs

uant

to

clau

se 1

.3, t

he E

xces

s sh

all b

e ni

l . T

he a

mou

nt o

f th

e Ex

cess

sha

ll no

t be

app

licab

le t

o D

efen

ce C

osts

und

er c

laus

e 1.

4 of

thi

s Po

licy.

3

.2 In

the

eve

nt o

f no

n-di

sclo

sure

by

the

Insu

red

of a

ny C

ircum

stan

ces

exis

ting

at t

he d

ate

of in

cept

ion

of t

he P

olic

y th

at s

ubse

quen

tly le

ad t

o a

Cla

im,

the

Exce

ss p

ayab

le b

y th

e In

sure

d sh

all b

e 5%

of

gros

s fe

es f

or t

he la

st f

inan

cial

yea

r (s

ubje

ct t

o a

cap

of £

10,0

00)

or t

wic

e th

e Ex

cess

spe

cifie

d in

the

Sch

edul

e, w

hich

ever

is t

he g

reat

er,

save

tha

t fo

r th

e pu

rpos

e of

cal

cula

ting

any

aggr

egat

e Ex

cess

the

am

ount

spe

cifie

d in

the

Sch

edul

e sh

all a

pply

. 4

. Ex

clu

sio

ns

This

Pol

icy

shal

l not

inde

mni

fy t

he In

sure

d ag

ains

t an

y C

laim

or

for

any

Def

ence

Cos

ts:

4.1

Prio

r cov

er

In r

espe

ct o

f w

hich

the

Insu

red

is e

ntitl

ed t

o be

inde

mni

fied

in w

hole

or

in p

art

unde

r a

prof

essi

onal

inde

mni

ty c

ontr

act

for

a pe

riod

earli

er t

han

the

Perio

d of

Insu

ranc

e, w

heth

er b

y re

ason

of

notif

icat

ion

of C

ircum

stan

ces

unde

r th

e ea

rlier

con

trac

t or

oth

erw

ise.

4.

2 D

eath

or b

odily

inju

ry

In r

espe

ct o

f ca

usin

g or

con

trib

utin

g to

dea

th o

r bo

dily

inju

ry,

but

this

exc

lusi

on is

not

to

appl

y to

liab

ility

for

psy

chol

ogic

al in

jury

or

emot

iona

l dis

tres

s th

at a

rises

fro

m a

bre

ach

of

duty

in t

he p

erfo

rman

ce o

f or

fa

ilure

to

perf

orm

Priv

ate

Lega

l Pra

ctic

e.

4.3

Prop

erty

dam

age

In r

espe

ct o

f ca

usin

g or

con

trib

utin

g to

dam

age

to,

or d

estr

uctio

n or

phy

sica

l los

s of

any

pro

pert

y (o

ther

tha

n pr

oper

ty in

the

car

e, c

usto

dy o

r co

ntro

l of

any

Insu

red

in c

onne

ctio

n w

ith t

he F

irm’s

Pra

ctic

e an

d no

t oc

cupi

ed o

r us

ed in

the

cou

rse

of t

he F

irm’s

Pra

ctic

e),

but

this

exc

lusi

on is

not

to

appl

y to

liab

ility

for

dam

age,

des

truc

tion

or lo

ss t

hat

aris

es f

rom

br

each

of

duty

in t

he p

erfo

rman

ce o

f or

fai

lure

to

perf

orm

Pr

ivat

e Le

gal P

ract

ice.

4.

4 Pa

rtne

rshi

p di

sput

es

Aris

ing

from

any

act

ual o

r al

lege

d br

each

of

the

Firm

’s p

artn

ersh

ip o

r sh

areh

olde

r ag

reem

ent

or a

rran

gem

ents

, inc

ludi

ng a

n eq

uiva

lent

agr

eem

ent

or a

rran

gem

ent

whe

re t

he F

irm is

a

Lim

ited

Liab

ility

Par

tner

ship

or

a co

mpa

ny w

ithou

t a

shar

e ca

pita

l. 4.

5 Em

ploy

men

t bre

ache

s, d

iscr

imin

atio

n et

c.

Aris

ing

from

wro

ngfu

l dis

mis

sal,

repu

diat

ion

or b

reac

h of

an

empl

oym

ent

cont

ract

or

arra

ngem

ent,

ter

min

atio

n of

a t

rain

ing

cont

ract

, ha

rass

men

t, d

iscr

imin

atio

n or

like

con

duct

in

rela

tion

to a

ny p

artn

ersh

ip o

r sh

areh

olde

r ag

reem

ent

or a

rran

gem

ent

or t

he e

quiv

alen

t w

here

the

Firm

is a

Lim

ited

Liab

ility

Par

tner

ship

or

a co

mpa

ny w

ithou

t a

shar

e ca

pita

l, or

in

rela

tion

to a

ny e

mpl

oym

ent

or t

rain

ing

agre

emen

t or

arr

ange

men

t.


185

4.6

Deb

ts a

nd tr

adin

g lia

bilit

ies

Aris

ing

out

of o

r in

con

nect

ion

with

any

: a)

tra

ding

or

pers

onal

deb

t of

any

Insu

red;

or

b) le

gal l

iabi

lity

assu

med

or

acce

pted

by

an In

sure

d or

an

Insu

red

Firm

und

er a

ny c

ontr

act

or a

gree

men

t fo

r th

e su

pply

to,

or

use

by,

the

Insu

red

or In

sure

d Fi

rm o

f go

ods

or s

ervi

ces

in t

he c

ours

e of

the

Insu

red

Firm

’s P

ract

ice,

hav

e th

at t

his

excl

usio

n 4.

6(b)

will

not

app

ly t

o an

y le

gal l

iabi

lity

aris

ing

in t

he c

ours

e of

an

Insu

red

Firm

’s P

ract

ice

in c

onne

ctio

n w

ith it

s or

any

Ins

ured

’s u

se o

f or

acc

ess

to t

he H

M L

and

Regi

stry

net

wor

k (in

clud

ing,

with

out

limita

tion,

acc

ess

unde

r a

Net

wor

k A

cces

s A

gree

men

t m

ade

unde

r th

e La

nd R

egis

trat

ion

(Net

wor

k A

cces

s) R

ules

and

the

Lan

d Re

gist

ratio

n (E

lect

roni

c C

omm

unic

atio

ns)

Ord

er 2

007)

oth

er t

han

an o

blig

atio

n to

pay

sea

rch

fees

or

othe

r ch

arge

s fo

r se

arch

es o

r se

rvic

es

prov

ided

by

HM

Lan

d Re

gist

ry t

o th

e In

sure

d Fi

rm; o

r

c) g

uara

ntee

, in

dem

nity

or

unde

rtak

ing

by a

n In

sure

d in

con

nect

ion

with

the

pro

visi

on o

f an

y fin

ance

, pr

oper

ty,

assi

stan

ce o

r ot

her

bene

fit o

r ad

vant

age

dire

ctly

or

indi

rect

ly t

o th

at

Insu

red.

4.

7 Fi

nes

and

pena

lties

In

res

pect

of

any:

a)

fin

e or

pen

alty

; or

b) a

war

d of

pun

itive

, exe

mpl

ary

or li

ke d

amag

es u

nder

the

law

of

the

Uni

ted

Stat

es o

f A

mer

ica

or C

anad

a ot

her

than

in r

espe

ct o

f de

fam

atio

n; o

r c)

ord

er o

r ag

reem

ent

to p

ay t

he c

osts

of

a co

mpl

aina

nt,

regu

lato

r, in

vest

igat

or o

r pr

osec

utor

of

any

prof

essi

onal

con

duct

com

plai

nt a

gain

st,

or in

vest

igat

ion

into

the

pro

fess

iona

l co

nduc

t of

, any

Insu

red.

4.

8 Fr

aud

or d

isho

nest

y In

res

pect

of

or a

risin

g fr

om d

isho

nest

y or

a f

raud

ulen

t ac

t or

om

issi

on c

omm

itted

or

cond

oned

by

the

Insu

red,

exc

ept

that

: a)

thi

s ex

clus

ion

is n

ot t

o ap

ply

to a

ny o

ther

Insu

red

who

did

not

com

mit

or c

ondo

ne t

he d

isho

nest

y or

fra

udul

ent

act

or o

mis

sion

; and

b)

no

dish

ones

ty o

r fr

audu

lent

act

or

omis

sion

will

be

impu

ted

to a

bod

y co

rpor

ate

unle

ss it

was

com

mitt

ed o

r co

ndon

ed b

y, in

the

cas

e of

a c

ompa

ny, a

ll di

rect

ors

of t

hat

com

pany

, or

, in

the

case

of

a Li

mite

d Li

abili

ty P

artn

ersh

ip, a

ll m

embe

rs o

f th

at L

imite

d Li

abili

ty P

artn

ersh

ip.

4.9

Dire

ctor

s’ o

r offi

cers

’ lia

bilit

y In

res

pect

of

or a

risin

g fr

om t

he In

sure

d’s

capa

city

as

a di

rect

or o

r of

ficer

of

a bo

dy c

orpo

rate

exc

ept

that

thi

s ex

clus

ion

is n

ot t

o ap

ply

to:

a) a

ny li

abili

ty o

f th

at In

sure

d th

at a

rises

fro

m a

bre

ach

of d

uty

in t

he p

erfo

rman

ce o

f or

a f

ailu

re t

o pe

rfor

m

lega

l wor

k; a

nd b

) any

vic

ario

us o

r jo

int

liabi

lity

of a

ny o

ther

Insu

red.

4.

10 O

vers

eas

prac

tice

In r

espe

ct o

f an

y lia

bilit

y in

curr

ed in

con

nect

ion

with

the

pro

visi

on o

f pr

ofes

sion

al s

ervi

ces

by t

he F

irm t

hat

is c

arrie

d on

fro

m a

n of

fice

outs

ide

Engl

and

and

Wal

es.

