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Code of Conduct Anti-Money Laundering & Combating Terrorist Financing Code Accounts Code Complaints Code Conflict(s) of Interest Code Continuing Professional Development Code Dealing with Non-Authorised Persons Code Disclosure of Profits and Advantage Code Equality Code Estimates and Terms of Engagement Code Management and Supervision Arrangements Code Notification Code Professional Indemnity Insurance Code Transaction Files Code Undertakings Code
Acting as Ancillary Insurance Intermediaries Code Acting for Lenders and Prevention and Detection of Mortgage Fraud Code & Guidance Licensed Body (ABS) Code Recognised Body Code
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This Code must be read with the the parent document of our regulatory arrangements, outlining the Overriding Principles that the regulated community must comply with and the Outcomes which they must deliver.Code of Conduct. The the parent document of our regulatory arrangements, outlining the Overriding Principles that the regulated community must comply with and the Outcomes which they must deliver.Code of Conduct is the parent document of the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC Handbook and Frameworks; it sits above all other Codes in our the sum of Codes, Guidance, Frameworks and Policies, which set out the responsibilities of the Regulated Community and our approach to regulation.regulatory arrangements. The the parent document of our regulatory arrangements, outlining the Overriding Principles that the regulated community must comply with and the Outcomes which they must deliver.Code of Conduct prescribes six Ethical PluralCAPITAL an essential quality; a characteristic, behaviour or ethic, which must be demonstrated so that positive Outcomes are generated for Clients.Principles of behaviour which are essential to delivering the specific delivery of a positive result for Clients; it is the end result of the application of a principle or specific requirement the CLC’s Regulatory Arrangements are focused upon these Outcomes, which everyone who we regulate must deliver.Outcomes which sit beneath each of the Ethical PluralCAPITAL an essential quality; a characteristic, behaviour or ethic, which must be demonstrated so that positive Outcomes are generated for Clients.Principles. All the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC regulated individuals and bodies are expected to comply with the the parent document of our regulatory arrangements, outlining the Overriding Principles that the regulated community must comply with and the Outcomes which they must deliver.Code of Conduct in the delivery of authorised under the Code of Conduct this means that Authorised Persons must personally carry out or supervise the Reserved Legal Activity provided.reserved legal activities and permitted non-under the Code of Conduct this means that Authorised Persons must personally carry out or supervise the Reserved Legal Activity provided.reserved legal activities.
The the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC also publishes several other topic specific Codes addressing important areas of practice, including this Estimates and a statement on a Durable Medium of all terms upon which instructions are accepted.Terms of Engagement Code. Topic specific Codes underpin the the parent document of our regulatory arrangements, outlining the Overriding Principles that the regulated community must comply with and the Outcomes which they must deliver.Code of Conduct and support regulated individuals and bodies in delivering the Ethical PluralCAPITAL an essential quality; a characteristic, behaviour or ethic, which must be demonstrated so that positive Outcomes are generated for Clients.Principles and delivery of a positive result for Clients; it is the end result of the application of a principle or specific requirement the CLC’s Regulatory Arrangements are focused upon these Outcomes, which everyone who we regulate must deliver.Outcomes of behaviour defined in the the parent document of our regulatory arrangements, outlining the Overriding Principles that the regulated community must comply with and the Outcomes which they must deliver.Code of Conduct. Topic specific Codes apply to all regulated activities carried out by the individuals or bodies specified in that Code.
In this Code ‘you’ refers to individuals and bodies regulated by the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC. You must ensure that you always comply with the the parent document of our regulatory arrangements, outlining the Overriding Principles that the regulated community must comply with and the Outcomes which they must deliver.Code of Conduct and topic specific Codes and must not permit anyone else to act or fail to act in such a way as to amount to a breach of this Code, the the parent document of our regulatory arrangements, outlining the Overriding Principles that the regulated community must comply with and the Outcomes which they must deliver.Code of Conduct, or the Ethical PluralCAPITAL an essential quality; a characteristic, behaviour or ethic, which must be demonstrated so that positive Outcomes are generated for Clients.Principles.
Should circumstances arise in which there is an apparent conflict between a topic specific Code, the the parent document of our regulatory arrangements, outlining the Overriding Principles that the regulated community must comply with and the Outcomes which they must deliver.Code of Conduct, or any other regulatory requirement, you must ensure that you comply with the the parent document of our regulatory arrangements, outlining the Overriding Principles that the regulated community must comply with and the Outcomes which they must deliver.Code of Conduct. If in doubt, contact the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC for advice.
