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Solicitors Act 1974

1974 CHAPTER 47

An Act to consolidate the Solicitors Acts 1957 to 1974 and certain other enactments relating to solicitors.

[31st July 1974]

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Modifications etc. (not altering text)

C1Act excluded by S.I. 1978/1910, art. 18(2)

C3By Criminal Justice Act 1991 (c. 53, SIF 39:1), s. 101(1), Sch. 12 para. 23; S.I. 1991/2208, art. 2(1), Sch. 1 it is provided (14.10.1991) that in relation to any time before the commencement of s. 70 of that 1991 Act (which came into force on 1.10.1992 by S.I. 1992/333, art. 2(2), Sch. 2) references in any enactment amended by that 1991 Act, to youth courts shall be construed as references to juvenile courts.

C4Act: functions of the Lord Chancellor transferred to the Secretary of State, and all property, rights and liabilities to which the Lord Chancellor is entitled or subject in connection with any such function transferred to the Secretary of State for Constitutional Affairs (19.8.2003) by The Secretary of State for Constitutional Affairs Order 2003 (S.I. 2003/1887), arts. 4, 5 {Sch. 1} (with art. 6)

C5Act: for the words "Supreme Court Act 1981" wherever they occur there is substituted (prosp.) the words "Senior Courts Act 1981" by virtue of Constitutional Reform Act 2005 (c. 4), ss. 59, 148(1), Sch. 11 para. 1(2) [Editorial Note: this amendment will be carried through into the text of the Act at the same time as any other effects on the Act for the year in which the relevant commencement order (or first such order) is made]

Commencement Information

I1Act not in force at Royal Assent see s. 90(2); Act wholly in force 1.5.1975

Part IE+W+S+N.I. Right to Practise as Solicitor

Qualifications and trainingE+W

1 Qualifications for practising as solicitor.E+W

No person shall be qualified to act as a solicitor unless—

(a)he has been admitted as a solicitor, and

(b)his name is on the roll, and

(c)he has in force a certificate issued by the Society in accordance with the provisions of this Part authorising him to practise as a solicitor (in this Act referred to as a “practising certificate”).

[F11A Practising certificates: employed solicitors.E+W

A person who has been admitted as a solicitor and whose name is on the roll shall, if he would not otherwise be taken to be acting as a solicitor, be taken for the purposes of this Act to be so acting if he is employed in connection with the provision of any legal services—

(a)by any person who is qualified to act as a solicitor;

(b)by any partnership at least one member of which is so qualified; F2. . .

(c)by a body recognised F3. . . under section 9 of the Administration of Justice Act 1985 (incorporated practices).][F4 or

(d)by any other person who, for the purposes of the Legal Services Act 2007, is an authorised person in relation to an activity which is a reserved legal activity (within the meaning of that Act).]

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Amendments (Textual)

Modifications etc. (not altering text)

F6[F51B]Restriction on practice as sole solicitorE+W

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

Modifications etc. (not altering text)

2 Training regulations.E+W

(1)The Society F7. . . may make regulations (in this Act referred to as “training regulations”) about education and training for persons seeking to be admitted or to practise as solicitors.

F8(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)Training regulations—

(a)may prescribe—

(i)the education and training F9. . . to be undergone by persons seeking admission as solicitors;

(ii)any education or training to be undergone by persons who have been admitted as solicitors;

(iii)the examinations or other tests to be undergone by persons seeking admission as solicitors or who have been admitted;

(iv)the qualifications and reciprocal duties and responsibilities of persons undertaking to give education or training for the purposes of the regulations or undergoing such education or training; and

(v)the circumstances in which F10. . . education or training under the regulations may be [F11started or] terminated;

(b)may require persons who have been admitted as solicitors to hold practising certificates while they are undergoing education or training under the regulations;

(c)may include provision for the charging of fees by the Society and the application of fees which the Society receives;

(d)may make different provision for different classes of persons and different circumstances.

(4)F12. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5)F13. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

Modifications etc. (not altering text)

C8S. 2 extended (22.5.2000) by S.I. 2000/1119, regs. 1, 37(3), Sch. 4 para. 1(1)

AdmissionE+W+S+N.I.

3 Admission as solicitor.E+W

(1)Subject to section 4 and to section 20(3) of the Justices of the M1Peace Act 1949 (which relates to the admission as solicitors of certain persons who have served as assistant to a justices’ clerk), no person shall be admitted as a solicitor unless he has obtained a certificate from the Society that the Society—

(a)is satisfied that he has complied with training regulations, and

(b)is satisfied as to his character and his suitability to be a solicitor.

(2)Any person who has obtained a certificate that the Society is satisfied as mentioned in subsection (1) may apply to the [F14Society] to be admitted as a solicitor; and if any such person so applies, the [F14Society] , F15. . ., shall, unless cause to the contrary is shown to [F16its] satifaction, in writing, and in such manner and form as the [F14Society] may from time to time think fit, admit that person to be a solicitor.

F17(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

Marginal Citations

F184. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W+S

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Amendments (Textual)

F195. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W+S+N.I.

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Amendments (Textual)

The rollE+W

6 Keeping of the roll.E+W

(1)The Society shall continue to keep a list of all solicitors of the [F20Senior Courts], called “the roll”.

(2)F21. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)F22. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4)F23. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

7 Entry of name and restoration of name struck off.E+W

On production—

[F24(a)of written evidence of admission of any person as a solicitor by the Society,]

(b)of an order for the restoration to the roll of the name of a person whose name has been struck off it, [F25or

(c)of an order under section 47(2)(h) for the restoration of a person’s name to the roll,]

and on payment to the Society of such fee F26. . . as the [F27Society] may from time to time determine, the Society shall enter the name of that person on the roll.

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Amendments (Textual)

8 Removal or restoration of name at solicitor’s request.E+W

(1)The Society, on the application of a solicitor, may remove his name from the roll.

(2)The Society, on the application of a former solicitor whose name is not on the roll because it has been removed from it, may enter his name on the roll, on payment to the Society of such fee F28. . . as the [F29Society] may from time to time determine.

[F30(2A)Subsection (2) does not apply to a former solicitor with respect to whom a direction has been given under section 47(2)(g).]

(3)The power to enter a name on the roll conferred on the Society by subsection (2) includes power to enter the name of a person whose name was removed from the roll before the coming into force of section 5 of the M2Solicitors (Amendment) Act 1974.

[F31(4)An appeal from any decision of the Society under subsection (2) shall lie to the [F32High Court].

[F33(4A)In relation to an appeal under subsection (4) the High Court may make such order as it thinks fit as to payment of costs.

(4B)The decision of the High Court on an appeal under subsection (4) shall be final.]

(5)F34. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

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Amendments (Textual)

Marginal Citations

Practising certificatesE+W

[F359 Applications for practising certificates.E+W

(1)A person whose name is on the roll may apply to the Society to be issued with a practising certificate.

F36(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)An application under this section must be—

(a)made in accordance with regulations under section 28, and

(b)accompanied by the appropriate fee.

(4)The appropriate fee”, in relation to an application, means—

(a)any fee payable under subsection (1) of section 11 in respect of the practising certificate applied for, and

(b)any additional fee payable under subsection (4) of that section in respect of the application.]

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Amendments (Textual)

Modifications etc. (not altering text)

[F3710Issue of practising certificates.E+W

(1)Subject to the following provisions of this section, where an application is made in accordance with section 9, the Society must issue a practising certificate to the applicant if it is satisfied that the applicant—

(a)is not suspended from practice, and

(b)is complying with any prescribed requirements imposed on the applicant.

(2)A practising certificate issued to an applicant of a prescribed description must be issued subject to any conditions prescribed in relation to applicants of that description.

(3)In such circumstances as may be prescribed, the Society must, if it considers it is in the public interest to do so—

(a)refuse to issue a practising certificate under this section, or

(b)where it decides to issue a practising certificate, issue it subject to one or more conditions.

(4)The conditions which may be imposed include—

(a)conditions requiring the person to whom the certificate is issued to take specified steps that will, in the opinion of the Society, be conducive to the carrying on by that person of an efficient practice as a solicitor F38...;

(b)conditions which prohibit that person from taking any specified steps, except with the approval of the Society.

(5)In this section —

  • prescribed” means prescribed by regulations under section 28;

  • specified”, in relation to a condition imposed on a practising certificate, means specified in the condition.]

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Amendments (Textual)

Modifications etc. (not altering text)

[F3910ARegister of holders of practising certificatesE+W

(1)The Society must keep a register of all solicitors who hold practising certificates.

(2)The register must contain—

(a)the full name of each solicitor who holds a practising certificate,

F40(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)such other information as may be specified in regulations under section 28(1)(d).]

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Amendments (Textual)

Modifications etc. (not altering text)

[F4111 Fees payable on issue of practising certificates.E+W

(1)Before a practising certificate is issued, there must be paid to the Society in respect of the certificate a fee of such amount as the Society may from time to time determine.

(2)Different fees may be specified for different categories of applicant and in respect of different circumstances.

(3)Subsection (4) applies where a solicitor makes an application for a practising certificate if—

(a)the solicitor has failed to deliver an accountant's report required by rules under section 34(1) by such time or in such circumstances as may be prescribed by those rules, and

(b)a practising certificate has not been issued by the Society to the solicitor since the Society became aware of the failure.

(4)Where this subsection applies, the solicitor's application must be accompanied by an additional fee of such amount as the Society from time to time determines.]

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Amendments (Textual)

Modifications etc. (not altering text)

12 Discretion of Society with respect to issue of practising certificates in special cases.E+W

F42. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

[F4312A Additional fee payable by certain solicitors on applying for practising certificates.E+W

F44. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

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Amendments (Textual)

[F4513 Appeals etc in connection with the issue of practising certificates.E+W

(1)A person who makes an application under section 9 may appeal to the High Court against—

(a)a decision to refuse the application for a practising certificate,

F46(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . or

(c)a decision to impose a condition on a practising certificate issued in consequence of the application.

(2)A person who holds a practising certificate subject to a condition within section 10(4)(b) may appeal to the High Court against any decision by the Society to refuse to approve the taking of any step for the purposes of that condition.

(3)The Society may make rules which provide, as respects any application under section 9 that is neither granted nor refused by the Society within such period as may be specified in the rules, for enabling an appeal to be brought under this section in relation to the application as if it had been refused by the Society.

(4)On an appeal under subsection (1), the High Court may—

(a)affirm the decision of the Society,

F47(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)direct the Society to issue a certificate to the applicant free from conditions or subject to such conditions as the High Court may think fit,

(d)direct the Society not to issue a certificate,

(e)if a certificate has been issued, by order suspend it,

F48(f). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . or

(g)make such other order as the High Court thinks fit.

(5)On an appeal under subsection (2), the High Court may—

(a)affirm the decision of the Society,

(b)direct the Society to approve the taking of one or more steps for the purposes of a condition within section 10(4)(b), or

(c)make such other order as the High Court thinks fit.

(6)In relation to an appeal under this section the High Court may make such order as it thinks fit as to payment of costs.

(7)The decision of the High Court on an appeal under subsection (1) or (2) shall be final.]

