Regulatory Committee

• To carry out the functions of the Council relating to the training and admission of solicitors in terms of the appropriate regulations.
• For that purpose, to perform such specific functions of the Council as are assigned to it in terms of arrangements made by the Council under s3A of the Solicitors (Scotland) Act 1980.
• To advise the Regulatory Committee (on being requested to do so, or of it's own motion) in connection with issues of policy or principle relating to the foregoing matters.
• From time to time to establish such sub-committees as are necessary or desirable for the effective discharge of the above functions.
• To refer to the Regulatory Committee (with a recommendation as to the action to be taken) any matter within its remit which it considers is more appropriate to be dealt with by that committee.

• Ensure Law Society of Scotland-wide compliance with the requirements of the Money Laundering Regulations (including as reflected in the Office of Professional Body Anti-Money Laundering Supervision (OPBAS) Sourcebook and/or equivalent).
• Protect the profession and the public interest by dealing properly and promptly with significant cases of non-compliance with the Money Laundering Regulations.
• To promote high levels of compliance with the Money Laundering Regulations across our membership.
• Ensure that the LSS Anti-Money Laundering approach remains fit for purpose.
• Agree and drive strategic development of the Law Society of Scotland Anti-Money Laundering approach.

• • to consider appeals lodged against appealable decisions made by regulatory sub-committees. The grounds of appeal are specified in guidance. 
  • the sub-committee may:
    • uphold an original decision of a regulatory sub-committee
    • vary all or part of an original decision
    • overturn all or part of an original decision and substitute an alternative decision for the original decision
    • overturn an original decision and require the original sub-committee to reconsider the matter, with appropriate directions
  • to report to the Regulatory Committee, yearly or as identified by the sub-committee, in relation to the nature and frequency of the appeals that it hears, together with proposals/recommendations for improvements in the Law Society's regulatory processes.

You can download the appeal form which applicants must use and read the guidance below for filling it out:

Appealing or reviewing a regulatory decision of the Law Society of Scotland

The Society has a number of Sub-Committees that can make decisions that affect you. These decisions are often able to be appealed or reviewed.

The letter or email from the Society, advising you of a decision, will say whether you have a right of appeal and who you can appeal to. Often, the appeal body will be the Society’s Appeals and Reviews Sub-Committee (the ‘Appeals Committee’).

If you wish to make an appeal and it is unclear from your letter what your rights are, please contact the person who sent the letter or email advising you of the initial decision.

• 1. Who can make an appeal to the Appeals Committee?

• Only the person (whether an individual or an entity) directly affected by the decision which is the subject of the appeal may make an appeal.  Where the decision related to an application made to the Society under legislation, practice rules, regulations or guidance (such as an application for permission, approval, or for a waiver of certain practice rules, or for a grant from the Client Protection Fund) this means that only the applicant may make an appeal in respect of that decision. 

• 2. How do I make an appeal to the Appeals Committee?

  You must complete an appeal form and submit it by email to appeals@lawscot.org.uk or in writing to:

• The Appeals and Reviews Sub-Committee Secretary 
  The Law Society of Scotland 
  Atria One, 
  144 Morrison Street Edinburgh 
  EH3 8EX 
  or 
  DX ED1 EDINBURGH

  Your submission must include your grounds for appeal (see point 4). It can include supporting documents or references that you consider relevant. Once it has considered your appeal, the Appeals Committee may ask you for additional information.

  Please note: If you wish to appeal a conduct complaint against a Scottish solicitor, please see our guidance for complaints against Scottish solicitors.

  3. Is there a time limit for lodging appeals?

  Yes, appeals must be made within 21 days of the date of the letter or email advising you of the original decision.

  An extension to this time limit can be granted in exceptional circumstances. If you are or have been unable to meet the time limit, please contact us at the above email or postal address, setting out the reasons why you feel your circumstances are exceptional. We will let you know if your request is successful as soon as possible. There is no appeal against a decision not to extend the time limit (see point 9).

  4. What are the grounds for appeal?

  There are four grounds for appeal:

  • a) the original decision was based on a misunderstanding of the facts

  • b) the original decision contains an error in applying the law, the rules or the regulations

  • c) there has been a fundamental procedural irregularity in the way in which your case was handled, or the original decision made

  • d) there was a failure to provide you with adequate reasoning for the original decision

• The Appeals Committee may not re-examine the evidence in respect of the decision or reconsider the original application anew. The Appeals Committee will consider the way in which the decision was reached and the way in which the reasons for that decision were explained, having regard to the grounds for appeal which are relied on by the appellant and the appellant’s arguments in support of those grounds.

