Requirements of both category 1 and category 2 regulators
Section 16 – Register of regulated legal services providers
57.This section requires each category 1 and category 2 regulator to establish and maintain a register of the legal services providers that it regulates which are authorised to provide legal services. Subsection (8) makes it clear that a solicitor holding a practising certificate is authorised to provide legal services and must be registered, as must a practising advocate and an authorised legal business. It would likewise apply in a similar manner to a member of the Association of Construction Attorneys or a person who is regulated by an accredited regulator (see Chapter 3 of Part 1).
58.The register must contain information in relation to each legal services provider who is an individual, such as their name, the address of their place of business and details of any sanctions resulting from disciplinary action taken against them in the last 3 years. The register must also contain the same information relating to each legal services provider that is not an individual.
59.The register must also contain the details of any person or body that it regulates who is not authorised to provide legal services but would be entitled to be authorised to do so and wishes to appear in the register. A person who is suspended or disqualified from practice is not entitled to be authorised and the register should not therefore include such a person. Similarly, if a legal services provider’s authorisation to provide legal services is suspended, the corresponding entry in the register should be removed for the duration of the suspension. But if, for example, a solicitor chooses not to renew their practising certificate for a period of time and wishes to remain registered, the Law Society must include their details in its register (the roll of solicitors). Similarly, an advocate who works in-house or becomes a judge often chooses to become a non-practising member of the Faculty. If a regulator considers it appropriate, the register may contain such other information relating to any person or body it regulates.
60.Members of the public must have free access to the register and be able to search it. The requirement for it to be made available by such electronic means as the regulator considers appropriate is most likely to be satisfied by the regulator putting the register on its website. However, it is possible that it may use some other means such as an app to achieve that outcome.
61.The roll of solicitors kept by the Law Society under section 7 of the 1980 Act is expected to be the register for the purposes of this section. The Faculty also maintain a website showing practising and non-practising members.
Section 17 – Professional indemnity insurance
62.This section requires each category 1 and category 2 regulator to have rules concerning indemnity for the legal services providers it regulates against any kind of professional liability. A failure to comply with them may be treated as professional misconduct or unsatisfactory professional conduct. The Lord President must agree to the making of them and any amendments. While regulators are afforded some discretion in relation to how this is achieved, it ensures that insurance is in place to cover situations where the actions of a legal services provider results in a client suffering loss or damage.
