Notification 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 Notification 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 must ensure that::
- You notify the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC of any material breach of this Code thethe 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 Code made by the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC, whether by you, the entity or any other person.
- You notify the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC of any change in your or your practice’s circumstances as set out in this Code.
- You within 2 working days.promptly notify the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC in writing of any facts or matters which may give rise to a 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 under its 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.
- You have systems and strategic management, risk management, accounting and financial arrangements (including supervisory and audit functions) which eliminate, or reduce to acceptable levels, risks to positive Outcomes.controls to enable you to identify any notifiable changes.
These responsibilities require you to notify us of any of the following changes:
- To the extent it is reasonable to do so, you notify us no less than 14 days before a proposed change of business or registered office address, but in any event within 14 days of any change occurring.
- You notify us within 14 days of any change in means a person who is: a. if the body is a company and its affairs are managed by members, a member; b. if the body is a company and (a) does not apply, a director of the body; c. if the body is a partnership, a partner; d. if the body is a Limited Liability Partnership, an LLP member; e. if the body is an unincorporated body (other than a partnership), a member of its governing body; and f. a licensed conveyancer if sub-paragraphs (a)-(e) do not apply and the affairs of the body are not managed by another licensed conveyancer..manager and/or management methods of organisation including systems, procedures, controls, functions, roles, and processes.arrangements .
- You notify us within 14 days of a change in structural methods of organisation including systems, procedures, controls, functions, roles, and processes.arrangements.
- In respect of the body you notify us within 7 days if:
- a winding-up order or administration order is passed
- a resolution for voluntary winding-up is passed, or
- an administration receiver is appointed.
a lawyer is a legally qualified person, someone who gives legal advice and represents people in legal matters.CLC Lawyer
- You notify us within 2 working days.promptly if you:-
- have been a director of a has the meaning given by s. 1(1) of the Companies Act 2006.company which has gone into liquidation on the grounds of insolvency in your own right or as a director of a has the meaning given by s. 1(1) of the Companies Act 2006.company have had an administrator or receiver appointed
- have been a a lawyer is a legally qualified person, someone who gives legal advice and represents people in legal matters.CLC Lawyer in, or means a person who is: a. if the body is a company and its affairs are managed by members, a member; b. if the body is a company and (a) does not apply, a director of the body; c. if the body is a partnership, a partner; d. if the body is a Limited Liability Partnership, an LLP member; e. if the body is an unincorporated body (other than a partnership), a member of its governing body; and f. a licensed conveyancer if sub-paragraphs (a)-(e) do not apply and the affairs of the body are not managed by another licensed conveyancer.Manager of, an entity which has had its specify the reserved legal activities which a body is authorised by the CLC to provide.authorisation refused, revoked or made subject to conditions
- have been charged, cautioned or convicted of a criminal offence, or if there is a case pending
- have been the subject of any disciplinary proceedings by a professional or regulatory body
- have been the subject of an adverse order or finding of a civil court or employment tribunal
- have been disqualified as a director
- have been declared bankrupt or have entered an Individual Voluntary Arrangement
- have been disqualified from acting in any capacity for a legal services, financial or other provider
- are aware of any other information which could reasonably be expected to have a bearing on whether you are the CLC requires that all:
applicants
authorised persons
owners or managers of an Alternative Business Structure
are able to demonstrate that they are suitable for the role for which they are applying, this includes a fit and proper test to determine their probity and financial history.fit and proper.
a body corporate or incorporate recognised by the CLC under s.32 of the 1985 Act to provide regulated services to the public.Recognised Bodies
- You notify us within 2 working days.promptly after you have received information where any of the provisions identified in requirement 9 apply to a means a person who is: a. if the body is a company and its affairs are managed by members, a member; b. if the body is a company and (a) does not apply, a director of the body; c. if the body is a partnership, a partner; d. if the body is a Limited Liability Partnership, an LLP member; e. if the body is an unincorporated body (other than a partnership), a member of its governing body; and f. a licensed conveyancer if sub-paragraphs (a)-(e) do not apply and the affairs of the body are not managed by another licensed conveyancer.Manager of the body.
- You notify us within 2 working days.promptly of a change in ownership[1] of the body.