4.11

Oth

er in

sura

nce

If an

Insu

red

is e

ntitl

ed t

o cl

aim

, or

but

for

the

exi

sten

ce o

f th

is P

olic

y w

ould

be

entit

led

to c

laim

, ag

ains

t an

y ot

her

polic

y of

insu

ranc

e, t

he In

sure

r sh

all n

ot b

e lia

ble

to in

dem

nify

un

der

this

Pol

icy

exce

pt:

a) t

o th

e ex

tent

req

uire

d by

the

Min

imum

Wor

ding

; and

b)

in r

espe

ct o

f an

y su

m in

exc

ess

of t

he a

mou

nt t

hat

wou

ld h

ave

been

pay

able

und

er t

he o

ther

pol

icy

had

this

Pol

icy

not

been

eff

ecte

d. F

or t

he p

urpo

ses

of t

his

clau

se, ‘

polic

y’ a

nd

‘insu

ranc

e’ s

hall

incl

ude

cove

r pr

ovid

ed b

y an

y m

utua

l or

othe

r si

mila

r fu

nd.

4.12

War

and

terr

oris

m a

nd a

sbes

tos

In r

espe

ct o

f, o

r in

any

way

in c

onne

ctio

n w

ith:

a) t

erro

rism

, war

or

othe

r ho

stili

ties;

and

/or

b) a

sbes

tos

or a

ny a

ctua

l or

alle

ged

asbe

stos

rel

ated

inju

ry o

r da

mag

e in

volv

ing

the

use,

pre

senc

e, e

xist

ence

, det

ectio

n, r

emov

al, e

limin

atio

n or

avo

idan

ce o

f as

best

os o

r ex

posu

re t

o


186

asbe

stos

; pr

ovid

ed t

hat

this

exc

lusi

on d

oes

not

appl

y to

any

Civ

il Li

abili

ty o

r re

late

d D

efen

ce C

osts

aris

ing

from

any

act

ual o

r al

lege

d br

each

of

duty

in t

he p

erfo

rman

ce o

f or

fai

lure

to

per

form

Priv

ate

Lega

l Pra

ctic

e or

a f

ailu

re t

o di

scha

rge

or f

ulfil

any

dut

y in

cide

ntal

to

the

Firm

’s P

ract

ice

or t

o th

e co

nduc

t of

Priv

ate

Lega

l Pra

ctic

e.

4.1

3 N

ew In

stru

ctio

ns

du

rin

g t

he

Ces

sati

on

Per

iod

In

res

pect

of

any

liabi

lity

aris

ing

out

of w

ork

new

inst

ruct

ions

acc

epte

d by

the

Insu

red

durin

g th

e C

essa

tion

Perio

d.

5.

Spec

ial c

on

dit

ion

s 5.

1 N

on d

iscl

osur

e or

mis

repr

esen

tatio

n In

sure

rs w

ill n

ot:

a.

s

eek

to a

void

or

repu

diat

e th

is P

olic

y fo

r no

n-di

sclo

sure

or

mis

repr

esen

tatio

n ot

her

than

fra

udul

ent

non-

disc

losu

re o

r fr

audu

lent

mis

repr

esen

tatio

n; o

r b.

see

k da

mag

es f

or o

r se

ek t

o re

ject

any

cla

im o

n th

e gr

ound

s of

non

-dis

clos

ure

or m

isre

pres

enta

tion

durin

g th

e co

urse

of

nego

tiatin

g th

is P

olic

y or

on

the

grou

nds

of a

bre

ach

of a

ny w

arra

nty

save

whe

re s

uch

non-

disc

losu

re o

r m

isre

pres

enta

tion

is f

raud

ulen

t or

whe

re s

uch

brea

ch o

f w

arra

nty

was

mad

e w

ith a

n in

tent

to

dece

ive.

Th

e In

sure

d sh

all e

stab

lish

to t

he r

easo

nabl

e sa

tisfa

ctio

n of

the

Insu

rer

that

any

alle

ged

non-

disc

losu

re,

mis

repr

esen

tatio

n or

bre

ach

of w

arra

nty

was

fre

e of

any

fra

udul

ent

cond

uct

or in

tent

to

dece

ive.

Pr

ovid

ed a

lway

s th

at t

he in

sure

r w

ill b

e ab

le t

o ad

just

the

pre

miu

m a

nd t

he t

erm

s an

d co

nditi

ons

to t

hose

whi

ch w

ould

hav

e ap

plie

d ha

d th

e ci

rcum

stan

ces

of t

he m

isre

pres

enta

tion

or n

on d

iscl

osur

e be

en d

iscl

osed

'.

5.2

Can

cella

tion

This

Pol

icy

may

not

be

canc

elle

d ex

cept

by

the

agre

emen

t of

bot

h th

e Fi

rm a

nd t

he In

sure

r, a

nd in

any

eve

nt o

nly

in c

ircum

stan

ces

whe

re:

(a)

the

Firm

’s P

ract

ice

is m

erge

d in

to a

Suc

cess

or P

ract

ice

whi

ch h

as t

he b

enef

it of

insu

ranc

e co

mpl

ying

with

the

Min

imum

Ter

ms,

in

whi

ch c

ase

canc

ella

tion

shal

l ha

ve e

ffec

t no

ea

rlier

tha

n th

e da

te o

f su

ch m

erge

r; o

r (b

) re

plac

emen

t in

sura

nce

com

plyi

ng w

ith t

he M

inim

um T

erm

s co

mm

ence

s, i

n w

hich

cas

e ca

ncel

latio

n sh

all

have

eff

ect

no e

arlie

r th

an t

he d

ate

on w

hich

suc

h re

plac

emen

t in

sura

nce

com

men

ces;

or

(c)

it su

bseq

uent

ly t

rans

pire

s th

at t

he F

irm is

not

req

uire

d to

eff

ect

a po

licy

com

plyi

ng w

ith t

he M

inim

um T

erm

s, in

whi

ch c

ase

canc

ella

tion

shal

l hav

e ef

fect

fro

m t

he s

tart

of

the

rele

vant

Inde

mni

ty P

erio

d or

suc

h la

ter

date

as

agre

ed b

etw

een

the

Firm

and

the

Insu

rer.

A

ny c

ance

llatio

n of

thi

s Po

licy

shal

l not

aff

ect

the

right

s an

d ob

ligat

ions

of

the

part

ies

that

hav

e ac

crue

d un

der

this

Pol

icy

prio

r to

the

dat

e fr

om w

hich

can

cella

tion

has

effe

ct.

5.3

Dou

ble

insu

ranc

e a)

Whe

re t

he F

irm’s

Pra

ctic

e is

suc

ceed

ed d

urin

g th

e Pe

riod

of I

nsur

ance

and

, as

a r

esul

t, a

situ

atio

n of

‘do

uble

ins

uran

ce’

exis

ts b

etw

een

two

or m

ore

insu

rers

of

the

Succ

esso

r Pr

actic

e, c

ontr

ibut

ion

betw

een

insu

rers

sha

ll be

det

erm

ined

in a

ccor

danc

e w

ith t

he r

elat

ive

num

bers

of

Prin

cipa

ls o

f th

e co

nstit

uent

pra

ctic

es im

med

iate

ly p

rior

to s

ucce

ssio

n.

b) T

he In

sure

d sh

all:

i) gi

ve n

otic

e in

writ

ing

to t

he o

ther

insu

rer(

s) im

med

iate

ly o

f al

l mat

ters

ref

erre

d to

in c

laus

es

6.1

and

6.2;

and

ii) c

ompl

y w

ith t

he t

erm

s of

the

oth

er p

olic

y/po

licie

s.

5.4

No

set-o

ff A

ny a

mou

nt p

ayab

le b

y th

e In

sure

r to

inde

mni

fy a

n In

sure

d ag

ains

t C

ivil

Liab

ility

to

a cl

aim

ant

will

onl

y be

pai

d to

the

cla

iman

t, o

r at

the

cla

iman

t’s

dire

ctio

n, a

nd t

he In

sure

r is

not

en

title

d to

set

-off

aga

inst

any

suc

h am

ount

any

pay

men

t du

e to

the

Insu

rer

incl

udin

g, w

ithou

t lim

itatio

n, a

ny p

aym

ent

of p

rem

ium

or

reim

burs

emen

t du

e to

the

Insu

rer.

5.

5 A

dvan

cem

ent o

f Def

ence

Cos

ts

The

Insu

rer

shal

l pay

Def

ence

Cos

ts in

curr

ed in

the

def

ence

or

sett

lem

ent

of a

ny C

laim

at

the

time

they

are

incu

rred

, inc

ludi

ng D

efen

ce C

osts

incu

rred

on

beha

lf of

an

Insu

red

who

is

alle

ged

to h

ave

com

mitt

ed o

r co

ndon

ed d

isho

nest

y or

a f

raud

ulen

t ac

t or

om

issi

on,

exce

pt t

hat

the

Insu

rer

shal

l not

be

liabl

e fo

r D

efen

ce C

osts

incu

rred

on

beha

lf of

the

Insu

red

afte

r th

e ea

rlier

of:


187

a) t

he In

sure

d ad

mitt

ing

to t

he In

sure

r th

e co

mm

issi

on o

r co

ndon

ing

of a

dis

hone

st o

r fr

audu

lent

act

or

omis

sion

; or

b) a

cou

rt o

r ar

bitr

ator

or

othe

r ju

dici

al b

ody

findi

ng t

hat

the

Insu

red

was

in f

act

guilt

y of

a d

isho

nest

or

frau

dule

nt a

ct o

r om

issi

on.

5.6

Res

olut

ion

of d

ispu

tes

rega

rdin

g w

heth

er a

firm

is a

Suc

cess

or P

ract

ice

If th

ere

is a

dis

pute

as

to w

heth

er a

firm

is

a Su

cces

sor

Prac

tice

for

the

purp

ose

of c

laus

es 1

.1 a

nd 1

.2,

the

Insu

red

and

the

Insu

rer

will

tak

e al

l re

ason

able

ste

ps (

incl

udin

g, i

f ap

prop

riate

, re

ferr

ing

the

disp

ute

to a

rbitr

atio

n) t

o re

solv

e th

e di

sput

e in

con

junc

tion

with

any

rel

ated

dis

pute

bet

wee

n an

y ot

her

part

y th

at h

as i

nsur

ance

com

plyi

ng w

ith t

he

Min

imum

Ter

ms

and

that

par

ty’s

insu

rer.

