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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
The Legal Services Act 2007 which created the Legal Services Board, the Office for Legal Complaints (Legal Ombudsman), authorised Approved Regulators to regulate Authorised Persons and enabled the development of new forms of legal practice known as Alternative Business Structures and the licensing of these bodies by Licensing Authorities.The Legal Services Act
The The Legal Services Act 2007 which created the Legal Services Board, the Office for Legal Complaints (Legal Ombudsman), authorised Approved Regulators to regulate Authorised Persons and enabled the development of new forms of legal practice known as Alternative Business Structures and the licensing of these bodies by Licensing Authorities.2007 Act introduced the regulatory objectives are set out in Part 1 of the 2007 Act: (1) protecting and promoting the public interest (2) supporting the constitutional principle of the rule of law (3) improving access to justice (4) protecting and promoting the interests of consumers (5) promoting competition in the provision of services* (6) encouraging an independent, strong, diverse and effective legal profession (7) increasing public understanding of the citizen’s legal rights and duties (8) promoting and maintaining adherence to the professional principles. * services provided by Authorised PersonsRegulatory Objectives championing the interests of consumers of legal services:
The objectives focus upon the principled behaviour of legal services providers and the interests of the consumer and the public. They are therefore best supported through regulation based in an essential quality; a characteristic, behaviour or ethic, which must be demonstrated so that positive Outcomes are generated for Clients.principles and focused upon positive 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 Outcomes.
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-focused and an essential quality; a characteristic, behaviour or ethic, which must be demonstrated so that positive Outcomes are generated for Clients.principles-based regulation
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 must uphold the the regulatory objectives are set out in Part 1 of the 2007 Act: (1) protecting and promoting the public interest (2) supporting the constitutional principle of the rule of law (3) improving access to justice (4) protecting and promoting the interests of consumers (5) promoting competition in the provision of services* (6) encouraging an independent, strong, diverse and effective legal profession (7) increasing public understanding of the citizen’s legal rights and duties (8) promoting and maintaining adherence to the professional principles. * services provided by Authorised PersonsRegulatory Objectives and are therefore concentrated on delivery of high standards alongside the 3 Cs of 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, competition and choice.
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 and must be complied with at all times in the delivery of all its 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, as specified in the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC a licence to practise as a Licensed Conveyancer issued by the CLC under Part II of the 1985 Act (and includes where the context permits a conveyancing licence, a probate licence, a litigation licence and an advocacy licence).IExpY2VuY2UgQXV0aG9yaXNhdGlvbnMsIENvbmRpdGlvbnMsIFBlcm1pc3Npb25zIGFuZCBUZXJtczogplease see authorisations, conditions, permissions and terms.licence. It specifies the 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 you as members of the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC regulated community are expected to deliver. The following behaviours are considered essential to delivery of these 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:
These six the Principles that all individuals and bodies regulated by the CLC must comply with at all times in their delivery of legal services: 1. Act with independence and integrity 2. Maintain high standards of work 3. Act in the best interests of your Clients 4. Comply with your duty to the court 5. Deal with regulators and ombudsmen in an open and co-operative way 6. Promote equality of access and service.Overriding Principles are derived from the the regulatory objectives are set out in Part 1 of the 2007 Act: (1) protecting and promoting the public interest (2) supporting the constitutional principle of the rule of law (3) improving access to justice (4) protecting and promoting the interests of consumers (5) promoting competition in the provision of services* (6) encouraging an independent, strong, diverse and effective legal profession (7) increasing public understanding of the citizen’s legal rights and duties (8) promoting and maintaining adherence to the professional principles. * services provided by Authorised PersonsRegulatory Objectives set out above. The six have equal ranking and permeate our entire the sum of Codes, Guidance, Frameworks and Policies, which set out the responsibilities of the Regulated Community and our approach to regulation.regulatory arrangements; you/the body you own or manage must act in this principled way at all times. The the Principles that all individuals and bodies regulated by the CLC must comply with at all times in their delivery of legal services: 1. Act with independence and integrity 2. Maintain high standards of work 3. Act in the best interests of your Clients 4. Comply with your duty to the court 5. Deal with regulators and ombudsmen in an open and co-operative way 6. Promote equality of access and service.Overriding Principles are underpinned by PluralCAPITAL an essential quality; a characteristic, behaviour or ethic, which must be demonstrated so that positive Outcomes are generated for Clients.Principles and a strict direction for conduct that must be complied with.Specific Requirements:
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 – delivery of a positive result for 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).clients; it is the end result of the applications of a an essential quality; a characteristic, behaviour or ethic, which must be demonstrated so that positive Outcomes are generated for Clients.principle or a strict direction for conduct that must be complied with.specific requirement;
an essential quality; a characteristic, behaviour or ethic, which must be demonstrated so that positive Outcomes are generated for Clients.Principle – an essential quality; a characteristic, behaviour or ethic, which must be demonstrated so that positive 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 are generated for 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).clients;
a strict direction for conduct that must be complied with.Specific requirement – a strict direction for conduct.
Should a circumstance present an apparent conflict between a an essential quality; a characteristic, behaviour or ethic, which must be demonstrated so that positive Outcomes are generated for Clients.principle and another regulatory requirement you should opt for that which delivers the most positive 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.Outcome for 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 concerned whilst maintaining independence, integrity and high standards of work. If in doubt, contact the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC for advice.
Minimising prescription
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 are intended to ensure that 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).clients receive a service tailored to their needs; and legal service providers develop new and different ways of delivering services to their 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).clients. We will always look to provide an essential quality; a characteristic, behaviour or ethic, which must be demonstrated so that positive Outcomes are generated for Clients.principles rather than a strict direction for conduct that must be complied with.specific requirements wherever possible in order that we promote, not just allow, competition and choice. More prescriptive, ‘a strict direction for conduct that must be complied with.specific requirements’ are present only where they are required in the public interest and to protect the consumer. Such non-principled regulatory requirements will be applied in a principled-based way wherever possible so that any penalty imposed is proportionate to a breach.
