Handbook

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 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 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 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 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 regulated by the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC, except where ‘you’ is provided under the heading of a designated role in which case the ‘you’ refers to that role. Any stakeholder in 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 must not act or fail to act, nor permit anyone else to act or fail to act in such a way as to amount to a breach of this Code. 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.

Governance and operational methods of organisation including systems, procedures, controls, functions, roles, and processes.arrangements

You must ensure that:

1. You ensure all 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 and (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 understand and comply with their regulatory responsibilities and do not compromise the body’s duty to the Court or 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.
2. You enable the 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 to discharge their regulatory responsibilities.
3. You enable 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 to comply with their own regulatory responsibilities.
4. You arrangements are in place to ensure processes are carried out in an orderly fashion.systematically prevent, identify and address when a person – usually the owner – attempts to influence the decisions of the Licensed (ABS) Body, or the conduct of Authorised Persons in a way which would constitute a breach of licensing requirements and of regulatory duties.improper influence, allowing independence to be maintained and the rule of law to be upheld.
5. You provide a mechanism by which staff can identify regulatory concerns, and any finance-related concerns to any  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.
6. You operate an oral or written expression of dissatisfaction, which alleges that the complainant has suffered (or may suffer) financial loss, distress, inconvenience or detriment.complaints-handling procedures which consider an oral or written expression of dissatisfaction, which alleges that the complainant has suffered (or may suffer) financial loss, distress, inconvenience or detriment.complaints about 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 and any of its 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.

a strict direction for conduct that must be complied with.Specific Requirements

7. You have at least one  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 who is a  a lawyer is a legally qualified person, someone who gives legal advice and represents people in legal matters.CLC Lawyer and have applied for/obtained the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC approval of any such individual.
8. At least one  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 has experience and qualifications appropriate to the body’s profile.
9. At least one  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 is a member of the senior management team.
10. You provide at least one  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 with access to 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’s 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..managers and staff and the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC whenever necessary and their views are taken into account and the recommendations taken forward wherever possible.
11. You specifically authorise at least one  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 to dissent from collective responsibility when reporting to the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC.
12. You ensure the at least one  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 is notified of 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 any please see Material Interest and Beneficial Owner definitions.owner, 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,

Business methods of organisation including systems, procedures, controls, functions, roles, and processes.arrangements

a strict direction for conduct that must be complied with.Specific requirements

13. You have at least one 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, authorised to provide each under the Code of Conduct this means that Authorised Persons must personally carry out or supervise the Reserved Legal Activity provided.reserved legal activity 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 Bodydelivers.
14. You do not employ any person disqualified from being employed by a the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC Body or any person who is not 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.

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

PluralCAPITAL an essential quality; a characteristic, behaviour or ethic, which must be demonstrated so that positive Outcomes are generated for Clients.Principles

15. You understand the regulatory responsibilities 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.
16. You act upon regulatory responsibility concerns raised by staff.
17. You keep up- to-date with legislative and regulatory requirements through targeted Continuous Professional Development.
18. You ensure 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 employed by the body 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.
19. You report to the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC any governance concerns including when a person – usually the owner – attempts to influence the decisions of the Licensed (ABS) Body, or the conduct of Authorised Persons in a way which would constitute a breach of licensing requirements and of regulatory duties.improper influence.

a strict direction for conduct that must be complied with.Specific Requirements – of the Individual

20. You are 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 relation to one or more under the Code of Conduct this means that Authorised Persons must personally carry out or supervise the Reserved Legal Activity provided.reserved legal activity.
21. You are a ‘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’ person and declare to 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 and the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC any factors affecting this.

a strict direction for conduct that must be complied with.Specific Requirements – of responsibility

22. You ensure 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 complies with the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC 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 any specify the reserved legal activities which a body is authorised by the CLC to provide.authorisations, specify the non-reserved legal activities that a body is permitted to provide.permissions and conditions on its Certificate of Recognition, within 2 working days.promptly reporting any breach to the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC.
23. You ensure 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 are able to comply with their regulatory responsibilities, within 2 working days.promptly reporting to the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC any breach of this.
24. You ensure that no 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 (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.employee causes or substantially contributes to 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 or any of its (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, breaching any regulatory responsibility, within 2 working days.promptly reporting to the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC any failures to comply.
25. You ensure you are informed within 2 working days.promptly of any circumstance identified under the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC  Notification Code.
26. You protect any money held or received for a Client by a CLC regulated person or body, incidental to the provision of legal services regulated by the CLC.client money and assets at all times.
27. You provide administrative methods of organisation including systems, procedures, controls, functions, roles, and processes.arrangements to support the maintenance of high standard of work
28. You ensure 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 complies with the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC’s treatment of money requirements, within 2 working days.promptly reporting any breach of these.
29. You ensure that proper records are maintained to evidence 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’s management and supervision methods of organisation including systems, procedures, controls, functions, roles, and processes.arrangements and how they are applied
30. You within 2 working days.promptly report to the the Council for Licensed Conveyancers established under s.12 of the 1985 Act.CLC when the body is in financial distress or is at significant risk of becoming financially distressed.