6

. G

ener

al C

on

dit

ion

s 6.

1 N

otic

e of

Circ

umst

ance

s Th

e In

sure

d sh

all g

ive

notic

e in

writ

ing

to t

he In

sure

r im

med

iate

ly o

f an

y C

ircum

stan

ce o

f w

hich

the

Insu

red

shal

l bec

ome

awar

e th

at m

ay g

ive

rise

to a

Cla

im a

gain

st t

he In

sure

d.

Prov

ided

suc

h no

tice

has

been

giv

en d

urin

g th

e Pe

riod

of In

sura

nce,

any

Cla

im a

risin

g fr

om t

hat

Circ

umst

ance

tha

t is

sub

sequ

ently

mad

e af

ter

the

expi

ry o

f th

e Pe

riod

of In

sura

nce

shal

l be

deem

ed f

or t

he p

urpo

se o

f th

is P

olic

y to

hav

e be

en m

ade

on t

he d

ate

of n

otifi

catio

n of

the

Circ

umst

ance

. 6.

2 N

otic

e of

Cla

im

The

Insu

red

shal

l giv

e no

tice

in w

ritin

g to

the

Insu

rer

imm

edia

tely

in t

he e

vent

of:

a)

any

Cla

im m

ade

agai

nst

the

Insu

red;

b)

the

rec

eipt

of

notic

e fr

om a

ny p

arty

of

an in

tent

ion

to m

ake

a C

laim

aga

inst

the

Insu

red.

6.

3 C

onte

nts

of n

otic

e A

ny n

otic

e gi

ven

unde

r cl

ause

s 6.

1 or

6.2

mus

t co

ntai

n fu

ll pa

rtic

ular

s in

clud

ing

all

mat

eria

l fa

cts,

dat

es a

nd p

erso

ns i

nvol

ved

and,

in

the

case

of

notic

e of

a C

ircum

stan

ce,

the

reas

ons

for

antic

ipat

ing

that

the

Circ

umst

ance

may

giv

e ris

e to

a C

laim

. 6.

4 N

otic

e of

cha

nges

a)

The

Insu

red

shal

l giv

e pr

ior

notic

e in

writ

ing

that

it is

goi

ng t

o m

erge

, acq

uire

or

abso

rb a

ny o

ther

lega

l pra

ctic

e or

cha

nge

its n

ame

or a

ddre

ss d

urin

g th

e Pe

riod

of In

sura

nce.

The

In

sure

r sh

all h

ave

the

right

to

char

ge s

uch

addi

tiona

l pre

miu

m a

s th

e In

sure

r in

its

sole

dis

cret

ion

cons

ider

s ar

ises

fro

m t

he c

hang

e.

b) T

he In

sure

d sh

all g

ive

notic

e in

writ

ing

of C

essa

tion

of, o

r in

terv

entio

n in

, the

Firm

and

sha

ll pa

y su

ch a

dditi

onal

pre

miu

m a

s m

ay b

e du

e fo

r ru

n-of

f co

ver

on o

r be

fore

the

dat

e of

C

essa

tion.

c)

The

Insu

red

shal

l giv

e no

tice

in w

ritin

g im

med

iate

ly a

fter

obt

aini

ng a

ny r

epla

cem

ent

insu

ranc

e co

mpl

ying

with

the

Min

imum

Ter

ms.

6.

5 C

o-op

erat

ion

of th

e In

sure

d a)

The

Insu

red

shal

l not

mak

e an

y ex

pres

s or

impl

ied

adm

issi

on o

r de

nial

of

liabi

lity,

or

any

othe

r ar

rang

emen

t, o

ffer

, pr

omis

e or

pay

men

t or

incu

r an

y co

sts

and

expe

nses

with

out

the

prio

r w

ritte

n co

nsen

t of

the

Insu

rer.

b)

The

Ins

ured

sha

ll, a

t its

ow

n ex

pens

e, p

rovi

de t

he I

nsur

er o

r an

y so

licito

r ap

poin

ted

by t

he In

sure

r w

ith a

ll in

form

atio

n, e

vide

nce,

doc

umen

ts a

nd a

ssis

tanc

e as

the

Insu

rer

may

re

ason

ably

req

uire

for

the

pro

per

and

effic

ient

inve

stig

atio

n of

any

Circ

umst

ance

or

Cla

im a

nd f

or t

he c

ondu

ct o

f an

y C

laim

, inv

estig

atio

n or

inqu

iry.

c) T

he In

sure

r sh

all b

e en

title

d, a

s it

may

in it

s ab

solu

te d

iscr

etio

n th

ink

fit, a

t an

y tim

e, t

o ta

ke o

ver

the

cond

uct

in t

he n

ame

of t

he In

sure

d or

the

Firm

of

the

defe

nce

or s

ettle

men

t of

any

Cla

im o

r pr

ocee

ding

s (in

clud

ing

any

inve

stig

atio

n or

inqu

iry)

or t

o pr

osec

ute

in t

he n

ame

of t

he In

sure

d or

the

Firm

for

the

Insu

rer’

s ow

n be

nefit

any

cla

im f

or in

dem

nity

or

othe

rwis

e, a

nd t

he In

sure

d sh

all,

at a

ll tim

es, g

ive

full

info

rmat

ion,

co-

oper

atio

n an

d as

sist

ance

for

the

se p

urpo

ses.

The

Insu

red

auth

oris

es a

ny s

olic

itor

appo

inte

d by

the

Insu

rer

to g

o on

the

cou

rt r

ecor

d in

any

pro

ceed

ings

. Th

is p

rovi

sion

sha

ll ap

ply

even

to:

i)

the

cond

uct

of C

laim

s;

ii) t

he d

efen

ce a

nd p

rose

cutio

n of

any

pro

ceed

ings

; and


188

iii) a

ny c

laim

s ag

ains

t an

y ot

her

part

y th

at:

aa) a

re w

ithin

the

Exc

ess;

or

bb

) inc

lude

uni

nsur

ed lo

sses

; w

heth

er o

r no

t th

e In

sure

d se

eks

inde

mni

ty u

nder

thi

s Po

licy.

d)

The

Insu

red

shal

l, in

the

con

duct

of

any

Cla

im o

r cl

aim

aga

inst

any

thi

rd p

arty

for

inde

mni

ty o

r ot

herw

ise,

com

ply

with

all

rule

s of

cou

rt a

nd o

rder

s m

ade

by t

he c

ourt

, fo

llow

all

reas

onab

le a

dvic

e gi

ven

by a

ny s

olic

itor

appo

inte

d by

the

Ins

urer

, at

tend

any

hea

rings

, m

eetin

gs o

r co

nfer

ence

s as

may

rea

sona

bly

be r

equi

red

and

sign

any

doc

umen

ts a

s m

ay

reas

onab

ly b

e re

quire

d.

e) T

he In

sure

d ag

rees

tha

t an

y so

licito

r ap

poin

ted

by t

he In

sure

r sh

all d

iscl

ose

to t

he In

sure

r an

y in

form

atio

n, e

vide

nce

or d

ocum

ents

tha

t th

e In

sure

d ha

s pr

ovid

ed t

o th

at s

olic

itor

whe

ther

priv

ilege

d or

not

. f)

In o

rder

to

asce

rtai

n w

heth

er f

ull a

nd a

ccur

ate

info

rmat

ion

has

been

pro

vide

d in

acc

orda

nce

with

thi

s Po

licy

and

to o

btai

n su

ch in

form

atio

n in

so

far

as it

may

not

hav

e be

en,

the

Insu

rer

may

app

oint

any

per

son

who

m it

thi

nks

fit a

nd m

ay r

equi

re t

he In

sure

d or

the

Firm

to

prod

uce

to t

hat

pers

on a

t su

ch t

imes

and

pla

ces

as h

e m

ay r

eque

st a

ll su

ch a

ccou

ntin

g an

d ot

her

reco

rds

and

docu

men

ts, a

nd t

o su

pply

him

in r

elat

ion

ther

eto

with

suc

h in

form

atio

n an

d ex

plan

atio

ns, a

s he

may

fro

m t

ime

to t

ime

requ

ire.

g) T

he In

sure

d sh

all p

ay f

orth

with

on

dem

and

any

Val

ue A

dded

Tax

incu

rred

in r

elat

ion

to D

efen

ce C

osts

inso

far

as t

he In

sure

d ca

n re

cove

r su

ch V

alue

Add

ed T

ax f

rom

HM

Rev

enue

&

Cus

tom

s.

6.6

Req

uire

men

t to

cont

est l

egal

pro

ceed

ings

a)

The

Insu

red

shal

l not

be

requ

ired

to c

onte

st a

ny le

gal p

roce

edin

gs u

nles

s a

Que

en’s

Cou

nsel

(to

be m

utua

lly a

gree

d up

on b

y th

e In

sure

d an

d th

e In

sure

r or

fai

ling

agre

emen

t to

be

appo

inte

d by

th

e Bo

ard

of IL

EX P

rofe

ssio

nal S

tand

ards

Lim

ited)

sha

ll ad

vise

tha

t, t

akin

g du

e ac

coun

t of

the

inte

rest

s of

bot

h th

e In

sure

r an

d th

e In

sure

d, s

uch

proc

eedi

ngs

shou

ld b

e co

ntes

ted.

b)

The

Que

en’s

Cou

nsel

’s f

ee w

ill b

e pa

yabl

e by

the

par

ty a

gain

st w

hose

con

tent

ion

Que

en’s

Cou

nsel

adv

ises

. 6.