You are required to provide timely Estimates and a statement on a Durable Medium of all terms upon which instructions are accepted.Terms of Engagement which are easy to understand and ensure that:
You must also comply with the following a strict direction for conduct that must be complied with.specific requirements:
Estimates
6.1 the name of the any person or persons for whom a Licensed Conveyancer or CLC body acts in the provision of Regulated Services; this may also include a person or persons who may seek the provision of Regulated Services. Client also includes any person for whom a Licensed Conveyancer or Body acts in the provision of Regulated Activities (and may also include a person who may seek the provision of Regulated Activities).Client, and the nature of the transaction;
6.2 the basis on which fees for abortive work will be payable;
6.3 the proposed fees and other expenses (such as an institution, body, financial intermediary, or financial institution which has permission under Part 4 of the Financial Services and Markets Act 2000 to accept deposits.bank transfer fees) payable to you (such fees and other expenses are deemed to be inclusive of VAT unless VAT is separately itemised);
6.4 a description of, and cost of, any generally any payments made, or for which a liability to pay has been incurred, by a CLC regulated individual or body to a third party on behalf of a Client. disbursements are deemed to include: stamp duty land tax; Land Registry fees; Local Authority and any other applicable search fees.disbursement likely be incurred on the basis of the instructions received (such generally any payments made, or for which a liability to pay has been incurred, by a CLC regulated individual or body to a third party on behalf of a Client. disbursements are deemed to include: stamp duty land tax; Land Registry fees; Local Authority and any other applicable search fees.disbursements are deemed to be inclusive of VAT unless VAT is separately itemised). Where applicable, Land Tax should be separately itemised;
6.5 where the total sum payable as estimated under paragraph 6.3 is likely to be exceeded that the Body will advise the any person or persons for whom a Licensed Conveyancer or CLC body acts in the provision of Regulated Services; this may also include a person or persons who may seek the provision of Regulated Services. Client also includes any person for whom a Licensed Conveyancer or Body acts in the provision of Regulated Activities (and may also include a person who may seek the provision of Regulated Activities).Client of that fact and provide an explanation and a revised estimate;
6.6 in respect of paragraphs 6.3 and 6.4:
6.6.1 unless otherwise stated fees will be deemed to be inclusive of the costs of post, telephone calls, facsimile unless otherwise specified, communications sent by, or on behalf of a CLC regulated individual or body by post, a telecommunication system, or by other means, whilst in an electronic form.communications and email;
6.6.2 unless separately specified, the estimate of proposed fees payable to the body will be deemed to include fees for:-
6.6.3 the any person or persons for whom a Licensed Conveyancer or CLC body acts in the provision of Regulated Services; this may also include a person or persons who may seek the provision of Regulated Services. Client also includes any person for whom a Licensed Conveyancer or Body acts in the provision of Regulated Activities (and may also include a person who may seek the provision of Regulated Activities).Client is advised where it is not possible to provide an estimate of fees and generally any payments made, or for which a liability to pay has been incurred, by a CLC regulated individual or body to a third party on behalf of a Client. disbursements are deemed to include: stamp duty land tax; Land Registry fees; Local Authority and any other applicable search fees.disbursements because the relevant information is not available.
7.1 advise the any person or persons for whom a Licensed Conveyancer or CLC body acts in the provision of Regulated Services; this may also include a person or persons who may seek the provision of Regulated Services. Client also includes any person for whom a Licensed Conveyancer or Body acts in the provision of Regulated Activities (and may also include a person who may seek the provision of Regulated Activities).Client; and
7.2 provide the any person or persons for whom a Licensed Conveyancer or CLC body acts in the provision of Regulated Services; this may also include a person or persons who may seek the provision of Regulated Services. Client also includes any person for whom a Licensed Conveyancer or Body acts in the provision of Regulated Activities (and may also include a person who may seek the provision of Regulated Activities).Client with a written explanation on a the method by which information is stored in a way accessible for future reference (for no less than the period prescribed by the CLC) and which allows the unchanged reproduction of the information stored.Durable Medium.
a statement on a Durable Medium of all terms upon which instructions are accepted.Terms of Engagement
11.1 your name, address, telephone and other contact details;
11.2 if not included in paragraph 11.1, the name of one of your means a person who is: 1. if the body is a company and its affairs are managed by members, a member; 2. if the body is a company and (a) does not apply, a director of the body; 3. if the body is a partnership, a partner; 4. if the body is a Limited Liability Partnership, an LLP member; 5. if the body is an unincorporated body (other than a partnership), a member of its governing body; and 6. a licensed conveyancer if sub-paragraphs (a)-(e) do not apply and the affairs of the body are not managed by another licensed conveyancer.Managers;
11.3 the name, experience and, if applicable, qualifications of the individual having day-to-day conduct of the matter and where applicable the name of the individual responsible for its overall supervision;
11.4 if the matter is to be conducted by a team, the identity of that team and the name of its leader(s);
11.5 a clear description of the services included int he cost, including:
11.6 the name of the individual to whom any an oral or written expression of dissatisfaction, which alleges that the complainant has suffered (or may suffer) financial loss, distress, inconvenience or detriment.complaint should be made;
11.7 an explanation of the procedure to be adopted where the any person or persons for whom a Licensed Conveyancer or CLC body acts in the provision of Regulated Services; this may also include a person or persons who may seek the provision of Regulated Services. Client also includes any person for whom a Licensed Conveyancer or Body acts in the provision of Regulated Activities (and may also include a person who may seek the provision of Regulated Activities).Client is dissatisfied with the services or conduct of any of your means a person who is: 1. if the body is a company and its affairs are managed by members, a member; 2. if the body is a company and (a) does not apply, a director of the body; 3. if the body is a partnership, a partner; 4. if the body is a Limited Liability Partnership, an LLP member; 5. if the body is an unincorporated body (other than a partnership), a member of its governing body; and 6. a licensed conveyancer if sub-paragraphs (a)-(e) do not apply and the affairs of the body are not managed by another licensed conveyancer.Managers or (depending on the context) an individual employed by a CLC body, by an entity regulated by another legal regulator or by a local authority or other employer.employees. This information must also include the any person or persons for whom a Licensed Conveyancer or CLC body acts in the provision of Regulated Services; this may also include a person or persons who may seek the provision of Regulated Services. Client also includes any person for whom a Licensed Conveyancer or Body acts in the provision of Regulated Activities (and may also include a person who may seek the provision of Regulated Activities).Client’s right to complain to the the official (office) whose role is to investigate customer complaints against legal service providers.Legal Ombudsman at the conclusion of the an oral or written expression of dissatisfaction, which alleges that the complainant has suffered (or may suffer) financial loss, distress, inconvenience or detriment.complaint process, the time limits for doing so and full details about how to contact the the official (office) whose role is to investigate customer complaints against legal service providers.Legal Ombudsman (see an oral or written expression of dissatisfaction, which alleges that the complainant has suffered (or may suffer) financial loss, distress, inconvenience or detriment.Complaints Code).
11.8 the following wording:-
"If you make a valid under the Professional Indemnity Insurance Code and Operating Framework and Compensation Fund Operating Framework, unless otherwise stated, this means a request of payment due under the terms of a professional indemnity insurance policy (including the CLC’s Master Policy) or the CLC’s Compensation Fund.claim against us for a loss arising out of work for which we are legally responsible, and we are unable to meet our liability in full, you may be entitled to under the Professional Indemnity Insurance Code and Operating Framework and Compensation Fund Operating Framework, unless otherwise stated, this means a request of payment due under the terms of a professional indemnity insurance policy (including the CLC’s Master Policy) or the CLC’s Compensation Fund.claim from the as set out at s.21(2) of the 1985 Act, the Fund out of which grants and other payments are made by the CLC for the purposes of relieving, or mitigating losses, incurred by persons in consequence of the negligence, fraud or other dishonesty, or failure to account, on the part of a CLC Body.Compensation Fund administered by the Council for Licensed Conveyancer: a person who holds a Licence issued by the CLC to provide Conveyancing and other legal services regulated by the CLC.Licensed Conveyancers (from whom details can be obtained").
11.9 Information about the staff mix, their experience and qualifications and the information contained in paragraphs 11.5-11.8 must also be made available in a prominent place on your website and by other reasonable 1. their spouse or civil partner;
2. their child or step-child (if under 18 years of age);
3. the trustee of a settlement* under which they have a life interest in possession;
4. an undertaking of which they are a Director;
5. an employee;
6. a partner (except where the shareholding or entitlement is a partnership in which the Non-Authorised Person is a partner, another partner);
7. if ‘the person’ means an undertaking – a director, a subsidiary undertaking (or a director or employee of it);
8.a person they have agreement or arrangement with respects to the acquisition, holding or disposal of shares or other interests;
9.a person they have agreement or arrangement with under which they undertake to act together in exercising their voting power (in relation to a body which does not have general meetings at which matters are decided by the exercise of voting rights this refers to the right under the body’s constitution to direct overall policy/alter its constitution); with 3% or more material interest. By ‘settlement’* we mean any disposition or arrangement under which property is held on trust (or a comparable obligation.means on request.
11.10 You keep a copy of, and any evidence that the any person or persons for whom a Licensed Conveyancer or CLC body acts in the provision of Regulated Services; this may also include a person or persons who may seek the provision of Regulated Services. Client also includes any person for whom a Licensed Conveyancer or Body acts in the provision of Regulated Activities (and may also include a person who may seek the provision of Regulated Activities).Client has agreed, the estimate and a statement on a Durable Medium of all terms upon which instructions are accepted.Terms of Engagement on a the method by which information is stored in a way accessible for future reference (for no less than the period prescribed by the CLC) and which allows the unchanged reproduction of the information stored.Durable Medium.
Should you require many of our regulatory Codes are underpinned by guidance which identify considerations to be borne in mind when seeking to deliver the identified outcomes; the guidance provided is not mandatoryguidance on how to meet your responsibilities under this Code, please see the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC’s Estimate and a statement on a Durable Medium of all terms upon which instructions are accepted.Terms of Engagement many of our regulatory Codes are underpinned by guidance which identify considerations to be borne in mind when seeking to deliver the identified outcomes; the guidance provided is not mandatoryGuidance