- You notify us within 2 working days.promptly after you have received information that a person employed or paid by the a body corporate or incorporate recognised by the CLC under s.32 of the 1985 Act to provide regulated services to the public.Recognised Body to provided under the Code of Conduct this means that Authorised Persons must personally carry out or supervise the Reserved Legal Activity provided.reserved legal activities:
- has been charged, cautioned or convicted of a criminal offence, or if there is a case pending
- has been the subject of any disciplinary proceedings by a professional or regulatory body
- has been the subject of an adverse order or finding of a civil court or employment tribunal
- has been disqualified as a director
- has been declared bankrupt or has entered an Individual Voluntary arrangement
- has been disqualified from acting in any capacity for a legal services, financial or other provider
- is the subject of any other information which could reasonably be expected to have a bearing on whether that person is the CLC requires that all:
applicants
authorised persons
owners or managers of an Alternative Business Structure
are able to demonstrate that they are suitable for the role for which they are applying, this includes a fit and proper test to determine their probity and financial history.fit and proper.
1. As per item 34 of the a body corporate or incorporate recognised by the CLC under s.32 of the 1985 Act to provide regulated services to the public.Recognised Body Recognition Framework
Licensed Bodies (ABS)
- To the extent it is reasonable to do so, you notify us no less than 14 days before a proposed change in the person occupying the role of the officer in a Licensed Body (ABS) designated responsible for the body complying with its responsibilities as set out in our regulatory arrangements; the individual must be an Authorised Person; it is preferable, though not mandatory, for the individual to be a Manager.HoLP or the officer in a Licensed Body (ABS) designated responsible for the body complying with their accounts responsibilities as set out in our Regulatory Arrangements; the individual does not have to be an Authorised Person; it is preferable, though not mandatory, for the individual to be a Manager.HoFA, but in any event within 7 days of any change occurring.
- You notify us within 2 working days.promptly after you have received information about any ‘the CLC requires that all:
applicants
authorised persons
owners or managers of an Alternative Business Structure
are able to demonstrate that they are suitable for the role for which they are applying, this includes a fit and proper test to determine their probity and financial history.fit and proper’ issue concerning the please see Material Interest and Beneficial Owner definitions.owner(s), the the officer in a Licensed Body (ABS) designated responsible for the body complying with its responsibilities as set out in our regulatory arrangements; the individual must be an Authorised Person; it is preferable, though not mandatory, for the individual to be a Manager.HoLP, the officer in a Licensed Body (ABS) designated responsible for the body complying with their accounts responsibilities as set out in our Regulatory Arrangements; the individual does not have to be an Authorised Person; it is preferable, though not mandatory, for the individual to be a Manager.HoFA, other 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 a person authorised by an Approved Regulator to carry on reserved legal activities e.g:
a Licensed
Conveyancer;
a Solicitor;
a Fellow of the Institute of Legal Executives.Authorised Person(s)/Parties:
- has been a director of a has the meaning given by s. 1(1) of the Companies Act 2006.company which has gone into liquidation on the grounds of insolvency
- in their own right or as a director of a has the meaning given by s. 1(1) of the Companies Act 2006.company has had an administrator or receiver appointed
- has been an a person authorised by an Approved Regulator to carry on reserved legal activities e.g:
a Licensed
Conveyancer;
a Solicitor;
a Fellow of the Institute of Legal Executives.Authorised Person(s)/Parties in, or y means a person who is: a. if the body is a company and its affairs are managed by members, a member; b. if the body is a company and (a) does not apply, a director of the body; c. if the body is a partnership, a partner; d. if the body is a Limited Liability Partnership, an LLP member; e. if the body is an unincorporated body (other than a partnership), a member of its governing body; and f. a licensed conveyancer if sub-paragraphs (a)-(e) do not apply and the affairs of the body are not managed by another licensed conveyancer.Manager of, an entity which has had its specify the reserved legal activities which a body is authorised by the CLC to provide.authorisation refused, revoked or made subject to conditions
- has been charged, cautioned or convicted of a criminal offence, or if there is a case pending
- has been the subject of any disciplinary proceedings by a professional or regulatory body
- has been the subject of an adverse order or finding of a civil court or employment tribunal
- has been disqualified as a director
- has been declared bankrupt or has entered an Individual Voluntary Arrangement
- has been disqualified from acting in any capacity for a legal services, financial or other provider
- is the subject of any other information which could reasonably be expected to have a bearing on whether that person is the CLC requires that all:
applicants
authorised persons
owners or managers of an Alternative Business Structure
are able to demonstrate that they are suitable for the role for which they are applying, this includes a fit and proper test to determine their probity and financial history.fit and proper.