7 R

eim

burs

emen

t a)

Any

Insu

red

who

: i)

com

mitt

ed; o

r ii)

con

done

d (w

heth

er k

now

ingl

y or

rec

kles

sly)

; no

n-di

sclo

sure

, m

isre

pres

enta

tion,

bre

ach

of t

he t

erm

s or

con

ditio

ns o

f th

is P

olic

y, d

isho

nest

y or

any

fra

udul

ent

act

or o

mis

sion

is o

blig

ed t

o re

imbu

rse

the

Insu

rer

to t

he e

xten

t th

at

is ju

st a

nd e

quita

ble

havi

ng r

egar

d to

the

pre

judi

ce c

ause

d to

the

Insu

rer’

s in

tere

st b

y su

ch n

on-d

iscl

osur

e, m

isre

pres

enta

tion,

bre

ach,

dis

hone

sty

or f

raud

. b)

How

ever

, no

n-di

sclo

sure

, m

isre

pres

enta

tion,

bre

ach,

dis

hone

sty,

fra

udul

ent

act

or o

mis

sion

sha

ll no

t be

impu

ted

to a

bod

y co

rpor

ate

unle

ss it

was

com

mitt

ed o

r co

ndon

ed b

y, in

th

e ca

se o

f a

com

pany

, all

dire

ctor

s of

tha

t co

mpa

ny, o

r, in

the

cas

e of

a L

imite

d Li

abili

ty P

artn

ersh

ip, a

ll m

embe

rs o

f th

at L

imite

d Li

abili

ty P

artn

ersh

ip.

c) T

he In

sure

r sh

all n

ot b

e en

title

d to

obt

ain

reim

burs

emen

t pu

rsua

nt t

o th

is c

laus

e fr

om a

n In

sure

d as

def

ined

by

clau

se 7

.11(

d) o

f th

is P

olic

y w

ho is

em

ploy

ed in

con

nect

ion

with

th

e Fi

rm’s

Pra

ctic

e or

his

est

ate

or p

erso

nal r

epre

sent

ativ

es u

nles

s th

at In

sure

d:

i) co

mm

itted

; or

ii) c

ondo

ned

(whe

ther

kno

win

gly

or r

eckl

essl

y); d

isho

nest

y or

any

fra

udul

ent

act

or o

mis

sion

. d)

The

Insu

red

shal

l not

be

requ

ired

to m

ake

any

reim

burs

emen

t un

der

this

con

ditio

n to

the

ext

ent

that

any

suc

h br

each

of

the

term

s or

con

ditio

ns o

f th

e in

sura

nce

was

in o

rder

to

com

ply

with

any

app

licab

le r

ules

or

code

s la

id d

own

from

tim

e to

tim

e by

ILEX

Pro

fess

iona

l Sta

ndar

ds L

imite

d.

e) T

he In

sure

d sh

all r

eim

burs

e to

the

Insu

rer

any

sum

s th

at t

he In

sure

r ha

s pa

id b

ut f

or w

hich

it h

as n

o lia

bilit

y to

inde

mni

fy u

nder

the

ter

ms

of t

his

Polic

y. T

he In

sure

d sh

all a

lso

pay

inte

rest

at

the

rate

of

LIBO

R pl

us 1

%.

f) R

eim

burs

emen

t w

ith in

tere

st s

hall

appl

y, b

ut is

not

lim

ited,

to:

g)

Def

ence

Cos

ts, w

heth

er r

elat

ing

to a

Cla

im t

hat

is n

ot c

over

ed, o

r a

prop

ortio

n of

Def

ence

Cos

ts b

y vi

rtue

of

clau

se 2

.2 o

r cl

ause

5.4

; ii)

sum

s pa

id p

endi

ng r

esol

utio

n of

a c

over

age

disp

ute;

iii

) sum

s fo

r w

hich

oth

er in

sure

rs a

re li

able

; iv

) sum

s fo

r w

hich

an

Insu

red

is li

able

.


189

6.8

Rec

over

ies

a) W

here

any

pay

men

t is

mad

e by

the

Insu

rer

and

any

sum

s ar

e re

cove

red

from

any

oth

er p

arty

, tho

se s

ums

shal

l be

appl

ied

in t

he f

ollo

win

g or

der:

i)

reim

burs

emen

t of

pay

men

ts b

y th

e In

sure

r w

ith in

tere

st a

t th

e ra

te o

f LI

BOR

plus

1%

; the

n ii)

Def

ence

Cos

ts a

nd c

osts

of

any

clai

m f

or r

ecov

ery,

whe

ther

litig

ated

or

not;

the

n iii

) any

sur

plus

sha

ll be

pai

d to

the

Insu

red.

b)

Sub

ject

to

clau

se 6

.7(c

) abo

ve, u

pon

notif

icat

ion

of a

ny C

laim

or

Circ

umst

ance

, the

Insu

rer

will

be

subr

ogat

ed t

o al

l rig

hts

of t

he In

sure

d of

inde

mni

ty,

cont

ribut

ion

or r

ecov

ery

to t

he e

xten

t of

any

pay

men

t m

ade

by t

he In

sure

r. T

he In

sure

d w

ill n

ot s

urre

nder

any

suc

h rig

ht,

or

sett

le a

ny s

uch

clai

m f

or in

dem

nity

, con

trib

utio

n or

rec

over

y w

ithou

t th

e pr

ior

cons

ent

in w

ritin

g of

the

Insu

rer.

c)

Any

unr

ecov

ered

cos

ts i

ncur

red

in p

ursu

ing

reco

very

cla

ims

that

com

pris

e bo

th i

nsur

ed a

nd u

nins

ured

los

ses

shal

l be

sha

red

by t

he I

nsur

er a

nd t

he I

nsur

ed i

n th

e ra

tio o

f th

e re

spec

tive

reco

very

cla

ims.

6.

9 R

equi

rem

ent t

o ob

tain

reim

burs

emen

t W

here

a lo

ss o

r C

laim

invo

lves

dis

hone

sty

or a

fra

udul

ent

act

or o

mis

sion

com

mitt

ed o

r co

ndon

ed b

y an

Insu

red,

any

oth

er In

sure

d sh

all a

t th

e re

ques

t an

d ex

pens

e of

the

Insu

rer

take

all

reas

onab

le s

teps

to

obta

in r

eim

burs

emen

t fr

om t

he In

sure

d w

ho c

omm

itted

or

cond

oned

suc

h di

shon

esty

or

frau

d.

6.10

With

hold

ing

asse

ts o

r ent

itlem

ent

The

Insu

rer

may

req

uire

the

Firm

to

acco

unt

to it

for

any

ass

et o

r en

title

men

t of

any

Insu

red

who

has

com

mitt

ed o

r co

ndon

ed d

isho

nest

y or

any

fra

udul

ent

act

or o

mis

sion

, pro

vide

d th

e Fi

rm is

lega

lly e

ntitl

ed t

o ho

ld t

hat

asse

t or

ent

itlem

ent.

6.

11 F

undi

ng o

f the

Exc

ess

a) T

he F

irm s

hall

pay

the

Exce

ss t

o th

e In

sure

r or

any

sol

icito

r ap

poin

ted

by t

he In

sure

r fo

rthw

ith u

pon

requ

est

in c

onne

ctio

n w

ith a

ny p

aym

ent

into

cou

rt, i

nter

im p

aym

ent,

ten

der

or

sett

lem

ent

of a

ny C

laim

or

Cla

iman

t’s

cost

s.

6.12

Arb

itrat

ion

Save

as

prov

ided

in c

laus

e 6.

6, a

ny d

ispu

te o

r di

sagr

eem

ent

betw

een

the

Insu

red

and

the

Insu

rer

aris

ing

out

of o

r in

con

nect

ion

with

thi

s Po

licy

shal

l be

refe

rred

to

arbi

trat

ion

in

acco

rdan

ce w

ith t

he A

rbitr

atio

n A

ct 1

996

befo

re a

sol

e ar

bitr

ator

to

be m

utua

lly a

gree

d up

on b

y th

e In

sure

d an

d th

e In

sure

r or

fai

ling

agre

emen

t to

be

appo

inte

d by

the

Boa

rd o

f IL

EX P

rofe

ssio

nal S

tand

ards

Lim

ited.

6.

13 S

peci

al c

ondi

tions

to p

reva

il To

the

ext

ent

that

the

re e

xist

s an

y in

cons

iste

ncy

betw

een

the

gene

ral c

ondi

tions

pro

vide

d un

der

clau

se 6

of

this

Pol

icy

and

the

spec

ial

cond

ition

s pr

ovid

ed u

nder

cla

use

5 of

thi

s Po

licy,

the

spe

cial

con

ditio

ns s

hall

prev

ail.

6.14

Con

trac

ts (R

ight

s of

Thi

rd P

artie

s) A

ct 1

999

It is

her

eby

note

d an

d ag

reed

for

the

pur

pose

s of

the

Con

trac

ts (R

ight

s of

Thi

rd P

artie

s) A

ct 1

999

that

the

par

ties

do n

ot in

tend

any

ter

m o

f th

is P

olic

y to

be

enfo

rcea

ble

by a

ny t

hird

pa

rty.

6.

15 G

over

ning

law

Th

is p

olic

y of

insu

ranc

e is

gov

erne

d by

and

is t

o be

inte

rpre

ted

in a

ccor

danc

e w

ith E

nglis

h la

w.

6.16

Wai

ver

The

term

s of

thi

s Po

licy

shal

l not

be

wai

ved

or c

hang

ed e

xcep

t by

end

orse

men

t is

sued

by

the

Insu

rer

to f

orm

par

t of

thi

s po

licy.


190

7.

Inte

rpre

tati

on

an

d D

efin

itio

ns

In t

his

Polic

y, u

nles

s th

e co

ntex

t ot

herw

ise

requ

ires:

7.

1 G

ener

al

a) t

he s

ingu

lar

incl

udes

the

plu

ral,

and

vice

ver

sa;

b) t

he m

ale

gend

er in

clud

es t

he f

emal

e an

d ne

uter

gen

ders

; c)

a r

efer

ence

to

a pe

rson

incl

udes

bod

ies

corp

orat

e, p

artn

ersh

ips,

and

oth

er u

ninc

orpo

rate

d as

soci

atio

ns o

r bo

dies

of

pers

ons;

d)

a r

efer

ence

to

any

stat

ute,

sta

tuto

ry p

rovi

sion

, cod

e or

reg

ulat

ion

incl

udes

: (i)

any

sub

ordi

nate

legi

slat

ion

(as

defin

ed b

y se

ctio

n 21

(1) o

f th

e In

terp

reta

tion

Act

197

8) m

ade

unde

r it;

and

(ii

) an

y pr

ovis

ion

whi

ch i

t ha

s su

pers

eded

or

re-e

nact

ed (

with

or

with

out

mod

ifica

tion)

or

amen

ded,

and

any

pro

visi

on s

uper

sedi

ng i

t or

re-

enac

ting

it (w

ith o

r w

ithou

t m

odifi

catio

n) o

r am

endi

ng it

eith

er b

efor

e, o

r at

or

afte

r th

e in

cept

ion

of t

his

Polic

y;

e) h

eadi

ngs

are

for

ease

of

refe

renc

e on

ly a

nd s

hall

not

affe

ct in

terp

reta

tion.

7.

2 C

ircum

stan

ce

Circ

umst

ance

mea

ns a

n in

cide

nt, o

ccur

renc

e, f

act,

mat

ter,

act

or

omis

sion

tha

t m

ay g

ive

rise

to a

Cla

im in

res

pect

of

Civ

il Li

abili

ty.

7.3

Civ

il Li

abili

ty

Civ

il Li

abili

ty in

clud

es li

abili

ty t

o pa

y an

am

ount

in a

ccor

danc

e w

ith t

he r

ecom

men

datio

n of

the

Leg

al O

mbu

dsm

an p

ursu

ant

to s

ectio

ns 1

37(2

)(c)

and

sect

ion

137(

4)(b

) of

the

Leg

al

Serv

ices

Act

200

7 or

any

reg

ulat

ory

auth

ority

by

who

se r

ules

the

Ins

ured

is

boun

d pr

ovid

ed t

hat

the

Insu

rer

will

hav

e no

lia

bilit

y in

res

pect

of

any

dete

rmin

atio

n by

the

Leg

al

Om

buds

man

pur

suan

t to

sec

tion

137(

2)(b

) of

the

Lega

l Ser

vice

s ac

t 20

07 t

o re

fund

any

fee

s pa

id t

o th

e In

sure

d.

7.4

Cla

im

Cla

im m

eans

a d

eman

d fo

r, o

r an

ass

ertio

n of

a r

ight

to,

civ

il co

mpe

nsat

ion

or c

ivil

dam

ages

or

an in

timat

ion

of a

n in

tent

ion

to s

eek

such

com

pens

atio

n or

dam

ages

. F

or t

hese

pu

rpos

es a

n ob

ligat

ion

on t

he F

irm a

nd o

r an

y In

sure

d to

rem

edy

a br

each

of

the

acco

unts

rul

es p

ublis

hed

by IL

EX P

rofe

ssio

nal S

tand

ards

Lim

ited

(as

amen

ded

or r

epla

ced

from

tim

e to

tim

e) s

hall

be t

reat

ed a

s a

Cla

im a

nd t

he o

blig

atio

n to

rem

edy

such

bre

ach

shal

l be

trea

ted

as a

Civ

il Li

abili

ty f

or t

he p

urpo

ses

of c

laus

e 1,

whe

ther

or

not

any

pers

on m

akes

a

dem

and

for,

or

an a

sser

tion

of a

rig

ht t

o, c

ivil

com

pens

atio

n or

civ

il da

mag

es o

r an

intim

atio

n of

an

inte

ntio

n to

see

k su

ch c

ompe

nsat

ion

or d

amag

es a

s a

resu

lt of

suc

h br

each

, ex

cept

whe

re a

ny s

uch

oblig

atio

n m

ay a

rise

as a

res

ult

of t

he in

solv

ency

of

a ba

nk (

as d

efin

ed in

sec

tion

87 o

f th

e So

licito

rs A

ct 1

974)

or

a bu

ildin

g so

ciet

y (w

ithin

the

mea

ning

of

the

Build

ing

Soci

etie

s A

ct 1

986)

whi

ch h

olds

clie

nt m

oney

in a

clie

nt a

ccou

nt o

f th

e Fi

rm o

r th

e fa

ilure

of

such

ban

k of

bui

ldin

g so

ciet

y ge

nera

lly t

o re

pay

mon

ies

on d

eman

d,

7.5

Cla

iman

t C

laim

ant

mea

ns a

per

son

or e

ntity

tha

t ha

s m

ade

or m

ay m

ake

a C

laim

, inc

ludi

ng a

Cla

im f

or c

ontr

ibut

ion

or in

dem

nity

. 7.

6 D

efen

ce C

osts

D

efen

ce C

osts

mea

ns le

gal c

osts

and

dis

burs

emen

ts a

nd in

vest

igat

ive

and

rela

ted

expe

nses

rea

sona

bly

and

nece

ssar

ily in

curr

ed w

ith t

he In

sure

r’s

prio

r co

nsen

t (s

uch

cons

ent

not

to b

e un

reas

onab

ly w

ithhe

ld):

a) in

def

endi

ng a

ny p

roce

edin

gs r

elat

ing

to a

Cla

im; o

r b)

in c

ondu

ctin

g an

y pr

ocee

ding

s fo

r in

dem

nity

, con

trib

utio

n or

rec

over

y re

latin

g to

a C

laim

; or

c) in

inve

stig

atin

g, r

educ

ing,

avo

idin

g or

com

prom

isin

g an

y ac

tual

or

pote

ntia

l Cla

im; o

r d)

in a

ctin

g fo

r an

Insu

red

in c

onne

ctio

n w

ith a

ny in

vest

igat

ion

or in

quiry

aris

ing

from

any

Cla

im r

efer

red

to in

cla

use

1.1

or f

rom

Circ

umst

ance

s fir

st n

otifi

ed t

o th

e In

sure

r du

ring

the

Perio

d of

Insu

ranc

e.


191

Def

ence

Cos

ts d

oes

not

incl

ude

any

inte

rnal

or

over

head

exp

ense

s of

the

Firm

or

the

Insu

rer

or t

he c

ost

of t

he I

nsur

ed’s

tim

e or

any

Val

ue A

dded

Tax

ins

ofar

as

the

Insu

red

can

reco

ver

such

Val

ue A

dded

Tax

fro

m H

M R

even

ue &

Cus

tom

s.

7.7

Empl

oyee

Em

ploy

ee m

eans

any

per

son

othe

r th

an a

Prin

cipa

l: a)

em

ploy

ed o

r ot

herw

ise

enga

ged

in t

he F

irm’s

Pra

ctic

e (in

clud

ing

unde

r a

cont

ract

for

ser

vice

s).

b) s

econ

ded

to w

ork

in t

he F

irm’s

Pra

ctic

e; o

r c)

sec

onde

d by

the

Firm

to

wor

k el

sew

here

. Em

ploy

ee d

oes

not

incl

ude

any

pers

on w

ho i

s en

gage

d by

the

Firm

und

er a

con

trac

t fo

r se

rvic

es i

n re

spec

t of

any

wor

k w

here

tha

t pe

rson

is

requ

ired

unde

r th

e ru

les

of I

LEX

Pr

ofes

sion

al S

tand

ards

Lim

ited

or a

ny o

ther

pro

fess

iona

l bod

y, t

o ta

ke o

ut o

r to

be

insu

red

unde

r se

para

te p

rofe

ssio

nal i

ndem

nity

insu

ranc

e in

res

pect

of

that

wor

k.

7.8

Exce

ss

The

Exce

ss m

eans

the

firs

t am

ount

of

a C

laim

tha

t is

not

cov

ered

by

the

Polic

y.

7.9

Firm

Th

e Fi

rm m

eans

the

sol

e pr

actit

ione

r, p

artn

ersh

ip o

r bo

dy (

as c

onst

itute

d fr

om t

ime

to t

ime)

aut

horis

ed b

y IL

EX P

rofe

ssio

nal S

tand

ards

Lim

ited

and

spec

ified

in t

he S

ched

ule.

7.

10 F

irm’s

Pra

ctic

e Th

e Fi

rm’s

Pra

ctic

e m

eans

the

Priv

ate

Lega

l Pra

ctic

e ca

rrie

d on

by

the

Firm

, any

Prio

r Pr

actic

e an

d/or

any

Suc

cess

or P

ract

ice.

7.

11 In

sure

d In

sure

d m

eans

eac

h an

d al

l of

the

follo

win

g pe

rson

s or

lega

l ent

ities

eac

h be

ing

seve

rally

insu

red

here

unde

r:

a) t

he F

irm; a

nd

b) e

ach

trus

tee

or n

omin

ee c

ompa

ny o

wne

d by

the

Insu

red

Firm

and

/or

the

Prin

cipa

ls o

f th

e In

sure

d Fi

rm a

nd r

egul

ated

by

ILEX

Pro

fess

iona

l Sta

ndar

ds L

imite

d; a

nd

c) e

ach

Prin

cipa

l, ea

ch f

orm

er P

rinci

pal,

and

each

per

son

who

bec

omes

a P

rinci

pal o

f th

e Fi

rm d

urin

g th

e Pe

riod

of In

sura

nce;

and

d)

eac

h Em

ploy

ee, e

ach

form

er E

mpl

oyee

and

eac

h pe

rson

who

dur

ing

the

Perio

d of

Insu

ranc

e be

com

es a

n Em

ploy

ee o

f th

e Fi

rm o

r a

com

pany

ref

erre

d to

in s

ub-c

laus

e (c

); an

d e)

the

est

ate

or le

gal p

erso

nal r

epre

sent

ativ

es o

f an

y de

ceas

ed o

r le

gally

inca

paci

tate

d pe

rson

ref

erre

d to

in s

ub-c

laus

e (c

) or

(d).