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Amendments (Textual)

Modifications etc. (not altering text)

C18S. 13(2) extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(b), Sch.

C19S. 13(3) extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(b), Sch.

C20S. 13(5) extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(b), Sch.

C21S. 13(6) extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(b), Sch.

C22S. 13(7) extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(b), Sch.

F50[F4913ZAApplication to practise as sole practitioner while practising certificate in forceE+W

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

F49Ss. 13ZA, 13ZB inserted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 16 (with ss. 29, 192, 193); S.I. 2009/1365, art. 2(a)(iii) (subject to art. 4)

Modifications etc. (not altering text)

F5013ZB]Fee payable on making of sole solicitor endorsementE+W

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

F49Ss. 13ZA, 13ZB inserted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 16 (with ss. 29, 192, 193); S.I. 2009/1365, art. 2(a)(iii) (subject to art. 4)

Modifications etc. (not altering text)

[F5113A Imposition of conditions while practising certificates are in force.E+W

(1)Subject to the provisions of this section, the Society may in the case of any solicitor direct that his practising certificate for the time being in force (his “current certificate”) shall have effect subject to such conditions as the Society may think fit.

[F52(2)The power conferred by subsection (1) is exercisable in relation to a solicitor at any time during the period for which the solicitor's current certificate is in force if—

F53(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)it appears to the Society that the case is of a prescribed description.

(3)Prescribed” means prescribed by regulations under section 28.]

(6)A solicitor in whose case a direction is given under this section may appeal to the [F54High Court against the decision of the Society.]

(7)On an appeal under subsection (6), the [F55High Court] may—

(a)affirm the decision of the Society; or

(b)direct that the appellant’s current certificate shall have effect subject to such conditions as the [F55High Court] thinks fit; or

by order revoke the direction; or

(d)make such other order as [F56it] thinks fit.

[F57(7A)The decision of the High Court on an appeal under subsection (6) shall be final.]

[F58(8)Subsections (4) and (5) of section 10 apply for the purposes of subsection (1) of this section as they apply for the purposes of that section.]

[F59(9)A solicitor who holds a practising certificate subject to a condition imposed under subsection (1) which prohibits that solicitor from taking any steps specified in the condition, except with the approval of the Society, may appeal to the High Court against any decision by the Society to refuse to approve the taking of any step for the purposes of that condition.

(10)On an appeal under subsection (9), the High Court may—

(a)affirm the decision of the Society,

(b)direct the Society to approve the taking of one or more steps for the purposes of the condition, or

(c)make such other order as the High Court thinks fit.

(11)The decision of the High Court on an appeal under subsection (9) shall be final.

(12)In relation to an appeal under this section the High Court may make such order as it thinks fit as to payment of costs.]]

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Amendments (Textual)

F52S. 13A(2)(3) substituted (1.7.2009) for s. 13A(2)-(5) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 16(2) (with ss. 29, 192, 193); S.I. 2009/1365, art. 2(a)(iii) (subject to art. 4)

F54Words in s. 13A(6) substituted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 16(3) (with ss. 29, 192, 193); S.I. 2009/1365, art. 2(a)(iii) (subject to art. 4)

F55Words in s. 13A(7) substituted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 16(4)(a) (with ss. 29, 192, 193); S.I. 2009/1365, art. 2(a)(iii) (subject to art. 4)

F56Word in s. 13A(7) substituted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 16(4)(b) (with ss. 29, 192, 193); S.I. 2009/1365, art. 2(a)(iii) (subject to art. 4)

F59S. 13A(9)-(12) inserted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 16(7) (with ss. 29, 192, 193); S.I. 2009/1365, art. 2(a)(iii) (subject to art. 4)

Modifications etc. (not altering text)

C26S. 13A(9) extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(c), Sch.

C27S. 13A(10) extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(c), Sch.

C28S. 13A(11) extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(c), Sch.

C29S. 13A(12) extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(c), Sch.

[F6013B Suspension of practising certificates where solicitors convicted of fraud or serious crime.E+W

(1)Where—

(a)a solicitor has been convicted of–

(i)an offence involving dishonesty or deception; or

[F61(ii)an indictable offence; and]

(b)the Society has made an application to the Tribunal under section 47 with respect to him,

the Society may direct that any practising certificate F62... of his which is for the time being in force be suspended.

(2)Any such suspension shall be for such period, not exceeding six months, as the Society shall specify in the direction.

(3)If, before the specified period expires–

(a)the Tribunal determines the Society’s application;

(b)the conviction is quashed or set aside; or

(c)the Society withdraws its application to the Tribunal,

the suspension shall cease to have effect.

(4)Where the specified period comes to an end without any of the events mentioned in subsection (3) having occurred, the Society may direct that the suspension be continued for such period, not exceeding six months, as it shall specify in the direction.

(5)A suspension under this section may only be extended once under subsection (4).

(6)Nothing in this section is to be taken as in any way affecting the Tribunal’s power to suspend a solicitor from practice F63... .

(7)A solicitor in whose case a direction is given under subsection (1) or (4) may appeal to the [F64High Court] against the direction within one month of being notified of it.

(8)In an appeal under subsection (7), the [F65High Court] may–

(a)affirm the suspension;

(b)direct that the appellant’s certificate [F66shall not be suspended but] shall have effect subject to such conditions as the [F65High Court] thinks fit;

(c)by order revoke the direction; or

(d)make such other order as [F67it] thinks fit.]

[F68(9)In relation to an appeal under subsection (7) the High Court may make such order as it thinks fit as to payment of costs.

(10)The decision of the High Court on an appeal under subsection (7) shall be final.]

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Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Amendments (Textual)

F64Words in s. 13B(7) substituted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 17(c) (with ss. 29, 192, 193); S.I 2009/1365, {art. 2(a)(iii)} (subject to art. 4)

F65Words in s. 13B(8) substituted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 17(d)(i) (with ss. 29, 192, 193); S.I 2009/1365, {art. 2(a)(iii)} (subject to art. 4)

F67Word in s. 13B(8)(d) substituted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 17(d)(iii) (with ss. 29, 192, 193); S.I 2009/1365, {art. 2(a)(iii)} (subject to art. 4)

F68S. 13B(9)(10) inserted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 17(e) (with ss. 29, 192, 193); S.I. 2009/1365, art. 2(a)(iii) (subject to art. 4)

Modifications etc. (not altering text)

C30S. 13B extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(d), Sch.

14 Commencement, expiry and replacement of practising certificates.E+W

F69. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Amendments (Textual)

15 Suspension of practising certificates.E+W

(1)The making by the Tribunal or by the court of an order suspending a solicitor from practice shall operate, and an adjudication in bankruptcy of a solicitor[F70or the making of a debt relief order (under Part 7A of the Insolvency Act 1986) in respect of a solicitor] shall operate immediately, to suspend any practising certificate of that solicitor for the time being in force.

[F71(1A)Where the power conferred by paragraph 6(1) [F72, 6A(1)] or 9(1) of Schedule 1 has been exercised in relation to a solicitor by virtue of paragraph 1(1)(a)(i), [F73(aa),](c) (so far as it applies to rules made by virtue of section [F7431 or] 32) or (e) of that Schedule, the exercise of that power shall operate immediately to suspend any practising certificate of that solicitor for the time being in force.

(1B)Subsection (1A) does not apply if, at the time when the power referred to there is exercised, the Society directs that subsection (1A) is not to apply in relation to the solicitor concerned.

(1C)If, at the time when the power referred to in subsection (1A) is exercised, the Society gives a direction to that effect, the solicitor concerned may continue to act in relation to any matter specified in the direction as if his practising certificate had not been suspended by virtue of subsection (1A), but subject to such conditions (if any) as the Society sees fit to impose.]

(2)For the purposes of this Act, a practising certificate shall be deemed not to be in force at any time while it is suspended.

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Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Amendments (Textual)

Modifications etc. (not altering text)

16 Duration of suspension of practising certificates.E+W

[F75(1)Where a practising certificate is suspended, it expires on such date as may be prescribed by regulations under section 28.]

[F76(1)Where, on the replacement date for a practising certificate, the certificate is suspended it shall expire on that date.]

(2)The suspension of a practising certificate by virtue of section 15(1) by reason of an adjudication in bankrupty shall terminate if the adjudication is annulled and an office copy of the order annulling the adjudication is served on the Society.

[F77(2A)The suspension of a practising certificate by virtue of section 15(1) by reason of the making of a debt relief order shall terminate—

(a)if the debt relief order is revoked on the ground mentioned in section 251L(2)(c) or (d) of the Insolvency Act 1986 and a copy of the notice provided to the debtor under [F78Rule 9.18 of the Insolvency (England and Wales) Rules 2016] is served on the Society or the debt relief order is revoked by the court under section 251M(6)(e) of that Act and a copy of the court order is served on the Society;

(b)if the debt relief order is revoked and a period of one year has elapsed beginning with the effective date of that order. ]

(3)Where a solicitor’s practising certificate is suspended—

(a)by an order under section 13(4); or

(b)by virtue of section 15(1) by reason of his adjudication in bankruptcy[F79or the making of a debt relief order (under Part 7A of the Insolvency Act 1986) in respect of him]; or

(c)by virtue of section 15(1) by reason of his suspension from practice and the period of his suspension from practice expires before [F80the date on which his certificate will expire],

[F81(d)by virtue of section 15(1A)]

the solicitor may at any time before the certificate expires (and, in the case of adjudication in bankruptcy, while the adjudication remains unannulled) apply to the Society to terminate the suspension.

(4)On an application under subsection (3), the Society may in its discretion—

(a)by order terminate the suspension either unconditionally or subject to such conditions as the Society may think fit; or

(b)refuse the application.

(5)If on an application by a solicitor under subsection (3) the Society refuses the application or terminates the suspension subject to conditions, the solicitor may appeal against the decision of the Society to the [F82High Court, which] may—

(a)affirm the decision; or

(b)terminate the suspension either unconditionally or subject to such conditions as [F83it] may think fit.

[F84(6)In relation to an appeal under subsection (5) the High Court may make such order as it thinks fit as to payment of costs.

(7)The decision of the High Court on an appeal under subsection (5) shall be final.]

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Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Amendments (Textual)

F75S. 16(1) substituted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 20(2) (with ss. 29, 192, 193); S.I 2009/1365, {art. 2(a)(iii)} (subject to art. 4)

F80Words in s. 16(3)(c) substituted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 20(3) (with ss. 29, 192, 193); S.I. 2009/1365, art. 2(a)(iii) (subject to art. 4)

F82Words in s. 16(5) substituted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 20(4)(a) (with ss. 29, 192, 193); S.I 2009/1365, {art. 2(a)(iii)} (subject to art. 4)

F83Word in s. 16(5)(b) substituted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 20(4)(b) (with ss. 29, 192, 193); art. 2(a)(iii) (subejct to art. 4)

F84S. 16(6)(7) inserted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 20(5) (with ss. 29, 192, 193); S.I 2009/1365, {art. 2(a)(iii)} (subject to art. 4)

Modifications etc. (not altering text)

C35S. 16(3) extended in part (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(e), Sch.