- You notify us within 2 working days.promptly if you employ a person disqualified by a as defined at s.73 of the 2007 Act, an approved regulator which is designated as a licensing authority under Part 1 of Schedule 10 and whose licensing rules are approved to license and regulate Alternative Business StructuresLicensing Authority.
- You notify us within 2 working days.promptly if a as set out at s.111 of 2007 Act, a person who is not: 1. an Authorised Person in relation to an activity that constitutes a reserved legal activity 2. a registered foreign lawyer (within the meaning of s.89 of the 1990 Act) 3. a person entitled to pursue professional activities under a professional title to which the Directive applies, in a state to which the irective applies (other than the title of barrister or solicitor in England and Wales) 4. a body that provides professional services, such as provided by persons within (a) or lawyers of other jurisdictions, and all the Managers of which, and all the persons with an interest in which – (i) are within (a) to (c), or (ii) are bodies in which persons within (a) to (c) are entitled to exercise, or control the exercise of, more than 90% of the voting rights.Non-Authorised Person proposing to hold a a person holds a material interest in a Licensed (ABS) Body if the Person*: 1.holds at least 10% or more shares in the body (or in a parent undertaking); 2. is someone able to exercise significant influence over the management of the body (or a parent undertaking) due to their entitlement to exercise, or control the exercise of voting rights; 3. is entitled to exercise or control the exercise, of voting powers in the body (or a parent undertaking), which, if it consists of voting rights, constitutes at least 10% or more of the voting rights; 4. as a partner having at least 10% interest in the capital or profits of the partnership; and includes any ultimately beneficial owner of more than 10%.’The Person’ means: (a) the person; (b)any of the person’s associates; or (c) the person and any of the person’s associates taken together.material interest of 10% or more, or the holder of a a person holds a material interest in a Licensed (ABS) Body if the Person*: 1.holds at least 10% or more shares in the body (or in a parent undertaking); 2. is someone able to exercise significant influence over the management of the body (or a parent undertaking) due to their entitlement to exercise, or control the exercise of voting rights; 3. is entitled to exercise or control the exercise, of voting powers in the body (or a parent undertaking), which, if it consists of voting rights, constitutes at least 10% or more of the voting rights; 4. as a partner having at least 10% interest in the capital or profits of the partnership; and includes any ultimately beneficial owner of more than 10%.’The Person’ means: (a) the person; (b)any of the person’s associates; or (c) the person and any of the person’s associates taken together.material interest proposing to acquire an additional kind of interest, fails to give notification of such intended change after having been made aware of their duty to notify.
Notification 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
- Provision of adverse information under this Code does not necessarily 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.mean we will withdraw our approval of the relevant individual. Where adverse information is provided it will be discussed with the body to determine the risk posed to 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’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; resource implications for the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC; and the individual/body’s willingness or capacity to address the issue.
- Examples of what is meant by ‘any other information that could reasonably be expected to have a bearing on their being the CLC requires that all:
applicants
authorised persons
owners or managers of an Alternative Business Structure
are able to demonstrate that they are suitable for the role for which they are applying, this includes a fit and proper test to determine their probity and financial history.fit and proper’ under requirement 14 include:
- by a reason of character, conduct or association and in particular has been in breach of statutory requirements regarding payment of tax or for a 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
- lacks capacity within the meaning of the Mental Capacity Act 2005 and powers under sections 15 to 20 or section 48 have been exercised.
- An example of what is meant by ‘structural methods of organisation including systems, procedures, controls, functions, roles, and processes.arrangements’ under requirement 7 is a body no longer registered as a a body corporate, formed by being incorporated under the Limited Liability Partnerships Act 2000, recognised by the CLC under s.32 of the 1985 Act to provide Reserved Legal Activities.Limited Liability Partnership or a has the meaning given by s. 1(1) of the Companies Act 2006.Company under the relevant Acts.
- Persons disqualified by Licensing Authorities are identified on the Legal Services Board website.