The

Insu

red

as d

efin

ed a

t su

b-cl

ause

(a)

abo

ve s

hall

act

as a

gent

on

beha

lf of

all

Insu

reds

for

the

pur

pose

s of

giv

ing

and

rece

ivin

g no

tices

and

for

the

pur

pose

s of

end

orse

men

ts t

o an

d ca

ncel

latio

n of

the

Pol

icy.

7.

12 In

sure

r Th

e In

sure

r m

eans

XX

XX

XX

X In

sura

nce

plc.

7.

13 L

imite

d Li

abili

ty P

artn

ersh

ip

Lim

ited

Liab

ility

Par

tner

ship

mea

ns a

lim

ited

liabi

lity

part

ners

hip

inco

rpor

ated

und

er t

he L

imite

d Li

abili

ty P

artn

ersh

ips

Act

200

0.

7.14

Min

imum

Wor

ding

M

inim

um W

ordi

ng m

eans

the

Min

imum

Wor

ding

spe

cifie

d by

ILEX

Pro

fess

iona

l Sta

ndar

ds L

imite

d.

7.15

One

Cla

im

All

Cla

ims

or s

erie

s’ o

f C

laim

s ar

isin

g fr

om o

r in

con

nect

ion

with

or

attr

ibut

able

to

one

orig

inat

ing

caus

e or

one

orig

inat

ing

sour

ce w

ill b

e de

emed

to

be o

ne C

laim

for

the

pur

pose

s


192

cont

empl

ated

by

clau

se 2

.1.

7.16

Par

tner

Pa

rtne

r m

eans

a p

erso

n w

ho is

or

is h

eld

out

to b

e a

part

ner

in a

Par

tner

ship

. 7.

17 P

artn

ersh

ip

Part

ners

hip

mea

ns a

n un

inco

rpor

ated

firm

in w

hich

per

sons

are

or

are

held

out

as

Part

ners

and

doe

s no

t in

clud

e a

firm

inco

rpor

ated

as

a Li

mite

d Li

abili

ty P

artn

ersh

ip.

7.18

Per

iod

of In

sura

nce

The

Perio

d of

Insu

ranc

e m

eans

the

per

iod

spec

ified

in t

he S

ched

ule

or a

ny e

ndor

sem

ent

ther

eto.

7.

19 P

rinci

pal

Prin

cipa

l mea

ns:

a) w

here

the

Firm

is o

r w

as:

(i) a

sol

e pr

actit

ione

r ---

that

pra

ctiti

oner

; (ii

) a P

artn

ersh

ip ---

eac

h Pa

rtne

r;

(iii)

a co

mpa

ny w

ith a

sha

re c

apita

l ---

each

dire

ctor

of

that

com

pany

and

any

per

son

who

: (a

) is

held

out

as

a di

rect

or; o

r (b

) ben

efic

ially

ow

ns t

he w

hole

or

any

part

of

a sh

are

in t

he c

ompa

ny; o

r (c

) is

the

ultim

ate

bene

ficia

l ow

ner

of t

he w

hole

or

any

part

of

a sh

are

in t

he c

ompa

ny.

(i

v) a

com

pany

with

out

a sh

are

capi

tal -

-- ea

ch d

irect

or o

f th

at c

ompa

ny a

nd a

ny p

erso

n w

ho:

(a) i

s he

ld o

ut a

s a

dire

ctor

; or

(b) i

s a

mem

ber

of t

he c

ompa

ny; o

r (c

) is

the

ultim

ate

owne

r of

the

who

le o

r an

y pa

rt o

f a

body

cor

pora

te o

r ot

her

lega

l per

son

whi

ch is

a m

embe

r of

the

com

pany

; (v

) a

Lim

ited

Liab

ility

Par

tner

ship

--- e

ach

mem

ber

of t

hat

Lim

ited

Liab

ility

Par

tner

ship

, an

d an

y pe

rson

who

is t

he u

ltim

ate

owne

r of

the

who

le o

r an

y pa

rt o

f a

body

cor

pora

te o

r ot

her

lega

l per

son

whi

ch is

a m

embe

r of

the

Lim

ited

Liab

ility

Par

tner

ship

. b)

whe

re a

bod

y co

rpor

ate

or o

ther

lega

l per

son

is a

Par

tner

in t

he F

irm,

any

pers

on w

ho is

with

in p

arag

raph

(a)

(iii)

of t

his

defin

ition

(in

clud

ing

sub

para

grap

hs (

a) a

nd (

c) t

here

of),

para

grap

h (a

)(iv)

of

this

def

initi

on (i

nclu

ding

sub

par

agra

phs

(a) a

nd (c

) the

reof

), or

par

agra

ph a

(v) o

f th

is d

efin

ition

. 7.

20 P

rior P

ract

ice

Prio

r Pr

actic

e m

eans

eac

h pr

actic

e to

whi

ch t

he F

irm is

ulti

mat

ely

a Su

cces

sor

Prac

tice

by w

ay o

f on

e or

mor

e m

erge

rs,

acqu

isiti

ons,

abs

orpt

ions

or

othe

r tr

ansi

tions

, bu

t do

es n

ot

incl

ude

any

such

pra

ctic

e w

hich

has

ele

cted

and

has

pai

d to

be

insu

red

unde

r ru

n-of

f co

ver.

7.

21 P

rivat

e Le

gal P

ract

ice

Priv

ate

Lega

l Pra

ctic

e m

eans

the

pro

visi

on o

f se

rvic

es in

priv

ate

prac

tice

as a

pro

fess

iona

l aut

horis

ed b

y IL

EX P

rofe

ssio

nal S

tand

ards

Lim

ited

, inc

ludi

ng, w

ithou

t lim

itatio

n: :

a) p

rovi

ding

suc

h se

rvic

es in

Eng

land

, Wal

es o

r an

ywhe

re in

the

wor

ld, w

heth

er a

lone

or

with

oth

er la

wye

rs in

a

Part

ners

hip,

an

auth

oris

ed b

ody

or a

lice

nsed

bod

y (in

res

pect

of

its r

egul

ated

act

iviti

es);

and

b) t

he p

rovi

sion

of

such

ser

vice

s as

a s

econ

dee

of t

he F

irm; a

nd

c) t

he a

ccep

tanc

e an

d pe

rfor

man

ce o

f ob

ligat

ion

as a

per

sona

l rep

rese

ntat

ive,

tru

stee

, att

orne

y, in

solv

ency

pra

ctiti

oner

or

in a

ny o

ther

rol

e in

con

junc

tion

with

a F

irm’s

Pra

ctic

e to

the

ext

ent

that

any

fee

s or

oth

er in

com

e ac

crue

to

the

bene

fit o

f th

e Fi

rm’s

Pra

ctic

e; a

nd

d) t

he p

rovi

sion

of

such

ser

vice

s by

any

Em

ploy

ee; a

nd

e) t

he p

rovi

sion

of

such

ser

vice

s pr

o bo

no p

ublic

o.


193

Priv

ate

Lega

l Pra

ctic

e do

es n

ot in

clud

e:

i) pr

actis

ing

as a

n Em

ploy

ee o

f an

em

ploy

er o

ther

tha

n a

Firm

reg

ulat

ed b

y IL

EX P

rofe

ssio

nal S

tand

ards

Lim

ited;

or

iii) d

isch

argi

ng t

he f

unct

ions

of

any

of t

he f

ollo

win

g of

fices

or

appo

intm

ents

: a)

judi

cial

off

ice;

b)

Und

er S

herif

fs;

c) m

embe

rs a

nd c

lerk

s of

suc

h tr

ibun

als,

com

mitt

ees,

pan

els

and

boar

ds a

s th

e Bo

ard

of IL

EX p

rofe

ssio

nal S

tand

ards

Lim

ited

may

fro

m t

ime

to t

ime

desi

gnat

e bu

t in

clud

ing

thos

e su

bjec

t to

the

Trib

unal

s an

d In

quiri

es A

ct 1

992,

the

Com

petit

ion

Com

mis

sion

, Leg

al S

ervi

ces

Com

mis

sion

Rev

iew

Pan

els

and

Paro

le B

oard

s;

d) J

ustic

es’ C

lerk

s; o

r e)

Sup

erin

tend

ent

Regi

stra

rs a

nd D

eput

y Su

perin

tend

ent

Regi

stra

rs o

f Bi

rths

, Mar

riage

s an

d D

eath

s an

d Re

gist

rars

of

Loca

l Cre

mat

oria

. 7.

22 A

utho

rised

Bod

y A

utho

rised

Bod

y m

eans

a b

ody

for t

he ti

me

bein

g au

thor

ised

by

ILE

X pr

ofes

sion

al S

tand

ards

Lim

ited.

7.