In providing you with flexibility we are also giving you responsibility – of good governance, quality assurance and risk management. The 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 attached to Codes is there to provide useful information to the regulated community and in the case of guidance documents sometimes provide a possible route to the positive outcomes sought, but importantly are not the only route; if a member of the regulated community is able to generate the same or better outcomes another way they are encouraged to do so.Example Policies or Procedures to provide a possible route to the positive 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 sought, but importantly, not the only route. If you are able to generate the same or better 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 another way you are free to do so.
Applicability of Codes
All the 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 are in place to support the delivery of that Code’s 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. The relevant 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 PluralCAPITAL an essential quality; a characteristic, behaviour or ethic, which must be demonstrated so that positive Outcomes are generated for Clients.Principles and a strict direction for conduct that must be complied with.Specific Requirements are referenced in each Code so each one can be referenced as a standalone document where needed. The Universal Codes pertain to all all of the legal activities – both reserved legal activities and non-reserved – which the CLC authorises/permits the Licensed Conveyancer, or Body, within the terms of the licence to provide, and which are therefore regulated by the CLC.Regulated Services which a body provides. All individuals/bodies regulated by the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC must comply with these Codes. The Codes identified as Specific – located in the rear of this Handbook – are relevant only to those bodies specified, or those providing the identified services.
We retain the discretion to waive a particular requirement of the the sum of Codes, Guidance, Frameworks and Policies, which set out the responsibilities of the Regulated Community and our approach to regulation.regulatory arrangements. A body may apply for a modification of its a licence to practise as a Licensed Conveyancer issued by the CLC under Part II of the 1985 Act (and includes where the context permits a conveyancing licence, a probate licence, a litigation licence and an advocacy licence).IExpY2VuY2UgQXV0aG9yaXNhdGlvbnMsIENvbmRpdGlvbnMsIFBlcm1pc3Npb25zIGFuZCBUZXJtczogplease see authorisations, conditions, permissions and terms.licence to this end or we may apply a waiver due to particular circumstances.
Words presented in bold italicised font – such as all of the legal activities – both reserved legal activities and non-reserved – which the CLC authorises/permits the Licensed Conveyancer, or Body, within the terms of the licence to provide, and which are therefore regulated by the CLC.Regulated Services above – are defined in the Glossary of specifies by way of endorsements, the Authorisations, Permissions and Conditions of a CLC Licence.Terms provided at the rear of this handbook.
Frameworks & Policies
We currently operate the following 7 Frameworks:
These define our operating parameters, setting out the process which will be followed in the relevant instances e.g. 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 Operating Framework sets out the rules by which the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC manages its compensation scheme. We have provided 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, the means by which members of the regulated community maintain, improve and broaden their knowledge and skills, keeping themselves up to date with the latest development in the profession and its markets, and so enabling them to meet their full potential and provide Clients with high levels of service.Continuing Professional Development and the insurance that lawyers have to hold to protect Clients against any malpracticeProfessional Indemnity Insurance Frameworks within the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC Handbook for your reference. The remaining frameworks are available to view on the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC website (along with the 3 provided here and our Fees Framework) and are not provided in the Handbook as they are the frameworks under which you applied to be regulated by us, and through which your a licence to practise as a Licensed Conveyancer issued by the CLC under Part II of the 1985 Act (and includes where the context permits a conveyancing licence, a probate licence, a litigation licence and an advocacy licence).IExpY2VuY2UgQXV0aG9yaXNhdGlvbnMsIENvbmRpdGlvbnMsIFBlcm1pc3Npb25zIGFuZCBUZXJtczogplease see authorisations, conditions, permissions and terms.licence or certificate was granted.
Policies mandate the performance of our activities. They set out the an essential quality; a characteristic, behaviour or ethic, which must be demonstrated so that positive Outcomes are generated for Clients.principles and values which will be applied in our guidance documents sometimes provide a possible route to the positive outcomes sought, but importantly are not the only route; if a member of the regulated community is able to generate the same or better outcomes another way they are encouraged to do so.approach to the relevant instances. The the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC Regulation and action taken by the CLC in response to a CLC regulated individual, or body, acting in breach of their/its regulatory responsibilities.Enforcement guidance documents sometimes provide a possible route to the positive outcomes sought, but importantly are not the only route; if a member of the regulated community is able to generate the same or better outcomes another way they are encouraged to do so.Policy is provided in the Handbook due to its relevance to all of the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC regulated community and to the the sum of Codes, Guidance, Frameworks and Policies, which set out the responsibilities of the Regulated Community and our approach to regulation.regulatory arrangements set out in this Handbook.
The Regulation section of the guidance documents sometimes provide a possible route to the positive outcomes sought, but importantly are not the only route; if a member of the regulated community is able to generate the same or better outcomes another way they are encouraged to do so.Policy explains what we as a regulator of legal services are seeking to achieve and how our regulatory philosophy is put into practice. The action taken by the CLC in response to a CLC regulated individual, or body, acting in breach of their/its regulatory responsibilities.Enforcement section explains how we identify and respond to non-compliance with our regulatory requirements and the factors which determine the form our response takes.
This Handbook and its accompanying Frameworks come into force on October 6th 2011, on which date the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC Rules and 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 Notes which they replace cease to have effect, save and except as the same still subsist or are capable of taking effect. The the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC can still take action in respect of any breach of the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC Rules and 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 Notes, which occurred before 6th October 2011.
Welcome to the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC!