Section 113 Overview of the schemeI1

(1)

This Part provides for a scheme under which complaints which—

(a)

relate to an act or omission of a person (“the respondent”) in carrying on an activity, and

(b)

are within the jurisdiction of the scheme (see section 125),

may be resolved quickly and with minimum formality by an independent person.

(2)

Under the scheme—

(a)

redress may be provided to the complainant, but

(b)

no disciplinary action may be taken against the respondent.

(3)

Section 157 prevents provision relating to redress being included in the regulatory arrangements of an approved regulator, or licensing rules made by the Board in its capacity as a licensing authority.

(4)

But neither the scheme nor any provision made by this Part affects any power of an approved regulator, or the Board in its capacity as a licensing authority, to take disciplinary action.

(5)

“Disciplinary action” means the imposition of sanctions, in respect of a breach of conduct rules or discipline rules, on a person who is an authorised person in relation to an activity which is a reserved legal activity.

Annotations

Commencement

I1: S. 113 in force at 6.10.2010 by S.I. 2010/2089, art. 2(a) (with art. 5) (as amended (30.9.2011) by S.I. 2011/2196, art. 6)