17 Publicity in relation to suspension of practising certificates.E+W

(1)Where a solicitor’s practising certificate is suspended by an order under section 13(4), or by virtue of section 15(1) by reason of his adjudication in bankruptcy, the Society shall forthwith cause notice of that suspension to be published F85. . . and a note of it to be entered against the name of the solicitor on the roll.

(2)Where any such suspension of a practising certificate as is mentioned in subsection (1) is terminated under section 16(2), (4) or (5), the Society shall forthwith cause a note of that termination to be entered against the name of the solicitor on the roll and, if so requested in writing by the solicitor, a notice of it to be published F86. . . .

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Amendments (Textual)

Modifications etc. (not altering text)

C36S. 17 extended (22.5.2000) by S.I. 2000/1119, regs. 1, 37(3), Sch. 4 para. 7(1)

F88[F8717ASuspension of sole solicitor endorsementE+W

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

Modifications etc. (not altering text)

F8817B]Duration and publicity of suspension of sole solicitor endorsementE+W

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Amendments (Textual)

Modifications etc. (not altering text)

[F8918 Extracts from the roll or register etc as evidence.E+W

(1)An extract from the roll, or an extract from the register kept under section 10A, which is certified as correct by the Society is evidence of the matters mentioned in it.

(2)A certificate from the Society stating that—

(a)a person's name is or was on the roll, or

(b)a person is or was registered in the register kept under section 10A,

is evidence of the matters stated.]

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Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Amendments (Textual)

Modifications etc. (not altering text)

Rights and privileges of solicitorsE+W

19 Rights of practising and rights of audience.E+W

F90. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Amendments (Textual)

Unqualified persons acting as solicitorsE+W

[F9120 Unqualified person not to act as solicitor.E+W

(1)No unqualified person is to act as a solicitor.

(2)Any person who contravenes subsection (1) is guilty of an offence and liable on conviction on indictment to imprisonment for not more than 2 years or to a fine, or to both.]

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Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Amendments (Textual)

Modifications etc. (not altering text)

21 Unqualified person not to pretend to be a solicitor.E+W

Any unqualified person who wilfully pretends to be, or takes or uses any name, title, addition or description implying that he is, qualified or recognised by law as qualified to act as a solicitor shall be guilty of an offence and liable on summary conviction to [F92a fine not exceeding the fourth level on the standard scale]

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Amendments (Textual)

Modifications etc. (not altering text)

22 Unqualified person not to prepare certain instruments.E+W

F93. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

22A Powers of entry etc. of local weights and measures authorities.E+W

F94. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

23 Unqualified person not to prepare papers for probate etc.E+W

F95. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

24 Application of penal provisions to body corporate.E+W

(1)If any act is done by a body corporate, or by any director, officer or servant of a body corporate, and is of such a nature or is done in such a manner as to be calculated to imply that the body corporate is qualified or recognised by law as qualified to act as a solicitor—

(a)the body corporate shall be guilty of an offence and liable on summary conviction to [F96a fine not exceeding the fourth level on the standard scale, and]

(b)in the case of an act done by a director, officer or servant of the body corporate, he also shall be guilty of an offence and liable on summary conviction to [F97a fine not exceeding the fourth level on the standard scale.]

(2)For the avoidance of doubt it is hereby declared that in [F98section 20 the reference to an unqualified person and the reference to a person both include a reference to a body corporate.]

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Amendments (Textual)

F98Words in s. 24(2) substituted (1.1.2010) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 27 (with ss. 29, 192, 193); S.I. 2009/3250, art. 2(f)(ii) (with art. 9 and subject to art. 5)

Modifications etc. (not altering text)

C43S. 24(1) excluded (1.1.1992) by Administration of Justice Act 1985 (c. 61, SIF 34), s. 9(3); S.I. 1991/2683, art. 2 (which excluding provision was substituted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 81(6) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(ii) (subject to art. 4))

C45S. 24(2) excluded by (1.1.1992) by Administration of Justice Act 1985 (c. 61, SIF 34), s. 9(3); S.I. 1991/2683, art. 2 (which excluding provision was substituted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 81(6) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(ii) (subject to art. 4))

25 Costs where unqualified person acts as solicitor.E+W

(1)No costs in respect of anything done by any unqualified person acting as a solicitor shall be recoverable by him, or by any other person, in any action, suit or matter.

(2)Nothing in subsection (1) shall prevent the recovery of money paid or to be paid by a solicitor on behalf of a client in respect of anything done by the solicitor while acting for the client without holding a practising certificate in force if that money would have been recoverable if he had held such a certificate when so acting.

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Modifications etc. (not altering text)

26 Time limit for commencement of certain proceedings.E+W

Notwithstanding anything in the [F99M3Magistrates’ Courts Act 1980], proceedings in respect of any offence under section 21 F100. . . may be brought at any time before the expiration of two years from the commission of the offence or six months from its first discovery by the prosecutor, whichever period expires first.

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Amendments (Textual)

Marginal Citations

27 Saving for persons authorised to conduct legal proceedings.E+W

F101. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

SupplementaryE+W+N.I.

28 Regulations.E+W

(1)The [F102Society] may make regulations F103. . . about the following matters, namely—

(a)admission as a solicitor;

(b)the keeping of the roll;

(c)practising certificates F104. . . ;

F105[F106(ca)]. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d)the keeping of the register under [F107section 10A] .

(2)F108. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)F108. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F109(3A)Regulations about the keeping of the roll [F110may (among other things)—

(za)make provision about the form in which the roll is to be kept and the manner in which entries are to be made, altered and removed;]

(a)provide for the Society, at such intervals as may be specified in the regulations, to enquire of solicitors of any class so specified whether they wish to have their names retained on the roll;

(b)require solicitors of any such class, at such intervals as aforesaid, to pay to the Society a fee in respect of the retention of their names on the roll of such amount as may be prescribed by the regulations;F111. . .

(c)authorise the Society to remove from the roll the name of any solicitor who—

(i)fails to reply to any enquiry made in pursuance of paragraph (a) or to pay any fee payable by virtue of paragraph (b), or

(ii)replies to any such enquiry by indicating that he does not wish to have his name retained on the roll;

(d)authorise the Society to remove from the roll the name of any solicitor who has died.]

[F112(e)require the information on the roll to be made available to the public;

(f)specify the manner in which information is to be made so available and require it to be made so available during office hours and without charge.]

[F113(3B)Regulations about practising certificates F114... may (among other things)—

(a)prescribe the form and manner in which applications for, or relating to, practising certificates F114... are to be made;

(b)prescribe information which must be included in or accompany such applications;

(c)make provision about time limits for dealing with such applications, and confer on a person power to extend or bring forward such a time limit in prescribed circumstances;

(d)prescribe the requirements which applicants for practising certificates must satisfy before they may be issued with a practising certificate;

(e)prescribe descriptions of applicants, and conditions in relation to them, for the purposes of section 10(2) (circumstances in which practising certificates must be issued subject to prescribed conditions);

F115(f). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(g)prescribe circumstances for the purposes of section 10(3) (circumstances in which application may be refused etc in the public interest);

(h)make provision about when conditions imposed on practising certificates take effect (including provision conferring power on the Society to direct that a condition is not to have effect until the conclusion of any appeal in relation to it);

(i)make provision for the commencement, duration, replacement, withdrawal and expiry of practising certificates F114...;

(j)prescribe circumstances for the purposes of section 13A(2) (circumstances in which conditions can be imposed during period of practising certificate);

(k)require solicitors who hold practising certificates to notify the Society of such matters as may be prescribed, at such times, or in such circumstances as may be prescribed.

(3C)Regulations about the keeping of the register under section 10A may (among other things)—

(a)make provision about the form in which the register is to be kept and the manner in which entries are to be made, altered and removed;

(b)require information of a specified kind to be included in entries in the register;

(c)require information (or information of a specified description) on the register to be made available to the public;

(d)specify the manner in which it is to be made so available and require it to be made so available during office hours and without charge.

(3D)Regulations under this section may make provision for appeals to the High Court against decisions made by the Society under the regulations.

(3E)In relation to an appeal under regulations made by virtue of subsection (3D), the High Court may make such order as it thinks fit as to payment of costs.

(3F)The decision of the High Court on such an appeal shall be final.

(3G)Regulations under this section may—

(a)provide for a person to exercise a discretion in dealing with any matter;

(b)include incidental, supplementary and consequential provision;

(c)make transitory or transitional provision and savings;

(d)make provision generally or only in relation to specified cases or subject to specified exceptions;

(e)make different provision for different cases.]

(4)F116. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5)F116. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

F102Words in s. 28(1) substituted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 30(2)(a) (with ss. 29, 192, 193); S.I. 2009/1365, art. 2(a)(iv) (subject to arts. 3, 4)

F103Words in s. 28(1) repealed (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 210, 211, Sch. 16 para. 30(2)(b), Sch. 23 (with ss. 29, 192, 193); S.I. 2009/1365, art. 2(a)(iv) (subject to arts. 3, 4)

F104Words in s. 28(1)(c) repealed (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 210, 211, Sch. 16 para. 30(2)(b), Sch. 23 (with ss. 29, 192, 193); S.I. 2009/1365, art. 2(a)(iv) (subject to arts. 3, 4)

F107Words in s. 28(1)(d) substituted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 30(2)(e) (with ss. 29, 192, 193); S.I. 2009/1365, art. 2(a)(iv) (subject to arts. 3, 4)

F110Words in s. 28(3A) substituted (1.7.2009) by virtue of Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 30(4)(a) (with ss. 29, 192, 193); S.I. 2009/1365, art. 2(a)(iv) (subject to arts. 3, 4)

F112S. 28(3A)(e)(f) inserted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 30(4)(c) (with ss. 29,192, 193); S.I. 2009/1365, art. 2(a)(iv) (subject to arts. 3, 4)

F113S. 28(3B)-(3G) inserted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 30(5) (with ss. 29, 192, 193); S.I. 2009/1365, art. 2(a)(iv) (subject to arts. 3, 4)

Modifications etc. (not altering text)

C49S. 28 extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 4

29 Non–British subjects as solicitors. 12 & 13 Will. 3. c. 2.E+W+N.I.

Nothing in section 3 of the Act of Settlement (which provides among other things that aliens are incapable of enjoying certain offices or places of trust) shall be taken to disqualify a person from becoming or practising as a solicitor [F117of the Senior Courts or of the Court of Judicature].

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Amendments (Textual)

30 Evidence as to solicitors in Scotland.E+W

For the purposes of this Part, a letter purporting to be signed by or on behalf of the registrar of solicitors in Scotland—

(a)stating that a person specified in the letter is or is not a solicitor in Scotland shall be evidence that that person is or, as the case may be, is not a solicitor in Scotland;

(b)stating that a person specified in the letter did not at any time during a period so specified have in force a practising certificate as a solicitor in Scotland shall be evidence that that person was not during any part of that period a duly certificated solicitor in Scotland.

Part IIE+W+S+N.I. Professional Practice, Conduct and Discipline of Solicitors and Clerks

Practice rulesE+W

31 Rules as to professional practice, conduct and discipline.E+W

(1)Without prejudice to any other provision of this Part the [F118Society may] make rules F119. . . for regulating in respect of any matter the professional practice, conduct [F120, fitness to practise] and discipline of solicitors [F121and for empowering the Society to take such action as may be appropriate to enable the Society to ascertain whether or not the provisions of rules made, or of any code or guidance issued, by the [F122Society] are being [F123, or have been,] complied with.]