23 S

ucce

ssor

Pra

ctic

e Su

cces

sor

Prac

tice

mea

ns a

Firm

res

ultin

g fr

om a

mer

ger,

acq

uisi

tion,

abs

orpt

ion

or o

ther

tra

nsiti

on f

ollo

win

g w

hich

the

Firm

suc

ceed

ed t

o is

no

long

er b

eing

car

ried

on a

s a

disc

rete

Fi

rm w

here

: a)

the

ow

ners

of

the

succ

eedi

ng F

irm h

old

or h

eld

the

Firm

out

, exp

ress

ly o

r by

impl

icat

ion,

as

bein

g th

e su

cces

sor

of t

he o

ther

Firm

, or

as

inco

rpor

atin

g th

e ot

her

Firm

, whe

ther

the

ho

ldin

g ou

t is

con

tain

ed in

not

epap

er, b

usin

ess

card

s, e

lect

roni

c co

mm

unic

atio

n, p

ublic

atio

ns, p

rom

otio

nal m

ater

ial,

or o

ther

wis

e , o

r is

con

tain

ed in

any

sta

tem

ent

or d

ecla

ratio

n by

th

e Fi

rm t

o an

y re

gula

tory

or

taxa

tion

auth

ority

or

b)

the

Firm

suc

ceed

ed t

o w

as a

par

tner

ship

and

eith

er:

i) th

e m

ajor

ity o

f th

e Pr

inci

pals

of

the

Firm

suc

ceed

ed t

o ha

ve b

ecom

e Pr

inci

pals

of

the

succ

esso

r Fi

rm;

or t

he m

ajor

ity o

f th

e Pr

inci

pals

of

the

Firm

suc

ceed

ed t

o ha

ve n

ot b

ecom

e Pr

inci

pals

of

anot

her

prac

tice

but

one

or m

ore

of t

he

Prin

cipa

ls o

f th

e Fi

rm s

ucce

eded

to

hav

e be

com

e Pr

inci

pals

of

the

succ

esso

r Fi

rm a

nd o

ne o

r m

ore

of t

he f

ollo

win

g ap

ply:

aa

) the

suc

cess

or F

irm is

car

ried

on u

nder

the

sam

e na

me

as t

he F

irm s

ucce

eded

to

or u

nder

a n

ame

that

sub

stan

tially

in

corp

orat

es t

he n

ame

of t

he F

irm s

ucce

eded

to

(or

a su

bsta

ntia

l par

t of

the

nam

e of

the

Firm

);

bb) t

he s

ucce

ssor

Firm

is c

arrie

d on

fro

m t

he s

ame

prem

ises

as

the

Firm

suc

ceed

ed t

o;

cc) t

he s

ucce

ssor

Firm

acq

uire

d th

e go

odw

ill a

nd/o

r as

sets

of

the

Firm

suc

ceed

ed t

o;

dd) t

he s

ucce

ssor

Firm

ass

umed

the

liab

ilitie

s of

the

Firm

suc

ceed

ed t

o;

ee) t

he m

ajor

ity o

f st

aff

empl

oyed

by

the

Firm

suc

ceed

ed t

o be

cam

e Em

ploy

ees

of t

he s

ucce

ssor

Firm

; or

c)

the

Firm

suc

ceed

ed t

o w

as a

sol

e pr

actit

ione

r an

d th

e so

le p

ract

ition

er is

a P

rinci

pal o

r Em

ploy

ee o

f th

e su

cces

sor

Firm

; or

e)

the

Firm

suc

ceed

ed t

o w

as a

n en

tity

that

is n

ow a

Prin

cipa

l of

the

succ

esso

r Fi

rm.

Exce

pt t

hat

a Fi

rm s

hall

not

be a

Suc

cess

or P

ract

ice

unde

r su

b-cl

ause

(b),

(c),

(d) o

r (e

) if

anot

her

Firm

hol

ds o

r he

ld it

self

out

as t

he s

ucce

ssor

or

as in

corp

orat

ing

the

Firm

suc

ceed

ed

to p

rovi

ded

that

oth

er F

irm h

as in

sura

nce

com

plyi

ng w

ith t

he M

inim

um W

ordi

ng

7.TB

A E

xten

ded

Inde

mni

ty P

erio

d Ex

tend

ed In

dem

nity

Per

iod

mea

ns t

he p

erio

d co

mm

enci

ng a

t th

e en

d of

the

last

Per

iod

of

Insu

ranc

e to

whi

ch t

he p

olic

y re

late

s an

d en

ding

on

the

date

whi

chev

er is

the

ear

lier

of:

i) th

e da

te w

hich

is 3

0 da

ys a

fter

the

end

of

the

last

Per

iod

of In

sura

nce;

(ii

) the

dat

e of

ince

ptio

n of

a p

olic

y co

mpl

ying

with

the

Min

imum

Wor

ding

in r

espe

ct o

f th

e Fi

rm

for

the

year

com

men

cing

imm

edia

tely

fol

low

ing

the

Perio

d of

Insu

ranc

e; o

r (ii

i) th

e da

te u

pon

whi

ch t

he F

irm’s

Pra

ctic

e ce

ases

. 7.

TBA

Ces

satio

n Pe

riod

Ces

satio

n Pe

riod

mea

ns t

he p

erio

d co

mm

enci

ng o

n th

e ex

piry

of

the

Exte

nded

Inde

mni

ty


194

Perio

d in

circ

umst

ance

s w

here

the

Firm

has

not

cea

sed

prac

tice

or o

btai

ned

a po

licy

in

acco

rdan

ce w

ith t

he M

inim

um W

ordi

ng f

or a

Per

iod

of In

sura

nce,

and

end

ing

on t

he d

ate

whi

ch

is t

he e

arlie

r to

occ

ur o

f:

(i) t

he d

ate

upon

whi

ch t

he F

irm o

btai

ns a

pol

icy

in a

ccor

danc

e w

ith t

he M

inim

um W

ordi

ng; o

r (ii

) the

dat

e w

hich

is 9

0 da

ys a

fter

the

com

men

cem

ent

of t

he E

xten

ded

Inde

mni

ty P

erio

d; o

r (ii

i) th

e da

te o

n w

hich

the

Firm

’s P

ract

ice

ceas

es

Our

com

plai

nts

proc

edur

e W

e va

lue

the

oppo

rtun

ity t

o in

vest

igat

e an

y co

ncer

ns y

ou m

ay h

ave

abou

t an

y as

pect

of

our

serv

ice

and

are

com

mitt

ed t

o ha

ndlin

g al

l com

plai

nts

fairl

y, t

horo

ughl

y an

d pr

ompt

ly.

Who

to c

onta

ct in

the

first

inst

ance

M

any

conc

erns

can

be

reso

lved

str

aigh

t aw

ay t

here

fore

in t

he f

irst

inst

ance

ple

ase

get

in t

ouch

with

you

r us

ual c

onta

ct a

s th

ey w

ill g

ener

ally

be

able

to

prov

ide

you

with

an

imm

edia

te r

espo

nse

to y

our

satis

fact

ion.

Con

tact

det

ails

will

be

prov

ided

on

corr

espo

nden

ce t

hat

we

or o

ur r

epre

sent

ativ

es h

ave

sent

you

. If

we

cann

ot r

esol

ve y

our

com

plai

nt s

trai

ght

away

we

will

aim

to

reso

lve

your

con

cern

s as

soo

n as

pos

sibl

e an

d w

e w

ill k

eep

you

info

rmed

of

prog

ress

whi

le o

ur e

nqui

ries

are

cont

inui

ng.

The

maj

ority

of

com

plai

nts

we

rece

ive

are

reso

lved

with

in f

our

wee

ks o

f re

ceip

t.

Nex

t ste

ps if

you

are

not

hap

py w

ith th

e re

spon

se p

rovi

ded

We

are

dedi

cate

d to

our

cus

tom

ers

and

seek

to

do w

hat

is r

ight

how

ever

som

etim

es w

e m

ay n

ot b

e ab

le t

o re

ach

an a

gree

men

t w

ith y

ou.

If th

is is

the

cas

e an

d yo

u re

mai

n di

ssat

isfie

d on

ce

you

have

rec

eive

d ou

r re

spon

se t

o yo

ur c

ompl

aint

we

will

ref

er y

our

com

plai

nt t

o ou

r C

usto

mer

Rel

atio

ns T

eam

for

a s

epar

ate

revi

ew. T

he C

usto

mer

Rel

atio

ns T

eam

will

con

tact

you

to

let

you

know

the

y ha

ve r

ecei

ved

your

com

plai

nt

and

whe

n th

eir

revi

ew is

com

plet

e th

ey w

ill p

rovi

de y

ou w

ith a

fin

al r

espo

nse

on o

ur b

ehal

f.

The

Fina

ncia

l Om

buds

man

Ser

vice

(FO

S)

If w

e ar

e un

able

to

reso

lve

your

com

plai

nt t

o yo

ur s

atis

fact

ion

with

in e

ight

wee

ks o

r if

you

rem

ain

diss

atis

fied

follo

win

g re

ceip

t of

our

fin

al r

espo

nse

lett

er y

ou c

an a

sk t

he F

OS

to f

orm

ally

re

view

you

r ca

se, p

rovi

ded

your

ann

ual t

urno

ver

is le

ss t

han

£1,0

00,0

00. Y

ou m

ust

cont

act

the

FOS

with

in s

ix m

onth

s of

our

fin

al r

espo

nse.

Th

e FO

S co

ntac

t de

tails

are

as

follo

ws:

Fi

nanc

ial O

mbu

dsm

an S

ervi

ce

Sout

h Q

uay

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a 18

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arsh

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l Lo

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u ca

n te

leph

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for

free

on:

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00 2

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r pe

ople

pho

ning

fro

m a

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ed li

ne’’

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exa

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land

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ome)

030

0 12

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for

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use

rs w

ho p

ay a

mon

thly

cha

rge

for

calls

to

num

bers

sta

rtin

g 01

or

02

Or

e-m

ail:

com

plai

nt.in

fo@

finan

cial

-om

buds

man

.org

.uk

This

is a

fre

e an

d im

part

ial s

ervi

ce a

nd w

ill n

ot a

ffec

t yo

ur le

gal r

ight

s.

The

FOS

can

help

with

mos

t co

mpl

aint

s if

you

are:

o

a co

nsum

er


195

o a

busi

ness

em

ploy

ing

few

er t

han

10 p

erso

ns t

hat

has

an a

nnua

l tur

nove

r or

bal

ance

she

et t

hat

does

not

exc

eed

€2 m

illio

no

a ch

arity

with

an

annu

al in

com

e of

less

tha

n £1

mill

ion

o a

trus

tee

of a

tru

st w

ith a

net

ass

et v

alue

of

less

tha

n £1

mill

ion.

If

you

are

unsu

re w

heth

er t

he F

OS

will

con

side

r yo

ur c

ompl

aint

ple

ase

cont

act

them

dire

ctly

for

fur

ther

info

rmat

ion.

You

are

ent

itled

to

cont

act

the

FOS

at a

ny s

tage

of

your

com

plai

nt.