  5. What are the possible outcomes?

  The Appeals Committee will either:

  • • uphold the original decision
•  
  • • overturn the original decision in favour of its own decision; or
  •  
    • return your matter back to the original sub-committee and, with appropriate direction, ask it to reconsider it.

6. Can I appear in person?

Appeals are usually considered on the basis of written information only and you should not expect to appear in person. In exceptional circumstances, the Appeals Committee may ask an individual connected to the appeal to attend in person.

7. How will the decision be communicated to me?

You will be notified of the appeal decision, by either letter or email, within 21 days of the Appeals Committee’s decision.

8. What happens after my appeal?

The letter informing you about the decision on your appeal will set out any next steps. If you have any queries, you should contact the Appeals Committee Secretary at the above email or postal address.

9. What if I am unhappy with the appeal decision?

You may be able to seek Judicial Review at the Court of Session. If you wish to exercise that, the Society strongly suggests that you seek independent legal advice.

10. Is there a fee for appealing?

No, the appeals process is free. However, the Society will not pay any expenses that you incur in bringing your appeal.

If you have further questions on the appeals process, please contact the Appeals Committee Secretary at appeals@lawscot.org.uk or The Law Society of Scotland, Atria One 144 Morrison Street, Edinburgh EH3 8EX.

If your right of appeal is to another body (for example Judicial Review at the Court of Session), the Society strongly suggests that you seek independent legal advice.

1. The instruction, receipt and consideration of all peer reviews carried out in terms of the Memorandum of Understanding concerning Civil Legal Assistance between the Society and the Scottish Legal Aid Board.
2. The making of decisions as to whether a practice unit should hold or continue to hold a compliance certificate and to issue compliance certificates.
3. The determination of the file sampling methodology for Civil Legal Assistance peer reviews.
4. The promotion of good practice in the provision of quality assured Civil Legal Assistance.
5. The promotion of consistency in the quality assurance process.
6. The appointment, re-appointment, dismissal or termination of contract, training and monitoring of Peer Reviewers.
7. The collection of statistics and analysis of trends in the quality assurance process, and making recommendations to the Society, the Board and the Scottish Government where the Sub-Committee considers change necessary. The implementation of such changes requires agreement between the Society, the Scottish Legal Aid Board and the Scottish Government.
8. Considering in appropriate circumstances whether to refer a practice unit or practitioner to the Complaints Sub-Committee of the Society or the SLCC.

Further information on the Civil Legal Assistance Quality Assurance Scheme can be found under Rule C3

• Oversee the fulfilment of the statutory obligations of the Law Society of Scotland regarding the Client Protection Fund (the operating name for the Scottish Solicitors' Guarantee Fund) and financial compliance.
• Ensure that risks to the Client Protection Fund are managed to an agreed and acceptable level.
• Ensure that Client Protection Fund operations are in accordance with stated Client Protection Fund policy.
• Protect the Client Protection Fund, the profession and the public interest by dealing properly and promptly with significant cases of non-compliance with accepted financial compliance standards (e.g. accounts rules).
• Influence strategic developments regarding financial compliance and the Client Protection Fund to ensure that processes remain up to date and fit for purpose.
• Enable effective communications with the profession, public and other stakeholders  regarding financial compliance standards and Client Protection Fund claims.
• Benefit the Client Protection Fund/financial compliance processes by acting as a source of expertise on relevant working practices and issues within the legal profession.
• Monitor financial compliance activity (planning, progress, quality & approach).
• Review outputs from financial compliance activity (including the conducting of interviews) and where appropriate (e.g. as a result of breaches in accounts rules), refer matters of professional conduct to the Scottish Legal Complaints Commission and Complaints Investigation Team for investigation or recommend other actions (e.g. interventions, judicial factories etc) in accordance with the scheme of delegation.
• Monitor the consistency and quality of Client Protection Fund claims and intimations processing.
• Decide upon Client Protection Fund claims (as detailed in the delegated powers).
• Consider and approve strategic policy matters related to financial compliance and Client Protection Fund matters.
• Consider the continuing adequacy of accounts rules and other guidance to protect the Client Protection Fund, the profession and the public; monitor the development of new or amended rules and recommend these for approval.
• Review financial compliance activity to inform and influence the profession, public and other stakeholders about relevant financial standards, compliance requirements and claims issues.
• Monitor Client Protection Fund risk management procedures and approve.
• Decide key policies related to insurance arrangements, financial reserve levels, investment decisions and firms which pose a risk to the fund.
• Monitor the financial position of the Client Protection Fund and recommend approval of the annual budget and annual subscriptions to the Council.
• Be made aware of operational developments in the workings of the financial compliance and Client Protection Fund functions.