[F124(1A)The powers conferred on the Society by subsection (1) include power to make, in relation to solicitors, provision of a kind which the Society would be prohibited from making but for section 157(5)(c) of the Legal Services Act 2007 (exception from prohibition on approved regulators making provision for redress).]

[F125(1B)Rules under this section must provide that a solicitor may not practise as a sole solicitor unless there is in force in relation to that solicitor’s practice a recognition under section 9 of the Administration of Justice Act 1985.

(1C)Rules under this section may provide that, for the purposes of the rules, this Act and the Administration of Justice Act 1985, a solicitor is not to be regarded as practising as a sole solicitor in such circumstances as may be prescribed by the rules.]

(2)If any solicitor fails to comply with rules made under this section, any person may make a complaint in respect of that failure to the Tribunal.

(3)F126. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4)F126. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

F121Words in s. 31(1) inserted (27.9.1999) by 1999 c. 22, s. 48, Sch. 7 para. 1 (with Sch. 14 para. 7(2)); S.I. 1999/2657, art. 2(a)

F125S. 31(1B)(1C) inserted (6.4.2015 for specified purposes, 1.11.2015 in so far as not already in force) by The Legal Services Act 2007 (The Law Society) (Modification of Functions) Order 2015 (S.I. 2015/401), art. 1(3), Sch. 1 para. 12

Modifications etc. (not altering text)

Accounts etc.E+W

32 Accounts rules and trust accounts rules.E+W

(1)The [F127Society] shall make rules F128. . . —

[F129(a)as to the opening and keeping by solicitors of accounts at banks or with building societies for money within subsection (1A);

(aa)as to the operation by solicitors of accounts kept by their clients or other persons at banks or with building societies or other financial institutions;

(b)as to the keeping by solicitors of accounts containing information as to money received, held or paid by them for or on account of their clients or other persons (including money received, held or paid under a trust); and]

(c)empowering the [F130Society] to take such action as may be necessary to enable [F131it] to ascertain whether or not the rules are being [F132, or have been,] complied with;

F133. . .

[F134(1A)The money referred to in subsection (1) is money (including money held on trust) which is received, held or dealt with for clients or other persons.]

(2)F135. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)If any solicitor fails to comply with rules made under this section, any person may make a complaint in respect of that failure to the Tribunal.

(4)The [F136Society] shall be at liberty to disclose a report on or information about a solicitor’s accounts obtained in the exercise of powers conferred by rules made under subsection (1) F137. . . F138. . . for use in investigating the possible commission of an offence by the solicitor [F139or any of his employees] and F138. . . for use in connection with any prosecution of the solicitor [F139or any of his employees] consequent on the investigation.

(5)Rules under this section may specify circumstances in which solicitors or any class of solicitors are exempt from the rules [F140or a part of the rules.]

(6)F141. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

F134S. 32(1A) inserted (31.3.2009) by Legal Services Act 2007 (c. 29), (c. 29), ss. 177, 211, {Sch. 16 para. 32(3)} (ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i)

Modifications etc. (not altering text)

33 Interest on clients’ money.E+W

[F142(1)Rules under section 32 may require a solicitor to pay interest, or sums in lieu of and equivalent to interest, to a client, any other person or any trust, for whom the solicitor holds money.]

(2)The cases in which a solicitor may be required by the rules to act as mentioned in subsection (1) may be defined, among other things, by reference to the amount of any sum received or the period for which it is or is likely to be retained or both; F143. . .

[F144(3)Except as provided by the rules, a solicitor is not liable to account to any client, other person or trust for interest received by the solicitor on money held at a bank or building society in an account which is for money received or held for, or on account of—

(a)the solicitor's clients, other persons or trusts, generally, or

(b)that client, person or trust, separately.]

[F145(4)Rules under section 32 may—

(a)prescribe the circumstances in which a solicitor may make arrangements to limit or exclude an obligation imposed on the solicitor by rules made by virtue of this section, and

(b)prescribe the requirements to be met by and in relation to those arrangements.]

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Amendments (Textual)

Modifications etc. (not altering text)

[F14633A Inspection of practice bank accounts etc.E+W

(1)The [F147Society] may make rules F148. . . empowering the [F147Society] to require a solicitor to produce documents relating to any account kept by him at a bank or with a building society—

(a)in connection with his practice; or

(b)in connection with any trust of which he is or formerly was a trustee,

for inspection by a person appointed by the [F147Society] pursuant to the rules.

(2)The [F149Society] shall be at liberty to disclose information obtained in exercise of the powers conferred by rules made under subsection (1) for use in investigating the possible commission of an offence by the solicitor and for use in connection with any prosecution of the solicitor consequent on the investigation.]

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Amendments (Textual)

Modifications etc. (not altering text)

34 Accountants’ reports.E+W

[F150(1)The Society may make rules requiring solicitors to provide the Society with reports signed by an accountant (in this section referred to as an “accountant's report”) at such times or in such circumstances as may be prescribed by the rules.

(2)The rules may specify requirements to be met by, or in relation to, an accountant's report (including requirements relating to the accountant who signs the report).]

(6)If any solicitor fails to comply with the provisions of [F151any rules made under this section], a complaint in respect of that failure may be made to the Tribunal by or on behalf of the Society.

(7)F152. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(8)F152. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F153(9)Where an accountant, during the course of preparing an accountant's report—

(a)discovers evidence of fraud or theft in relation to money held by a solicitor for a client or any other person (including money held on trust) or money held in an account of a client of a solicitor, or an account of another person, which is operated by the solicitor, or

(b)obtains information which the accountant has reasonable cause to believe is likely to be of material significance in determining whether a solicitor is a fit and proper person to hold money for clients or other persons (including money held on trust) or to operate an account of a client of the solicitor or an account of another person,

the accountant must immediately give a report of the matter to the Society.

(10)No duty to which an accountant is subject is to be regarded as contravened merely because of any information or opinion contained in a report under subsection (9).]

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Amendments (Textual)

Modifications etc. (not altering text)

[F154Sole solicitorsE+W

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Amendments (Textual)

34AEmployees of solicitorsE+W

(1)Rules made by the Society may provide for any rules made under section 31, 32, 33A or 34 to have effect in relation to employees of solicitors with such additions, omissions or other modifications as appear to the Society to be necessary or expedient.

(2)If any employee of a solicitor fails to comply with rules made under section 31 or 32, as they have effect in relation to the employee by virtue of subsection (1), any person may make a complaint in respect of that failure to the Tribunal.

(3)If any employee of a solicitor fails to comply with rules made under section 34, as they have effect in relation to the employee by virtue of subsection (1), a complaint in respect of that failure may be made to the Tribunal by or on behalf of the Society.

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Modifications etc. (not altering text)

34BEmployees of solicitors: accounts rules etcE+W

(1)Where rules made under section 32(1) have effect in relation to employees of solicitors by virtue of section 34A(1), section 85 applies in relation to an employee to whom the rules have effect who keeps an account with a bank or building society in pursuance of such rules as it applies in relation to a solicitor who keeps such an account in pursuance of rules under section 32.

(2)Subsection (3) applies where rules made under section 32—

(a)contain any such provision as is referred to in section 33(1), and

(b)have effect in relation to employees of solicitors by virtue of section 34A(1).

(3)Except as provided by the rules, an employee to whom the rules are applied is not liable to account to any client, other person or trust for interest received by the employee on money held at a bank or building society in an account which is for money received or held for, or on account of—

(a)clients of the solicitor, other persons or trusts, generally, or

(b)that client, person or trust, separately.

(4)Subsection (5) applies where rules made under section 33A(1) have effect in relation to employees of solicitors by virtue of section 34A(1).

(5)The Society may disclose a report on or information about the accounts of any employee of a solicitor obtained in pursuance of such rules for use—

(a)in investigating the possible commission of an offence by the solicitor or any employees of the solicitor, and

(b)in connection with any prosecution of the solicitor or any employees of the solicitor consequent on the investigation.

(6)Where rules made under section 34 have effect in relation to employees of solicitors by virtue of section 34A(1), section 34(9) and (10) apply in relation to such an employee as they apply in relation to a solicitor.]

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Modifications etc. (not altering text)

Intervention in solicitor’s practice, Compensation Fund and professional indemnityE+W

35 Intervention in solicitor’s practice.E+W

The powers conferred by Part II of Schedule 1 shall be exercisable in the circumstances specified in Part I of that Schedule.

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Modifications etc. (not altering text)

[F15536 Compensation grants.E+W

(1)The Society may make rules concerning the grant of compensation by the Society in respect of loss that a person has suffered, or is likely to suffer, as a result of—

(a)an act or omission of a solicitor or former solicitor;

(b)an act or omission of an employee or former employee of a solicitor or former solicitor;

(c)the exercise by the Society of any of its powers under Part 2 of Schedule 1.

(2)The rules may (among other things) make provision—

(a)as to the circumstances in which such grants may and may not be made;

(b)as to the form and manner in which a compensation claim is to be made;

(c)as to the procedure for determining compensation claims;

(d)for the making of grants in respect of a compensation claim before it is finally determined;

(e)for a grant to be made by way of loan in such circumstances and on such terms as may be prescribed in, or determined in accordance with, the rules;

(f)for a grant to be made by way of making good a deficiency in monies held in trust by the Society under paragraph 6 or 6A of Schedule 1;

(g)as to the minimum and maximum grants payable in respect of a compensation claim (or a claim of a prescribed description);

(h)for the Society to be subrogated, to such extent as may be prescribed, to any rights and remedies of a person to whom a grant is made in relation to the loss in respect of which the grant is made.

(3)The circumstances which may be prescribed by virtue of subsection (2)(a) include in particular—

(a)the nature of the loss;

(b)in a case within subsection (1)(a) or (b), the nature of the act or omission.

(4)For the purposes of subsection (2)(f), there is a deficiency if the monies mentioned in that subsection are insufficient to satisfy the claims of all persons with a beneficial interest in the monies.

(5)The Society may prepare and publish guidance as to the criteria it will apply in deciding whether to make a grant in respect of a compensation claim, or any part of a compensation claim.

(6)Where the Society decides—

(a)not to make a grant in respect of a compensation claim or any part of a compensation claim, or

(b)to make a grant of less than the amount claimed,

it must give reasons for its decision.

(7)Rules under subsection (1) which are not regulatory arrangements within the meaning of the Legal Services Act 2007 are to be treated as such arrangements for the purposes of that Act.

(8)In this section—

  • compensation claim” means a claim for the Society to make a grant of the kind mentioned in subsection (1);

  • prescribed” means prescribed in rules under subsection (1).]

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Amendments (Textual)

F155Ss. 36, 36A substituted (31.3.2009) for s. 36 by Legal Services Act 2007 (c. 29), 177, 211, {Sch. 16 para. 37} (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to arts. 4, 5)

Modifications etc. (not altering text)

[F15636ACompensation fundsE+W

(1)Compensation rules may require or authorise the Society to establish or maintain a fund or funds (“compensation funds”) for the purpose of making grants in respect of compensation claims.

