Regulation and compliance

Who we regulate and how we regulate is governed by legislation and we must comply with any conditions and limitations to which those regulatory powers are subject.

Regulatory objectives

When exercising our regulatory functions, and so far as practicable, we must act in a way which is compatible with, and which we consider most appropriate to achieve, the regulatory objectives set out in Section 1 of the Legal Services (Scotland) Act 2010, which are: 

(a) supporting the constitutional principle of the rule of law;
(b) protecting and promoting—
(i) the interests of consumers,
(ii) the public interest generally;
(c) promoting—
(i) access to justice,
(ii) competition in the provision of legal services;
(d) promoting an independent, strong, varied and effective legal profession;
(e) encouraging equal opportunities (as defined in Section L2 of Part II of Schedule 5 to the Scotland Act 1998) within the legal profession;
(f) promoting and maintaining adherence to the professional principles.
(As set out in Section 2 of the 2010 Act, the professional principles are the principles that persons providing legal services should—
(a) support the proper administration of justice,
(b) act with independence (in the interests of justice),
(c) act with integrity,
(d) act in the best interests of their clients (and keep clients’ affairs confidential),
(e) maintain good standards of work,
(f) where—
(i) exercising before any court a right of audience, or
(ii) conducting litigation in relation to proceedings in any court,
comply with such duties as are normally owed to the court by such persons,
(f) meet their obligations under any relevant professional rules,
(g) act in conformity with professional ethics