• To give guidance and directions to relevant Committees and thereafter review the handling of all aspects of complaints to ensure transparency, consistency and balance.
• To give guidance and direction to the complaints handling staff in relation to policies and procedures for handling complaints, including issuing and reviewing Policy Documents.
• To consider and deal with points of policy and principle arising from specific cases and to give guidance as appropriate.
• To consider on an ongoing basis relevant external relationships including, but not exclusively, matters relating to the Scottish Legal Complaints Commission, the Scottish Government and the Office of the Immigration Services Commissioner.
• To consider and promote initiatives to improve client care standards within the profession.
• To provide information to the public in relation to the conduct complaint handling process, and areas of practice which feed into it.
• To consider issues arising from client dissatisfaction with a view to educating the profession as to:
  - dealing with dissatisfaction and complaint appropriately.
  - trying to avoid client dissatisfaction and unnecessary complaints.
  - education on the policies and procedures of the Society, and of the Scottish Legal Complaints Commission insofar as they impact upon the Society’s conduct complaint handling process.
• To support the profession as appropriate in complaints handling matters involving the Scottish Legal Complaints Commission.

• To decide to raise complaints in the Society’s name with the Scottish Legal Complaints Commission in the public interest and/or in the interests of maintaining standards within the profession.

• To report to the Regulatory Committee any matters of general importance or specific regulatory interest.

• To monitor the exercise by the Sub Committee and of the Law Society executive of the delegated powers of the Council.

• To monitor general compliance with Practice Rule B5.5.1 of the Law Society of Scotland Practice Rules, and analyse and report upon first tier complaints records requested in terms of Rule B5.5.1.1(ii).

• Assure the quality of those admitted as solicitors in Scotland by review of policy and standards for pre- and post-qualification education and training.
• Assure quality of the components of solicitors' pre-qualification education and training.
• To make recommendations to the Regulatory Committee.

• Consider complex applications for practising certificates or entrance/removal from the roll which are not dealt with by the Admissions Committee or administratively by the Registrar's department.
• Consider and develop proposals to amend certain regulatory requirements, in accordance with our obligations to promote the regulatory objectives and aim to adopt best regulatory practice.
• Approve the issue and amendment of Guidance in relation to certain practice rules.
• Consider and determine applications for waiver of certain practice rule requirements in relation to the management and operation of legal practices.
• Consider and determine whether evidence of professional indemnity insurance from practitioners is acceptable and approve acceptable alternative insurance provisions in situations where insurance under the Master Policy is not required.

• To determine conduct complaints against Scottish solicitors, executry and conveyancing practitioners.
• To decide if a conduct complaint may amount to professional misconduct and requires to be referred to the Scottish Solicitors Discipline Tribunal in terms of Section 51 of the Solicitors (Scotland) Act 1980.
• To decide if a conduct complaint against a Scottish solicitor amounts to unsatisfactory professional conduct in terms of Section 42ZA of the 1980 Act, and in the event that a determination is made to impose appropriate sanctions.
• To determine whether no action should be taken in relation to a conduct complaints against, Scottish solicitors, executry and conveyancing practitioners.
• To decide if a conduct complaint against an executry and/or conveyancing practitioner amounts to unsatisfactory professional conduct in terms of Section 20 ZB of the Law Reform  (Miscellaneous Provisions)(Scotland) Act 1990.

• To determine conduct complaints against Scottish solicitors, executry and conveyancing practitioners.
• To decide if a conduct complaint may amount to professional misconduct and requires to be referred to the Scottish Solicitors Discipline Tribunal in terms of Section 51 of the Solicitors (Scotland) Act 1980.
• To decide if a conduct complaint against a Scottish solicitor amounts to unsatisfactory professional conduct in terms of Section 42ZA of the 1980 Act, and in the event that a determination is made to impose appropriate sanctions.
• To determine whether no action should be taken in relation to a conduct complaints against, Scottish solicitors, executry and conveyancing practitioners.
• To decide if a conduct complaint against an executry and/or conveyancing practitioner amounts to unsatisfactory professional conduct in terms of Section 20 ZB of the Law Reform (Miscellaneous Provisions)(Scotland) Act 1990.

• To carry out the functions of the Council relating to extended rights of audience as set out in s25A of the Solicitors (Scotland) Act 1980 and relevant practice rules.

• To consider and develop proposals to amend certain regulatory requirements, in accordance with the Society’s obligations to promote the regulatory objectives and aim to adopt best regulatory practice.
• To approve the issue and amendment of Guidance in relation to certain practice rules and areas of legal work.
• To consider and determine applications for waiver of certain practice rule requirements, including, for example, specific requirements of the rules on conflict of interest.