(2)Compensation rules may require solicitors, or solicitors of a description prescribed in the rules, to make contributions to compensation funds of such amounts, at such times and in such circumstances, as may be prescribed in or determined in accordance with the rules.

(3)Any amount payable by virtue of such a requirement may be recovered as a debt due to the Society.

(4)Subsection (2) does not apply to a solicitor who is a Crown Prosecutor.

(5)The Society may invest any money which forms part of a compensation fund in any investments in which trustees may invest under the general power of investment in section 3 of the Trustee Act 2000 (as restricted by sections 4 and 5 of that Act).

(6)The Society may insure with authorised insurers, in relation to compensation funds, for such purposes and on such terms as it considers appropriate.

(7)The Society may, in such circumstances and subject to such conditions as may be prescribed in or determined in accordance with compensation rules—

(a)borrow for the purposes of a compensation fund;

(b)charge investments which form part of a compensation fund as security for borrowing by the Society for the purposes of that fund.

(8)A compensation fund may be applied by the Society for the purposes mentioned in subsection (9) (in addition to the making of grants in respect of compensation claims).

(9)The purposes are—

(a)payment of premiums on insurance policies effected under subsection (6);

(b)repayment of money borrowed by the Society for the purposes of the fund and payment of interest on any money so borrowed;

(c)payment of any other costs, charges or expenses incurred by the Society in establishing, maintaining, protecting administering or applying the fund;

(d)payment of any costs, charges or expenses incurred by the Society in exercising its powers under Part 2 of Schedule 1;

(e)payment of any costs or damages incurred by the Society, its employees or agents as a result of proceedings against it or them for any act or omission of its or theirs in good faith and in the exercise or purported exercise of such powers.

(10)In this section—

  • compensation claim” has the same meaning as in section 36;

  • compensation fund” has the meaning given by subsection (1);

  • compensation rules” means rules under section 36(1).]

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Amendments (Textual)

F156Ss. 36, 36A substituted (31.3.2009) for s. 36 by Legal Services Act 2007 (c. 29), 177, 211, {Sch. 16 para. 37} (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to arts. 4, 5)

Modifications etc. (not altering text)

37 Professional indemnity.E+W

(1)The [F157Society] may make rules (in this Act referred to as “indemnity rules”) concerning indemnity against loss arising from claims in respect of any description of civil liability incurred—

(a)by a solicitor or former solicitor in connection with his practice or with any trust of which he is or formerly was a trustee;

(b)by an employee or former employee of a solicitor or former solicitor in connection with that solicitor’s practice or with any trust of which that solicitor or the employee is or formerly was a trustee.

(2)For the purpose of providing such indemnity, indemnity rules—

(a)may authorise or require the Society to establish and maintain a fund or funds;

(b)may authorise or require the Society to take out and maintain insurance with authorised insurers;

(c)may require solicitors or any specified class of solicitors to take out and maintain insurance with authorised insurers.

(3)Without prejudice to the generality of subsections (1) and (2), indemnity rules—

(a)may specify the terms and conditions on which indemnity is to be available, and any circumstances in which the right to it is to be excluded or modified;

(b)may provide for the management, administration and protection of any fund maintained by virtue of subsection (2)(a) and require solicitors or any class of solicitors to make payments to any such fund;

(c)may require solicitors or any class of solicitors to make payments by way of premium on any insurance policy maintained by the Society by virtue of subsection (2)(b);

(d)may prescribe the conditions which an insurance policy must satisfy for the purposes of subsection (2)(c);

(e)may authorise the Society to determine the amount of any payments required by the rules, subject to such limits, or in accordance with such provisions, as may be prescribed by the rules;

(f)may specify circumstances in which, where a solicitor for whom indemnity is provided has failed to comply with the rules, the Society or insurers may take proceedings against him in respect of sums paid by way of indemnity in connection with a matter in relation to which he has failed to comply;

(g)may specify circumstances in which solicitors are exempt from the rules;

(h)may empower the [F158Society] to take such steps as [F159it considers] necessary or expedient to ascertain whether or not the rules are being [F160, or have been,] complied with; and

(i)may contain incidental, procedural or supplementary provisions.

(4)If any solicitor fails to comply with indemnity rules, any person may make a complaint in respect of that failure to the Tribunal.

(5)The Society shall have power, without prejudice to any of its other powers, to carry into effect any arrangements which it considers necessary or expedient for the purpose of indemnity under this section.

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Amendments (Textual)

F157Words in s. 37(1) substituted (7.3.2008 in so far as the amending Act substitutes the word "Society" for the word "Council" and 1.10.2010 otherwise) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 38(a) (with ss. 29, 192, 193); S.I. 2008/222, art. 2(j)(i); S.I. 2009/3250, art. 2(f)(ii) (with art. 9)

Modifications etc. (not altering text)

[F161 Inadequate professional services]E+W

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Amendments (Textual)

F161Ss. 37A and 44A: by Courts and Legal Services Act 1990 (c. 41, SIF 76:1), ss. 93(1)(2), 125(6) (with Sch. 19 para. 14); S.I. 1991/608, art. 2, Sch., it is provided (1.4.1991) that s. 44A shall cease to have effect and that in its place shall be inserted s. 37A and cross-heading

F162 [F163 37A ] Redress for inadequate professional services.E+W

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

F163Ss. 37A and 44A: by Courts and Legal Services Act 1990 (c. 41, SIF 76:1), ss. 93(1)(2), 125(6) (with Sch. 19 para. 14); S.I. 1991/608, art. 2, Sch., it is provided (1.4.1991) that s. 44A shall cease to have effect and that in its place shall be inserted s. 37A and cross-heading

Modifications etc. (not altering text)

C83S. 37A amendment to earlier affecting provision SI 2000/1119 Sch. 4 para. 7(2) (6.10.2010 being the day on which 2007 c. 29, Sch. 16 para. 39 comes into force by virtue of S.I. 2010/2089, art. 2(b)) by Legal Services Act 2007 (Registered European Lawyers) Order 2009 (S.I. 2009/1587), arts. 1(1)(b), 3(7)(c)(ii)

Restrictions on practice as solicitorE+W

38 Solicitor who is justice of the peace not to act in certain proceedings.E+W

(1)Subject to the provisions of this section, it shall not be lawful for any solicitor who is one of the justices of the peace [F164assigned to any local justice area, or for any partner of his, to act in connection with proceedings before any justice of the peace acting in that area] as solicitor or agent for the solicitor of any person concerned in those proceedings.

(2)F165. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)F165. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F166(3A)Subsection (1) does not apply where a solicitor is a Deputy District Judge (Magistrates’ Courts); but where a solicitor is acting as a Deputy District Judge (Magistrates’ Courts) [F167in any local justice] area it shall not be lawful for him, or for any partner of his, to act in connection with proceedings before any justice of the peace [F168acting in] that area as solicitor or agent for the solicitor of any person concerned in those proceedings.]

F169(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

Modifications etc. (not altering text)

F17039. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W

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Amendments (Textual)

40 Solicitor not to commence or defend actions while in prison.E+W

F171. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

Restrictions on employment of certain personsE+W

41 Employment by solicitor of person struck off or suspended.E+W

(1)No solicitor shall, except in accordance with a written permission granted under this section, employ or remunerate in connection with his practice as a solicitor any person who to his knowledge is disqualified from practising as a solicitor by reason of the fact that—

(a)his name has been struck off the roll, or

(b)he is suspended from practising as a solicitor, or

(c)his practising certificate is suspended while he is an undischarged bankrupt.

[F172(1A)No solicitor shall, except in accordance with a written permission granted under this section, employ or remunerate in connection with his practice as a solicitor any person if, to his knowledge, there is a direction in force under section 47(2)(g) in relation to that person.]

[F173(1B)Where—

(a)a solicitor (“the employed solicitor”) is employed by another solicitor in accordance with a written permission granted under this section, and

(b)the employed solicitor is disqualified from practising as a solicitor by reason of a fact mentioned in subsection (1)(b) or (c),

section 20(1) does not apply in relation to anything done by the employed solicitor in the course of that employment.]

(2)The Society may grant a permission under this section for such period and subject to such conditions as the Society thinks fit.

(3)A solicitor aggrieved by the refusal of the Society to grant a permission under subsection (2), or by any conditions attached by the Society to the grant of any such permission, may appeal to the [F174High Court which] may—

(a)confirm the refusal or the conditions, as the case may be; or

(b)grant a permission under this section for such period and subject to such conditions as [F175it] thinks fit.

(4)If any solicitor acts in contravention of this section or of any conditions subject to which a permission has been granted under it, the Tribunal or, as the case may be, the High Court[F176 may—

(a)order that his name be struck off the roll,

(b)order that he be suspended from practice for such period as the Tribunal or court thinks fit, or

(c)make such other order in the matter as it thinks fit.]

[F177(4A)In relation to an appeal under subsection (3) the High Court may make such order as it thinks fit as to payment of costs.

(4B)The decision of the High Court on an appeal under subsection (3) shall be final.]

(5)F178. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Amendments (Textual)

Modifications etc. (not altering text)

C87S. 41 extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 5(b)

42 Failure to disclose fact of having been struck off or suspended.E+W

(1)Any person who, while he is disqualified from practising as a solicitor by reason of the fact that—

(a)his name has been struck off the roll, or

(b)he is suspended from practising as a solicitor, or

(c)his practising certificate is suspended while he is an undischarged bankrupt,

seeks or accepts employment by a solicitor in connection with that solicitor’s practice without previously informing him that he is so disqualified shall be guilty of an offence and liable on summary conviction to a fine not exceeding [F179level 3 on the standard scale].

[F180(1A)Any person—

(a)with respect to whom a direction is in force under section 47(2)(g); and

(b)who seeks or accepts employment by a solicitor in connection with that solicitor’s practice without previously informing him of the direction,

shall be guilty of an offence and liable on summary conviction to a fine not exceeding level three on the standard scale.]

(2)Notwithstanding anything in [F181the M4Magistrates’ Courts Act 1980], proceedings under this section may be commenced at any time before the expiration of six months from the first discovery of the offence by the prosecutor, but no such proceedings shall be commenced except by, or with the consent of, the Attorney General.

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Amendments (Textual)

Modifications etc. (not altering text)

C90S. 42 extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 5(c)

Marginal Citations

43 Control of [F182solicitors’ employees and consultants].E+W

[F183(1)Where a person who is or was involved in a legal practice but is not a solicitor—

(a)has been convicted of a criminal offence which is such that in the opinion of the Society it would be undesirable for the person to be involved in a legal practice in one or more of the ways mentioned in subsection (1A), or

(b)has, in the opinion of the Society, occasioned or been a party to, with or without the connivance of a solicitor, an act or default in relation to a legal practice which involved conduct on his part of such a nature that in the opinion of the Society it would be undesirable for him to be involved in a legal practice in one or more of the ways mentioned in subsection (1A),

the Society may either make, or make an application to the Tribunal for it to make, an order under subsection (2) with respect to that person.

