.c there are no exceptional circumstances which .c there are no exceptional circumstances which would warrant no further action being taken on would warrant the complaint being dismissed; the complaint or the complaint being dismissed; and and Definition of means a breach of this Handbook by a BSB means a breach of this Handbook by a BSB ‘professional misconduct’ regulated person which is not appropriate for regulated person which is not appropriate for disposal by way of no further action or the disposal by way of the no further action or imposition of administrative sanctions, pursuant to imposition of administrative sanctions, pursuant to Section 5.A Section 5.A Effective from 1 August 2015 Reference Previous Provision in the 1st Edition of the New Provision in the 2nd Edition of the BSB BSB Handbook Handbook (New Text in Bold) gC93 The documents that you may be required to Information which you are requested to disclose disclose pursuant to Rule C64 may include client under Rule C64 may include client information that information that is subject to legal privilege. It has is subject to legal privilege. You are not entitled to been recognised in R v Special Commissioner disclose such information without the consent and Another, Ex P Morgan Grenfell & Co Ltd of the client. You may enquire whether your ([2003] 1 A.C. 563) that the disclosure of a client’s client is willing to waive privilege but should be privileged information to a legal regulator does not alert to the possibility that you may have a infringe the client’s right to privilege. This is conflict of interest in giving him any advice as to because the information is not being sought for whether he should. The BSB will look at the the purposes of making it public or to be used question of privilege on a case by case basis. It against the person entitled to the privilege. Note will bear in mind in the exercise of its regulatory the difference where you are being required to functions that a client might have been prepared report serious misconduct by others. In those to waive privilege if asked. Observations in R circumstances, where legal professional privilege (Morgan Grenfell & Co Ltd) v Special applies, this will override the requirement to report Commissioner [2003] 1 A.C. 563 at [32], referred serious misconduct by another. to in R (Lumsdon) v Legal Services Board [2013]
.c there are no exceptional circumstances which would warrant no further action being taken on the complaint or the complaint being dismissed; and .c there are no exceptional circumstances which would warrant the complaint being dismissed; and Definition of ‘professional misconduct’ means a breach of this Handbook by a BSB regulated person which is not appropriate for disposal by way of no further action or the imposition of administrative sanctions, pursuant to Section 5.A means a breach of this Handbook by a BSB regulated person which is not appropriate for disposal by way of no further action or the imposition of administrative sanctions, pursuant to Section 5.A Effective from 1 August 2015 Reference Previous Provision in the 1st Edition of the BSB Handbook New Provision in the 2nd Edition of the BSB Handbook (New Text in Bold) gC93 The documents that you may be required to disclose pursuant to Rule C64 may include client information that is subject to legal privilege. It has been recognised in R v Special Commissioner and Another, Ex P Morgan Grenfell & Co Ltd ([2003] 1 A.C. 563) that the disclosure of a client’s privileged information to a legal regulator does not infringe the client’s right to privilege. This is because the information is not being sought for the purposes of making it public or to be used against the person entitled to the privilege. Note the difference where you are being required to report serious misconduct by others. In those circumstances, where legal professional privilege applies, this will override the requirement to report serious misconduct by another. Information which you are requested to disclose under Rule C64 may include client information that is subject to legal privilege. You are not entitled to disclose such information without the consent of the client. You may enquire whether your client is willing to waive privilege but should be alert to the possibility that you may have a conflict of interest in giving him any advice as to whether he should. The BSB will look at the question of privilege on a case by case basis. It will bear in mind in the exercise of its regulatory functions that a client might have been prepared to waive privilege if asked. Observations in R (Morgan Grenfell & Co Ltd) v Special Commissioner [2003] 1 A.C. 563 at [32], referred to in R (Lumsdon) v Legal Services Board [2013]
new_provisions_table_25_june_2018.docx