Our role is to regulate the profession of licensed conveyancers and probate practitioners effectively in order to secure adequate consumer protection, promote effective competition in the legal services market, and provide consumer choice. There are standards of behaviour we expect from our regulated members as well as qualifications and training they must complete. We are currently reviewing our overarching Code of Conduct to reflect updated Ethical Principles.  

At the CLC, we aim to be the regulator of choice for conveyancing and probate lawyers who want to embrace our unique and high-contact approach to regulation which aims to address issues before they crystallise as actual harm. Consequently, we try to make becoming a CLC-regulated conveyancer, or practice, as straightforward a process as possible. 

In order to be eligible for their first licence to practise as a conveyancer, a lawyer needs to have completed the Level 6 diploma in conveyancing law and practice (equivalent to a university degree) as well as 1,200 hours of practical experience. 

Once they have achieved this, they must comply with the CLC Code of Conduct, and adhere to our continuous professional development requirements to ensure they are up-to-date and improving their skills. Ultimately, we have the power to discipline our lawyers if they go wrong, from requiring remedial actions, to issuing rebukes and even seeking their disqualification by an independent Adjudication Panel.  

We also regulate law firms, which have to comply with our code of conduct as well. Our approach to regulation means that we are in regular contact with our firms and frequently review how they are operating. While for the most part firms collaborate openly and effectively with the CLC, consumer protection is key and consequently we do need to use our enforcement powers on occasion. However, when we have to resort to disciplinary action, we see that as a symptom of regulatory failure. Good regulation means taking a collaborative approach to achieving compliance, and we see ‘assisted compliance’ as a unique strength of the CLC model.  

Assisted compliance can sometimes be misunderstood as being ‘light-touch’. We would certainly like there to be as few enforcement actions as possible. We would prefer to help our regulated community deal with issues before they become a real problem or cause actual harm to the client or public interest. We want to avoid as far as possible having to impose disciplinary sanctions because these flow from failures of compliance that we seek to avert. When enforcement is required, we see that as a breakdown in the process of client protection.  

But there are indeed times where we have to act. Where clients may face an immediate risk,  action has to be quick and decisive. If firms display persistent non-compliance or actual harm occurs, we will move without hesitation to use the full range of disciplinary tools we have at our disposal. We know that consumers and our colleagues across the industry rely on us to step in and help when challenges arise. If required, our disciplinary tools stretch as far as enabling us to close down a firm entirely if that is what is needed to protect the interests of clients and the public.  

The professional obligations of the lawyers running a CLC-regulated firm continue after that firm has closed, for whatever reason, with professional indemnity insurance (PII) also required to be in place for the six years following closure, and client files stored safely. 

Finally, all our lawyers and firms, need to be covered by PII that can compensate clients for negligent work, and we have a Compensation Fund for consumers who have lost out due to the dishonesty of one of our lawyers.  

We ourselves are monitored by the Legal Services Board, which regulates the CLC and the other front-line regulators of legal services, to ensure that our performance meets the required standard.  

Ultimately, the CLC wants to foster a flourishing and diverse legal sector with excellent conveyancing and probate services. We foster innovation that will make transactions faster, more secure and reliable and that enjoy greater consumer confidence. As well as supporting innovation by legal service providers, this also means educating consumers about those services, how to choose the right provider for them and about how to exercise their rights if things go wrong.  

Stephen Ward is director of strategy and external relations at the Council for Licensed Conveyancers