(1A)A person is involved in a legal practice for the purposes of this section if the person—

(a)is employed or remunerated by a solicitor in connection with the solicitor's practice;

(b)is undertaking work in the name of, or under the direction or supervision of, a solicitor;

(c)is employed or remunerated by a recognised body;

(d)is employed or remunerated by a manager or employee of a recognised body in connection with that body's business;

(e)is a manager of a recognised body;

(f)has or intends to acquire an interest in such a body.

(2)An order made by the Society or the Tribunal under this subsection is an order which states one or more of the following—

(a)that as from the specified date—

(i)no solicitor shall employ or remunerate, in connection with his practice as a solicitor, the person with respect to whom the order is made,

(ii)no employee of a solicitor shall employ or remunerate, in connection with the solicitor's practice, the person with respect to whom the order is made,

(iii)no recognised body shall employ or remunerate that person, and

(iv)no manager or employee of a recognised body shall employ or remunerate that person in connection with the business of that body,

except in accordance with a Society permission;

(b)that as from the specified date no recognised body or manager or employee of such a body shall, except in accordance with a Society permission, permit the person with respect to whom the order is made to be a manager of the body;

(c)that as from the specified date no recognised body or manager or employee of such a body shall, except in accordance with a Society permission, permit the person with respect to whom the order is made to have an interest in the body.

(2A)The Society may make regulations prescribing charges to be paid to the Society by persons who are the subject of an investigation by the Society as to whether there are grounds for the Society—

(a)to make an order under subsection (2), or

(b)to make an application to the Tribunal for it to make such an order.

(2B)Regulations under subsection (2A) may—

(a)make different provision for different cases or purposes;

(b)provide for the whole or part of a charge payable under the regulations to be repaid in such circumstances as may be prescribed by the regulations.

(2C)Any charge which a person is required to pay under regulations under subsection (2A) is recoverable by the Society as a debt due to the Society from the person.]

[F184(3)Where an order has been made under subsection (2) with respect to a person by the Society or the Tribunal—

(a)that person or the Society may make an application to the Tribunal for it to be reviewed, and

(b)whichever of the Society and the Tribunal made it may at any time revoke it.

(3A)On the review of an order under subsection (3) the Tribunal may order—

(a)the quashing of the order;

(b)the variation of the order; or

(c)the confirmation of the order;

and where in the opinion of the Tribunal no prima facie case for quashing or varying the order is shown, the Tribunal may order its confirmation without hearing the applicant.]

(4)The Tribunal, on the hearing of any application under this section, may make an order as to the payment of costs by any party to the application.

(5)Orders made under [F185subsection (2) by the Society, or made, varied or confirmed under this section by the Tribunal and filed with the Society,] may be inspected F186. . . during office hours without payment F187. . . .

[F188(5A)In this section—

  • manager”, in relation to a recognised body, has the same meaning as it has in relation to a body in the Legal Services Act 2007 (see section 207 of that Act);

  • recognised body” means a body recognised under section 9 of the Administration of Justice Act 1985;

  • specified date” means such date as may be specified in the order;

  • Society permission” means permission in writing granted by the Society for such period and subject to such conditions as the Society may think fit to specify in the permission.

(5B)A person has an interest in a recognised body for the purposes of this section if the person has an interest in that body within the meaning of Part 5 of the Legal Services Act 2007 (see sections 72 and 109 of that Act).]

F189(6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(7)For the purposes of this section an order [F190discharging a person absolutely or conditionally in respect of an offence shall, notwithstanding anything in section 14 of the Powers of Criminal Courts (Sentencing) Act 2000,] be deemed to be a conviction of the offence for which the order was made.

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Amendments (Textual)

F182Words in s. 43 sidenote substituted (27.9.1999) by 1999 c. 22, s. 48, Sch. 7 para. 7(7) (with Sch. 14 para. 7(2)); S.I. 1999/2657, art. 2(a)

F190Words in s. 43(7) substituted (25.8.2000) by 2000 c. 6, ss. 165(1), 168(1), Sch. 9 para. 46

Modifications etc. (not altering text)

44 Offences in connection with orders under section 43(2).E+W

[F191(1)It is an offence for a person in respect of whom there is in force an order under section 43(2) which contains provision within section 43(2)(a)—

(a)to seek or accept any employment or remuneration from a solicitor, or an employee of a solicitor, in connection with the practice carried on by that solicitor without previously informing the solicitor or employee of the order;

(b)to seek or accept any employment or remuneration from a recognised body, or a manager or employee of a recognised body, in connection with that body's business, without previously informing the body, or manager or employee, of the order.

(1A)It is an offence for a person in respect of whom there is in force an order under section 43(2) which contains provision within section 43(2)(b) to seek or accept a position as a manager of a recognised body, without previously informing that body of the order.

(1B)It is an offence for a person in respect of whom there is in force an order under section 43(2) which contains provision within section 43(2)(c) to seek or accept an interest in a recognised body from any person, without previously informing that person and (if different) the recognised body of the order.

(1C)A person guilty of an offence under subsection (1), (1A) or (1B) is liable on summary conviction to a fine not exceeding level 3 on the standard scale.]

(2)Where [F192an order under section 43(2) is in force in respect of a person] then, if any solicitor knowingly acts in contravention of that order or of any conditions subject to which permission for [F193the taking of any action] has been granted under it, a complaint in respect of that contravention may be made to the Tribunal by or on behalf of the Society.

(3)Any document purporting to be an order under section 43(2) and to be duly signed in accordance with section 48(1) shall be received in evidence in any proceedings under this section and be deemed to be such an order without further proof unless the contrary is shown.

(4)Notwithstanding anything in [F194the M5Magistrates’ Courts Act 1980], proceedings under subsection (1) may be commenced at any time before the expiration of six months from the first discovery of the offence by the prosecutor, but no such proceedings shall be commenced, except with the consent of the Director of Public Prosecutions, by any person other than the Society or a person acting on behalf of the Society.

[F195(5)In this section—

  • manager” has the same meaning as in section 43;

  • recognised body” means a body recognised under section 9 of the Administration of Justice Act 1985;

and for the purposes of subsection (1B) a person seeks or accepts an interest in a recognised body if the person seeks or accepts an interest which if it were obtained by the person would result in the person having an interest in that body within the meaning of Part 5 of the Legal Services Act 2007 (see sections 72 and 109 of that Act).]

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Amendments (Textual)

Modifications etc. (not altering text)

Marginal Citations

[F196 Imposition by Council of disciplinary sanctions for inadequate professional servicesE+W

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Amendments (Textual)

F19744A]. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W

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Amendments (Textual)

F197Ss. 37A and 44A: by Courts and Legal Services Act 1990 (c. 41, SIF 76:1), ss. 93(1)(2), 125(6) (with Sch. 19 para. 14); S.I. 1991/608, art. 2, Sch., it is provided (1.4.1991) that s. 44A shall cease to have effect and that in its place shall be inserted s. 37A and cross-heading

S. 44A repealed (1.4.1991) and superseded by Courts and Legal Services Act 1990 (c. 41, SIF 76:1), ss. 93(1)(2), 125(6)(7), Sch. 20 (with Sch. 19 para. 14); S.I. 1991/608, art. 2, Sch.

[F198 Examination of filesE+W

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Amendments (Textual)

[F19944B Provision of information and documents by solicitors etcE+W

(1)The Society may by notice require a person to whom this section applies—

(a)to provide information, or information of a description, specified in the notice, or

(b)produce documents, or documents of a description, specified in the notice.

(2)This section applies to—

(a)a solicitor;

(b)an employee of a solicitor;

(c)a recognised body;

(d)an employee or manager of, or a person with an interest in, a recognised body.

(3)The Society may give a notice under this section only if it is satisfied that it is necessary to do so for the purpose of investigating—

(a)whether there has been professional misconduct by a solicitor;

(b)whether a solicitor, or an employee of a solicitor, has failed to comply with any requirements imposed by or by virtue of this Act or any rules made by the Society;

(c)whether a recognised body, or any of its managers or employees has failed to comply with any requirement imposed by or by virtue of the Administration of Justice Act 1985 or any rules made by the Society and applicable to the body, manager or employee by virtue of section 9 of that Act;

(d)whether there are grounds for making, or making an application to the Tribunal for it to make, an order under section 43(2) with respect to a person who is or was involved in a legal practice (within the meaning of section 43(1A)).

(4)A notice under this section—

(a)may specify the time and place at which, and manner and form in which, the information is to be provided or document is to be produced;

(b)must specify the period within which the information is to be provided or the document produced;

(c)may require the information to be provided or document to be produced to the Society or to a person specified in the notice.

(5)The Society may pay to any person such reasonable costs as may be incurred by that person in connection with the provision of any information, or production of any document, by that person pursuant to a notice under this section.

(6)Paragraphs 9(3) and (4) and 13, 15 and 16 of Schedule 1 apply in relation to the powers to obtain information conferred by this section, but for this purpose—

(a)paragraph 9 of that Schedule has effect as if—

(i)in sub-paragraph (3) for “such documents” there were substituted “ information to which a notice given to him under section 44B applies ”,

(ii)in that sub-paragraph for “sub-paragraph (1)” there were substituted “ the notice ”, and

(iii)in sub-paragraph (4) for “produce” (in the first place) to the end there were substituted “ provide information pursuant to a notice under section 44B to provide the information to any person appointed by the Society at such time and place as may be specified in the order. ”, and

(b)the reference to the solicitor or his personal representative in paragraph 13 of that Schedule is to be construed as a reference to the person to whom the notice was given under this section.

(7)Paragraphs 9 (other than sub-paragraphs (1) and (3)), 12, 13, 15 and 16 of Schedule 1 apply in relation to the powers to obtain documents conferred by this section as they apply in relation to the powers conferred by paragraph 9(1) of that Schedule, except that for this purpose—

(a)any reference in paragraph 9 of that Schedule to a person appointed, or to a requirement, under sub-paragraph (1) of that paragraph is to be construed as a reference to a person appointed, or to a requirement to produce documents, under this section,

(b)any reference in that paragraph to any such documents as are mentioned in paragraph 9(1) of that Schedule is to be construed as a reference to any documents to which a notice under this section applies,

(c)the references to the solicitor or his firm in paragraph 9(5) and (6) of that Schedule, and the reference to the solicitor or personal representative in paragraph 9(7) of that Schedule, are to be construed as references to the person to whom the notice was given under this section, and

(d)the reference in paragraph 9(12) of that Schedule to the Society is to be construed as including a reference to a person specified under subsection (4)(c).

(8)Where powers conferred by Part 2 of Schedule 1 to the 1974 Act are exercisable in relation to a person within paragraph (a), (b), (c) or (d) of subsection (2), they continue to be so exercisable after the person has ceased to be a person within the paragraph in question.

(9)In this section—

  • manager” has the same meaning as in the Legal Services Act 2007 (see section 207 of that Act);

  • recognised body” means a body recognised under section 9 of the Administration of Justice Act 1985;

and the reference to a person who has an interest in a recognised body is to be construed in accordance with sections 72 and 109 of the Legal Services Act 2007.]]