The

Fina

ncia

l Ser

vice

s C

ompe

nsat

ion

Sche

me

(FSC

S)

We

are

cove

red

by t

he F

inan

cial

Ser

vice

s C

ompe

nsat

ion

Sche

me

(FSC

S). Y

ou m

ay b

e en

title

d to

com

pens

atio

n sh

ould

we

be u

nabl

e to

mee

t ou

r ob

ligat

ions

. Fur

ther

info

rmat

ion

is a

vaila

ble

on

ww

w.f

scs.

org.

uk o

r yo

u m

ay c

onta

ct t

he F

SCS

on 0

800

678

1100

. Fo

llow

ing

this

com

plai

nts

proc

edur

e do

es n

ot a

ffec

t yo

ur le

gal r

ight

s.

How

we

will

use

you

r dat

a W

e ho

ld y

our

pers

onal

dat

a in

acc

orda

nce

with

the

Dat

a Pr

otec

tion

Act

199

8. T

he in

form

atio

n su

pplie

d to

us

by y

ou m

ay b

e he

ld o

n co

mpu

ter

and

pass

ed t

o ot

her

insu

rers

for

und

erw

ritin

g an

d cl

aim

s pu

rpos

es. Y

ou s

houl

d sh

ow t

his

to a

nyon

e w

hose

per

sona

l dat

a m

ay b

e pr

oces

sed

to a

dmin

iste

r th

is p

olic

y.

Polic

y A

dmin

istr

atio

n In

ord

er t

o ad

min

iste

r yo

ur in

sura

nce

polic

y an

d an

y cl

aim

s m

ade

unde

r th

is p

olic

y w

e m

ay s

hare

per

sona

l dat

a pr

ovid

ed t

o us

with

oth

er c

ompa

nies

with

in t

he X

XX

XX

XX

Fin

anci

al S

ervi

ces

Gro

up a

nd w

ith b

usin

ess

part

ners

incl

udin

g ov

erse

as c

ompa

nies

. If

we

do t

rans

fer

your

per

sona

l dat

a in

clud

ing

whe

re w

e pr

opos

e a

chan

ge o

f un

derw

riter

we

mak

e su

re t

hat

it is

app

ropr

iate

ly p

rote

cted

. C

laim

s H

isto

ry

Whe

n yo

u no

tify

us a

bout

a c

laim

or

circ

umst

ance

we

may

pas

s in

form

atio

n re

latin

g to

it t

o th

e re

leva

nt d

atab

ase.

We

may

sea

rch

thes

e da

taba

ses

whe

n yo

u ap

ply

for

insu

ranc

e, in

the

eve

nt

of a

ny c

ircum

stan

ce o

r cl

aim

, or

at t

ime

of r

enew

al t

o va

lidat

e yo

ur c

laim

s hi

stor

y or

tha

t of

any

oth

er p

erso

n or

pro

pert

y lik

ely

to b

e in

volv

ed in

the

pol

icy

or c

laim

. Fr

aud

Prev

entio

n an

d D

etec

tion

In o

rder

to

prev

ent

and

dete

ct f

raud

we

may

at

any

time:

a)

sha

re in

form

atio

n ab

out

you

with

oth

er o

rgan

isat

ions

incl

udin

g th

e po

lice

b) u

nder

take

cre

dit

sear

ches

c) c

heck

and

sha

re y

our

deta

ils w

ith f

raud

pre

vent

ion

and

dete

ctio

n ag

enci

es.

If fa

lse

or in

accu

rate

info

rmat

ion

is p

rovi

ded

and

frau

d is

iden

tifie

d de

tails

will

be

pass

ed t

o fr

aud

prev

entio

n ag

enci

es. L

aw e

nfor

cem

ent

agen

cies

may

acc

ess

and

use

this

info

rmat

ion.

We

and

othe

r or

gani

satio

ns m

ay a

lso

acce

ss a

nd u

se t

his

info

rmat

ion

to p

reve

nt f

raud

and

mon

ey la

unde

ring

for

exam

ple

whe

n:

a) c

heck

ing

deta

ils o

n ap

plic

atio

ns f

or c

redi

t an

d cr

edit

rela

ted

or o

ther

fac

ilitie

s b)

man

agin

g cr

edit

and

cred

it re

late

d ac

coun

ts o

r fa

cilit

ies

c) r

ecov

erin

g de

bt a

nd t

raci

ng b

enef

icia

ries

d) c

heck

ing

deta

ils o

n pr

opos

als

and

clai

ms

for

all t

ypes

of

insu

ranc

e e)

che

ckin

g de

tails

of

job

appl

ican

ts a

nd e

mpl

oyee

s.

Plea

se c

onta

ct u

s if

you

wan

t to

rec

eive

det

ails

of

the

rele

vant

fra

ud p

reve

ntio

n ag

enci

es.

We

and

othe

r or

gani

satio

ns m

ay a

cces

s an

d us

e fr

om o

ther

cou

ntrie

s th

e in

form

atio

n re

cord

ed b

y fr

aud

prev

entio

n ag

enci

es.


197

COMPENSATION FUND RULES APPENDIX 12

APPENDIX 12

COMPENSATION FUND RULES

198


IPS COMPENSATION FUND RULES Interpretation 1. In these Rules, unless otherwise provided:

Applicant: means a person applying for a Discretionary Grant;

Authorised Body: has the same meaning as in the IPS Authorisation Rules;

CILEx: means the Chartered Institute of Legal Executives;

Discretionary Grant means a Discretionary Grant made by CILEx under Rule 4 (1)(a) or (b);

the Fund: means the CILEx Compensation Fund; and

IPS: means ILEX Professional Standards Limited.

regulated legal activity: means: (a) a reserved legal activity; or (b) immigration advice or immigration services;

reserved legal activity: has the same meaning as in the Legal Services Act 2007. The Fund 2. (1) CILEx shall establish and maintain the CILEx Compensation Fund (the Fund)

which shall be applied to the payment of Discretionary Grants and for the other purposes provided for under these Rules.

(2) Every Authorised Body shall make contributions to the Fund. The rate, amount

and payment arrangements for those contributions shall be such as IPS may from time to time prescribe.

(3) Any contribution which is not paid in accordance with paragraph (2) may be

recovered by CILEx as a debt. Management of the Fund 3. (1) The Fund shall be managed by IPS, which may:

(a) hold and distribute any monies raised for the purposes of the Fund;

(b) invest the Fund in any investments in which trustees may invest under section 3 of the Trustee Act 2000 (general power of investment);

(c) insure in relation to the Fund, and pay premiums in respect of such insurance from the Fund, for such purposes and on such terms as it considers appropriate;


(d) borrow for the purposes of the Fund, pay interest on any money so borrowed, repay any money so borrowed and use investments which form part of the Fund as security for such borrowing; and

(e) use the Fund to pay any other costs, charges or expenses incurred by CILEx in establishing and administering the Fund.

(2) The payments which may be made under Paragraph (1)(e) include any

expenditure, including the payment of any award of costs or damages, incurred by CILEx, IPS, their employees or agents as a result of proceedings against any of them for any good faith act or omission in the exercise or purported exercise of powers under these Rules.

Discretionary Grants 4. (1) The Fund may be used by IPS to make Discretionary Grants to a person who is a

client of an Authorised body to:

(a) replace money which an Authorised Body has misappropriated or for which an Authorised Body has otherwise failed to account; or

(b) compensate a person in respect of the civil liability of an Authorised Body which, contrary to the Indemnity Insurance Rules, does not have in place a policy of qualifying insurance against which a claim in respect of that civil liability can be made.

(2) A grant may not be made in respect of any loss:

(a) arising solely by reason of the professional negligence of an Authorised Body;

(b) which is a personal debt or trading debt or liability of an Authorised Body;

(c) arising from practice by the Authorised Body outside of England and Wales;

(d) which is a claim for interest under a contract between the Applicant and an Authorised Body; or

(e) which did not arise from the performance or purported performance of a regulated legal activity by an Authorised Body.

(3) Any Discretionary Grant shall be made in the absolute discretion of IPS and no

person shall have a right to such a grant which is enforceable at law. Applications 5. (1) An application for a Discretionary Grant shall be made:

(a) in such form as IPS may from time to time prescribe; and

199


(b) not more than one year after the Applicant first knew, or with reasonable diligence should have known, about the misappropriation, failure to account or events giving rise to a civil liability (as the case may be).

(2) An Applicant must provide evidence to satisfy IPS that, in consequence of the

misappropriation, failure to account or events giving rise to a civil liability (as the case may be), the Applicant has suffered or is likely to suffer loss and hardship.

(3) The Applicant has the burden of proving a claim and must provide IPS with such

documents or other information as it may require in respect of that claim. (4) Failure to provide documents or other information or to co-operate with IPS

may be taken into account when determining the merits of an application. Other remedies and subrogation 6. (1) A Discretionary Grant may be refused in respect of all or any part of a loss that

is:

(a) an insured risk; or

(b) capable of being made good by any other means.

(2) Before deciding whether to make a Discretionary Grant, IPS may require an Applicant to:

(a) pursue any civil remedy against the Authorised Body who is the subject of the application;

(b) commence insolvency proceedings against that Authorised Body;

(c) make a formal complaint to the Police or other agency against that Authorised Body; and

(d) assist in the taking of any action against that Authorised Body.

(3) If a Discretionary Grant is made, any rights or remedies of the recipient shall be subrogated to CILEx and, if required by IPS (whether before or after the making of the grant) the Applicant shall:

(a) prove in any insolvency or winding-up of the Authorised Body;

(b) sue for recovery of the loss in the name of the Applicant but on behalf of CILEx; and

(c) comply with any other reasonable requirement for the purpose of giving effect to CILEx's rights.

200


7. A Discretionary Grant may not exceed £500,000. Refusal of an application 8. If an application for a Discretionary Grant is refused, whether in whole or part, IPS will

inform the Applicant in writing of its decision and the reasons for that decision.

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Grant Limit

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