The Solicitors (Disciplinary Proceedings) Rules 2019

Interpretation E+W

3.—(1) In these Rules—

“the 1974 Act” means the Solicitors Act 1974;

“the 2007 Act” means the Legal Services Act 2007(1);

“applicant” means a person making an application;

“application” means an application or complaint to which these Rules apply and which is made in accordance with these Rules;

“prescribed form” means the appropriate form published by the Tribunal on its website;

“authorised body” means—

(a)

a body which holds a licence in force under Part 5 of the 2007 Act granted by the Solicitors Regulation Authority;

(b)

a recognised body under section 9 of the Administration of Justice Act 1985(2);

(c)

a sole solicitor’s practice recognised under section 9 of the Administration of Justice Act 1985;

“business day” means any day except a Saturday or Sunday, Christmas Day, Good Friday or a bank holiday in England and Wales under section 1 of the Banking and Financial Dealings Act 1971(3);

“case to answer” means an arguable case;

“clerk” means any clerk appointed under rules 8(1) and (2);

“the Clerk to the Tribunal” means the Clerk to the Tribunal who is in office at the date these Rules come into force, or the Clerk to the Tribunal subsequently appointed under rule 8(1);

F1 “a lay application” means an application other than one—

(a)

made by the Society; or

(b)

to which Chapter 2 of Part 3 of these Rules applies;

“panel” means a panel appointed under rule 9(1) for the hearing of an application or any matter connected with an application;

“party” means an applicant or respondent;

“practice direction” means a direction made under rule 6(3);

“practice notice” means a notice made under rule 6(3);

“the President” means the President of the Tribunal, elected under rule 7(2);

“respondent” means any party to an application other than the applicant;

“the Society” means the Law Society and includes any duly constituted committee of the Law Society or any body or person exercising delegated powers of the Law Society, including the Solicitors Regulation Authority;

“solicitor members” and “lay members” have the same meaning as in section 46 of the 1974 Act (4);

“Statement” means a written statement (including a witness statement) signed by the individual making the statement and containing a declaration of truth in the following form—

“I believe that the facts and matters stated in this statement are true”;

“the Tribunal” means the Solicitors Disciplinary Tribunal and where a panel has been appointed for the hearing of an application or any matter connected with it, includes a panel;

“Vice President” means a Vice President of the Tribunal, elected under rule 7(3).

(2) References in these Rules to solicitors include, where appropriate, former solicitors.

(3) References in these Rules to registered foreign lawyers are references to lawyers whose names are entered in the register of foreign lawyers maintained under section 89 of the Courts and Legal Services Act 1990(5) and include, where appropriate, those who have ceased to be registered in that register or whose registration has been suspended.

[F2 (4) Subject to paragraph (5), references in these Rules to registered European lawyers are references to—

(a) those lawyers—

(i) whose names were entered in the register of registered European lawyers maintained by the Society under regulation 15 of the European Communities (Lawyer’s Practice) Regulations 2000, as it had effect immediately before IP completion day, at a time before IP completion day, but

(ii) in relation to whom regulation 6 of the Services of Lawyers and Lawyer’s Practice (Revocation etc.) (EU Exit) Regulations 2020 does not apply;

(b) those lawyers whose names are entered in the register of registered European lawyers maintained by the Society under regulation 15 of the European Communities (Lawyer’s Practice) Regulations 2000, as that regulation has effect by virtue of regulation 6 of the Services of Lawyers and Lawyer’s Practice (Revocation etc.) (EU Exit) Regulations 2020 and includes, where appropriate, those who have ceased to be registered in that register or whose registration has been suspended.]

(5) During [F3 the period] when these Rules are in force before [F4 IP completion day], references in these Rules to registered European lawyers are references to lawyers whose names are entered in the register of European lawyers maintained by the Society under regulation 15 of the European Communities (Lawyer’s Practice) Regulations 2000(6) and include, where appropriate, those who have ceased to be registered in that register or whose registration has been suspended.

Textual Amendments

F1 Rule 3(1): sub-paras. (d)(e) in definition renumbered as sub-paras. (a)(b) (25.5.2020) by The Solicitors (Disciplinary Proceedings) (Amendment) Rules 2020 (S.I. 2020/462), rules 1(2), 3

F2 Rule 3(4) substituted (31.12.2020) by The Services of Lawyers and Lawyer’s Practice (Revocation etc.) (EU Exit) Regulations 2020 (S.I. 2020/1342), reg. 1(1), Sch. para. 20(2) (with Sch. para. 13)

F3 Words in rule 3(5) substituted (25.5.2020) by The Solicitors (Disciplinary Proceedings) (Amendment) Rules 2020 (S.I. 2020/462), rules 1(2), 5(a)

F4 Words in rule 3(5) substituted (25.5.2020) by The Solicitors (Disciplinary Proceedings) (Amendment) Rules 2020 (S.I. 2020/462), rules 1(2), 5(b)

Commencement Information

I1 Rule 3 in force at 25.11.2019, see rule 1

(1)

2007 c.29.

(2)

1985 c.61. Section 9 was amended by the European Communities (Lawyer’s Practice) Regulations 2000 (S.I. 2000/1119), Schedule 4, paragraph 15(2); the Legal Services Act 2007 (c. 29), Schedule 16(2), paragraph 81(2), (3) and (4) and Schedule 23, paragraph 1 and the Legal Services Act 2007 (The Law Society) (Modification of Functions) Order (S.I. 2015/401), Schedule 1(2) paragraphs 18(3), (4) and (5).

(3)

1971 c.80.

(4)

Section 46 was amended by the Legal Services Act 2007 (c. 29), Schedule 16(1), paragraph 47(2) and modified by the Solicitors Act 1974 (c. 47), section 44E(2), the Administration of Justice Act 1985 (c. 61), section 43(2)(a) and Schedule 2, paragraph 14C(2), the European Communities (Lawyer’s Practice) Regulations 2000 (2000/1119), Schedule 4, paragraph 10 and the Legal Services Act 2007 (Appeals from Licensing Authority Decisions) (No.2) Order 2011 (2011/2863), articles 4(3) and (4).

(5)

Section 89 was amended by the European Communities (Lawyer’s Practice) Regulations 2000 (2000/1119), Schedule 4, paragraph 14(2) and the Legal Services Act 2007 (c. 29), Schedule 16(3), paragraph 125.

(6)

S.I. 2000/1119.