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Amendments (Textual)

F199Ss. 44B-44BC substituted (31.3.2009) for s. 44B by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 44 (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

Modifications etc. (not altering text)

C100S. 44B extended in part (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(i), Sch.

C102S. 44B modified (temp.) (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 209, 211, Sch. 22 para. 13 (with ss. 29, 192, 193); S.I. 2009/503, art. 2(e)

[F20044BAPower to require explanation of document or informationE+W

(1)The Society may, by notice, require a person to whom a notice is given under section 44B (or a representative of the person) to attend at a time and place specified in the notice to provide an explanation of any information provided or document produced pursuant to the notice.

(2)The Society may pay to any person such reasonable costs as may be incurred by that person in connection with that person's compliance with a requirement imposed under subsection (1).

(3)Paragraphs 9(3) and (4) and 13, 15 and 16 of Schedule 1 apply in relation to a notice under this section, except that for this purpose—

(a)paragraph 9 of that Schedule has effect as if—

(i)in sub-paragraph (3) for “having” to “sub-paragraph (1)” there were substituted “ refuses, neglects or otherwise fails to comply with a requirement under section 44BA(1) ”, and

(ii)in sub-paragraph (4) for “produce” (in the first place) to the end there were substituted “ provide an explanation of any information provided or document produced pursuant to a notice under section 44B (or a representative of such a person) to attend at a time and place specified in the order to provide an explanation of any information so provided or document so produced. ”, and

(b)the reference to the solicitor or his personal representative in paragraph 13 of that Schedule is to be construed as a reference to the person to whom the notice was given under this section.

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Amendments (Textual)

F200Ss. 44B-44BC substituted (31.3.2009) for s. 44B by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 44 (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

Modifications etc. (not altering text)

C105S. 44BA extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 5(d)

44BBProvision of information and documents by other personsE+W

(1)The High Court, on the application of the Society, may order a person to whom section 44B does not apply—

(a)to provide information, or information of a description, specified in the notice, or

(b)to produce documents, or documents of a description, specified in the notice.

(2)The High Court may make an order under this section only if it is satisfied—

(a)that it is likely that the information or document is in the possession or custody of, or under the control of, the person, and

(b)that there is reasonable cause to believe that the information or document is likely to be of material significance to an investigation into any of the matters mentioned in section 44B(3)(a) to (d).

(3)An order under this section may direct the Society to pay to a person specified in the order such reasonable costs as may be incurred by that person in connection with the provision of any information, or production of any document, by that person pursuant to the order.

(4)Section 44B(4) applies in relation to an order under this section as it applies in relation to a notice under section 44B.

(5)Paragraphs 9(5A) and (7) to (12), 12, 13, 15 and 16 of Schedule 1 apply in relation to an order under this section as they apply in relation to an order under paragraph 9(4) of that Schedule, except that for this purpose—

(a)the reference to the solicitor or personal representative in paragraph 9(7) of that Schedule is to be construed as a reference to the person in respect of whom the order under this section is made,

(b)the reference in paragraph 9(12) of that Schedule to the Society is to be read as including a reference to a person specified under section 44B(4)(c) (as applied by subsection (4) of this section), and

(c)the reference to the solicitor or his personal representative in paragraph 13 of that Schedule is to be construed as a reference to the person to whom the notice was given under this section.

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Amendments (Textual)

F200Ss. 44B-44BC substituted (31.3.2009) for s. 44B by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 44 (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

44BCInformation offencesE+W

(1)It is an offence for a person who knows or suspects an investigation into any of the matters mentioned in section 44B(3)(a) to (d) is being or is likely to be conducted—

(a)to falsify, conceal, destroy or otherwise dispose of a document which the person knows or suspects is or would be relevant to the investigation, or

(b)to cause or permit the falsification, concealment, destruction or disposal of such a document.

(2)In proceedings for an offence under subsection (1) it is a defence for the accused to show that the accused had no intention of concealing facts disclosed by the documents from the person conducting the investigation.

(3)It is an offence for a person, in purported compliance with a requirement imposed on the person under section 44B, 44BA or 44BB—

(a)to provide information which the person knows to be false or misleading in a material particular, or

(b)recklessly to provide information which is false or misleading in a material particular.

(4)A person who is guilty of an offence under subsection (1) or (3) is liable—

(a)on summary conviction, to imprisonment for a term not exceeding 12 months or a fine not exceeding the statutory maximum, or both;

(b)on conviction on indictment, to imprisonment for a term not exceeding 2 years or a fine, or both.

(5)In relation to an offence under subsection (1) or (3) committed before the commencement of section 154(1) of the Criminal Justice Act 2003 the reference in subsection (4)(a) to 12 months is to be read as a reference to 6 months.]

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Amendments (Textual)

F200Ss. 44B-44BC substituted (31.3.2009) for s. 44B by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 44 (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

Modifications etc. (not altering text)

[F201 Costs of investigationsE+W

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Amendments (Textual)

F201S. 44C and cross-heading inserted (27.9.1999) by 1999 c. 22, s. 48, Sch. 7 para. 13 (with Sch. 14 para. 7(2)); S.I. 1999/2657, art. 2(a)

[F202F20344C Power to charge for costs of investigations.E+W

(1)The Society may make regulations prescribing charges to be paid to the Society by solicitors who are the subject of a discipline investigation.

(2)A “discipline investigation” is an investigation carried out by the Society into—

(a)possible professional misconduct by a solicitor, or

(b)a failure or apprehended failure by a solicitor to comply with any requirement imposed by or by virtue of this Act or any rules made by the Society.

(3)Regulations under this section may—

(a)make different provision for different cases or purposes;

(b)provide for the whole or part of a charge payable under the regulations to be repaid in such circumstances as may be prescribed by the regulations.

(4)Any charge which a solicitor is required to pay under regulations under this section is recoverable by the Society as a debt due to the Society from the solicitor.

(5)This section (other than subsection (2)(a)) applies in relation to an employee of a solicitor as it applies in relation to a solicitor.]]

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Amendments (Textual)

F203S. 44C and cross-heading inserted (27.9.1999) by 1999 c. 22, s. 48, Sch. 7 para. 13 (with Sch. 14 para. 7(2)); S.I. 1999/2657, art. 2(a)

Modifications etc. (not altering text)

F20445. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W

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Amendments (Textual)

[F205Disciplinary powers of the SocietyE+W

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Amendments (Textual)

F205Ss. 44D, 44E and cross-heading inserted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 46 (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

44DDisciplinary powers of the SocietyE+W

(1)This section applies where the Society is satisfied—

(a)that a solicitor or an employee of a solicitor has failed to comply with a requirement imposed by or by virtue of this Act or any rules made by the Society, or

(b)that there has been professional misconduct by a solicitor.

(2)The Society may do one or both of the following—

(a)give the person a written rebuke;

(b)direct the person to pay a penalty not exceeding £2,000.

(3)The Society may publish details of any action it has taken under subsection (2)(a) or (b), if it considers it to be in the public interest to do so.

(4)Where the Society takes action against a person under subsection (2)(b), or decides to publish under subsection (3) details of any action taken under subsection (2)(a) or (b), it must notify the person in writing that it has done so.

(5)A penalty imposed under subsection (2)(b) does not become payable until—

(a)the end of the period during which an appeal against the decision to impose the penalty, or the amount of the penalty, may be made under section 44E, or

(b)if such an appeal is made, such time as it is determined or withdrawn.

(6)The Society may not publish under subsection (3) details of any action under subsection (2)(a) or (b)—

(a)during the period within which an appeal against—

(i)the decision to take the action,

(ii)in the case of action under subsection (2)(b), the amount of the penalty, or

(iii)the decision to publish the details,

may be made under section 44E, or

(b)if such an appeal has been made, until such time as it is determined or withdrawn.

(7)The Society must make rules—

(a)prescribing the circumstances in which the Society may decide to take action under subsection (2)(a) or (b);

(b)about the practice and procedure to be followed by the Society in relation to such action;

(c)governing the publication under subsection (3) of details of action taken under subsection (2)(a) or (b);

and the Society may make such other rules in connection with the exercise of its powers under this section as it considers appropriate.

(8)Before making rules under subsection (7), the Society must consult the Tribunal.

(9)A penalty payable under this section may be recovered as a debt due to the Society, and is to be forfeited to Her Majesty.

(10)The Lord Chancellor may, by order, amend paragraph (b) of subsection (2) so as to substitute for the amount for the time being specified in that paragraph such other amount as may be specified in the order.

(11)Before making an order under subsection (10), the Lord Chancellor must consult the Society.

(12)An order under subsection (10) is to be made by statutory instrument subject to annulment in pursuance of a resolution of either House of Parliament.

(13)This section is without prejudice to any power conferred on the Society or any other person to make an application or complaint to the Tribunal.

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Modifications etc. (not altering text)

44EAppeals against disciplinary action under section 44DE+W

(1)A person may appeal against—

(a)a decision by the Society to rebuke that person under section 44D(2)(a) if a decision is also made to publish details of the rebuke;

(b)a decision by the Society to impose a penalty on that person under section 44D(2)(b) or the amount of that penalty;

(c)a decision by the Society to publish under section 44D(3) details of any action taken against that person under section 44D(2)(a) or (b).

(2)Subsections (9)(b), (10)(a) and (b), (11) and (12) of section 46 (Tribunal rules about procedure for hearings etc) apply in relation to appeals under this section as they apply in relation to applications or complaints, except that subsection (11) of that section is to be read as if for “the applicant” to “application)” there were substituted any party to the appeal.

(3)Rules under section 46(9)(b) may, in particular, make provision about the period during which an appeal under this section may be made.

(4)On an appeal under this section, the Tribunal has power to make such order as it thinks fit, and such an order may in particular—

(a)affirm the decision of the Society;

(b)revoke the decision of the Society;

(c)in the case of a penalty imposed under section 44D(2)(b), vary the amount of the penalty;

(d)in the case of a solicitor, contain provision for any of the matters mentioned in paragraphs (a) to (d) of section 47(2);

(e)in the case of an employee of a solicitor, contain provision for any of the matters mentioned in section 47(2E);

(f)make such provision as the Tribunal thinks fit as to payment of costs.

(5)Where by virtue of subsection (4)(e) an order contains provision for any of the matters mentioned in section 47(2E)(c), section 47(2F) and (2G) apply as if the order had been made under section 47(2E)(c).

(6)An appeal from the Tribunal shall lie to the High Court, at the instance of the Society or the person in respect of whom the order of the Tribunal was made.

(7)The High Court shall have power to make such order on an appeal under this section as it may think fit.

(8)Any decision of the High Court on an appeal under this section shall be final.

(9)This section is without prejudice to any power conferred on the Tribunal in connection with an application or complaint made to it.]

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Modifications etc. (not altering text)

Disciplinary proceedings before Solicitors Disciplinary TribunalE+W+S+N.I.

46 Solicitors Disciplinary Tribunal.E+W

(1)Applications and complaints made by virtue of any provision of this Act shall be made, except so far as other provision is made by this Act or by any regulations under it, to the tribunal known as the “Solicitors Disciplinary Tribunal”.

(2)The Master of the Rolls shall appoint the members of the Tribunal.

(3)The Tribunal shall consist—

(a)of practising solicitors of not less than ten years’ standing (in this section referred to as “solicitor members”); and

(b)of persons who are neither solicitors nor barristers (in this section referred to as “lay members”).

(4)A member of the Tribunal shall hold and vacate his office in accordance with the terms of his appointment and shall, on ceasing to hold office, be eligible for re–appointment.

[F206(5)The Tribunal may pay its members such remuneration, fees or allowances as it may determine with the approval of the Legal Services Board.]

[F207(5A)The Tribunal may do anything calculated to facilitate, or incidental or conducive to, the carrying out of any of its functions.]

(6)F208. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(7)F208. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(8)F208. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(9)F209[F210The] Tribunal . . . may make rules—

(a)empowering the Tribunal to elect a solicitor member to be its president; and

(b)about the procedure and practice to be followed in relation to the making, hearing and determination of applications and complaints [F211(including provision about the composition of the Tribunal)].

(10)Without prejudice to the generality of subsection (9)(b), rules made by virtue of that paragraph may in particular—

(a)empower the president of the Tribunal to appoint a chairman for the hearing and determination of any application or complaint;

(b)provide that, if the president does not appoint a chairman, a solicitor member shall act as chairman; and

(c)provide, in relation to any application or complaint relating to a solicitor, that, where in the opinion of the Tribunal no prima facie case in favour of the applicant or complainant is shown in the application or complaint, the Tribunal may make an order refusing the application or dismissing the complaint without requiring the solicitor to whom it relates to answer the allegations and without hearing the applicant or complainant.

(11)For the purposes of any application or complaint made to the Tribunal under this Act, the Tribunal may administer oaths, and the applicant or complainant and any person with respect to whom the application or complaint is made (or, in the case of an application under section 47(1)(b), any of the parties to the application) may issue writs of subpoena ad testificandum and duces tecum, but no person shall be compelled under any such writ to produce any document which he could not be compelled to produce on the trial of an action.

(12)The power to make rules conferred by subsection (9) shall be exercisable by statutory instrument, and the M6Statutory Instruments Act 1946 shall apply to a statutory instrument containing such rules in like manner as if the rules had been made by a Minister of the Crown.

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Amendments (Textual)

Modifications etc. (not altering text)

C122S. 46(7)-(10) extended by Administration of Justice Act 1985 (c. 61, SIF 34), ss. 43(2), 69(5), Sch. 9 para. 9 and (1.1.1992) by s. 9, Sch. 2 para. 17(a) of that Act; S.I. 1991/2683, art. 2

C126S. 46(11) extended by Administration of Justice Act 1985 (c. 61, SIF 34), ss. 43(2), 69(5), Sch. 9 para. 9 and (1.1.1992) by s. 9, Sch. 2 para. 17(a) of that Act; S.I. 1991/2683, art. 2

C127S. 46(11) applied (with modifications) (with effect in accordance with art. 2(2) of the commencing S.I.) by The Legal Services Act 2007 (Appeals from Licensing Authority Decisions) (No.2) Order 2011 (S.I. 2011/2863), arts. 2(1), 4(4)

Marginal Citations

[F21246AFunding of the TribunalE+W

(1)The Tribunal must submit to the Society in respect of each year a budget for the year approved by the Legal Services Board.

(2)A budget for a year is a statement of the amount of money which the Tribunal estimates is required to enable it to meet all of its expenditure in that year (having regard to any amounts received but not spent in previous years).

(3)Before approving a statement for the purposes of subsection (1) the Legal Services Board must consult the Society.

(4)The budget for a year must be submitted to the Society under subsection (1) no later than the date in the preceding year specified by the Society for the purposes of this subsection.

(5)Before specifying a date for this purpose the Society must consult the Tribunal.

(6)The amount specified in a budget submitted under subsection (1) must be paid by the Society to the Tribunal—

(a)in such instalments and at such times as may be agreed between the Society and the Tribunal, or

(b)in the absence of such agreement, before the beginning of the year to which the budget relates.

(7)The Society may pay the Tribunal such other amounts as the Society considers appropriate.

(8)In this section “year” means a calendar year.]

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Amendments (Textual)

47 Jurisdiction and powers of Tribunal.E+W

[F213( 1 )Any application—

(a)to strike the name of a solicitor off the roll;

(b)to require a solicitor to answer allegations contained in an affidavit;

(c)to require a former solicitor whose name has been removed from or struck off the roll to answer allegations contained in an affidavit relating to a time when he was a solicitor;

(d)by a solicitor who has been suspended from practice for an unspecified period, by order of the Tribunal, for the termination of that suspension;

(e)by a former solicitor whose name has been struck off the roll to have his name restored to the roll;

F214(ea). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(f)by a former solicitor in respect of whom a direction has been given under subsection (2)(g) to have his name restored to the roll,

shall be made to the Tribunal; but nothing in this susbsection shall affect any jurisdiction over solicitors exercisable by the Master of the Rolls, or by any judge of the High Court, by virtue of section 50.

( 2 )Subject to [F215subsections (2E) and](3) and to section 54, on the hearing of any application or complaint made to the Tribunal under this Act, other than an application under section 43, the Tribunal shall have power to make such order as it may think fit, and any such order may in particular include provision for any of the following matters—

(a)the striking off the roll of the name of the solicitor to whom the application or complaint relates;

(b)the suspension of that solicitor from practice indefinitely or for a specified period;

F216(ba). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F216(bb). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c) the payment by that solicitor or former solicitor of a penalty F217 . . . , which shall be forfeit to Her Majesty;

(d)in the circumstances referred to in subsection (2A), the exclusion of that solicitor from [F218criminal legal aid work] (either permanently or for a specified period);

(e)the termination of that solicitor’s unspecified period of suspension from practice;

F219(ea). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(f)the restoration to the roll of the name of a former solicitor whose name has been struck off the roll and to whom the application relates;

(g)in the case of a former solicitor whose name has been removed from the roll, a direction prohibiting the restoration of his name to the roll except by order of the Tribunal;

(h)in the case of an application under subsection (1)(f), the restoration of the applicant’s name to the roll;

(i)the payment by any party of costs or a contribution towards costs of such amount as the Tribunal may consider reasonable.]

[F220(2A)An order of the Tribunal may make provision for the exclusion of a solicitor from [F221criminal legal aid work] as mentioned in subsection [F222(2)(d)] where the Tribunal determines that there is good reason for doing so arising out of—

(a)his conduct, including conduct in the capacity of agent for another solicitor, in connection with the provision for any person of services [F223provided under arrangements made for the purposes of Part 1 of the Legal Aid, Sentencing and Punishment of Offenders Act 2012]; or

(b)his professional conduct generally.

(2B)Where the Tribunal makes any such order as is re–referred to in subsection (2A) in the case of a solicitor who is a member of a firm of solicitors, the Tribunal may, if it thinks fit, order that any other person who is for the time being a member of the firm shall be excluded (either permanently or for a specified period) from [F224criminal legal aid work].

(2C) The Tribunal shall not make an order under subsection (2B) F225 . . . unless an opportunity is given to him to show cause why the order should not be made.

(2D) Any person excluded from [F226criminal legal aid work] by an order under this section may make an application to the Tribunal for an order terminating his exclusion F227 . . .. ]

[F228(2E)On the hearing of any complaint made to the Tribunal by virtue of section 34A(2) or (3), the Tribunal shall have power to make one or more of the following—

(a)an order directing the payment by the employee to whom the complaint relates of a penalty to be forfeited to Her Majesty;

(b)an order requiring the Society to consider taking such steps as the Tribunal may specify in relation to that employee;

(c)if that employee is not a solicitor, an order which states one or more of the matters mentioned in paragraphs (a) to (c) of section 43(2);

(d)an order requiring the Society to refer to an appropriate regulator any matter relating to the conduct of that employee.

(2F)Subsections (1) to (1C), (3) and (4) of section 44 apply in relation to an order under subsection (2E)(c) as they apply in relation to an order under section 43(2).

(2G)Section 44(2), paragraph 16(1)(d) and (1A)(d) of Schedule 2 to the Administration of Justice Act 1985 and paragraph 15(3A) of Schedule 14 to the Courts and Legal Services Act 1990 apply in relation to an order under subsection (2E)(c) as they apply in relation to an order under section 43(2).

(2H) For the purposes of subsection (2E)(d) an “ appropriate regulator ” in relation to an employee means—

(a)if the employee is an authorised person in relation to a reserved legal activity (within the meaning of the Legal Services Act 2007), any relevant approved regulator (within the meaning of that Act) in relation to that employee, and

(b)if the employee carries on activities which are not reserved legal activities (within the meaning of that Act), any body which regulates the carrying on of such activities by the employee.]

(3)On proof of the commission of an offence with respect to which express provision is made by any section of this Act, the Tribunal shall, without prejudice to its power of making an order as to costs, impose the punishment, or one of the punishments, specified in that section.

[F229(3A) Where, on the hearing of any application or complaint under this Act, the Tribunal is satisfied that more than one allegation is proved against the person to whom the application or complaint relates it may impose a separate penalty (by virtue of subsection (2)( c ) ) with respect to each such allegation. ]

[F230(3B)For the avoidance of doubt, nothing in this section permits the Tribunal to make an order requiring redress to be made in respect of any act or omission of any person.]

(4)F231. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5)F231. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F232(6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F233(3C)In this section “criminal legal aid work” means the provision under arrangements made for the purposes of Part 1 of the Legal Aid, Sentencing and Punishment of Offenders Act 2012 of—

(a)advice or assistance described in section 13 or 15 of that Act, or

(b)representation for the purposes of criminal proceedings.]

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Amendments (Textual)

F218Words in s. 47(2)(d) substituted (1.4.2013) by Legal Aid, Sentencing and Punishment of Offenders Act 2012 (c. 10), s. 151(1), Sch. 5 para. 8(2); S.I. 2013/453, art. 3(h) (with savings and transitional provisions in S.I. 2013/534, art. 6)

F221Words in s. 47(2A) substituted (1.4.2013) by Legal Aid, Sentencing and Punishment of Offenders Act 2012 (c. 10), s. 151(1), Sch. 5 para. 8(3)(a); S.I. 2013/453, art. 3(h) (with savings and transitional provisions in S.I. 2013/534, art. 6)

F223Words in s. 47(2A) substituted (1.4.2013) by Legal Aid, Sentencing and Punishment of Offenders Act 2012 (c. 10), s. 151(1), Sch. 5 para. 8(3)(b); S.I. 2013/453, art. 3(h) (with savings and transitional provisions in S.I. 2013/534, art. 6)

F224Words in s. 47(2B) substituted (1.4.2013) by Legal Aid, Sentencing and Punishment of Offenders Act 2012 (c. 10), s. 151(1), Sch. 5 para. 8(2); S.I. 2013/453, art. 3(h) (with savings and transitional provisions in S.I. 2013/534, art. 6)

F225Words in s. 47(2C) repealed (2.4.2001) by 1999 c. 22, s. 106, Sch. 15 Pt. I (with Sch. 14 paras. 7(2), 36(9)); S.I. 2001/916, art. 3(b) (with transitional provisions and savings in Sch. 2 para. 2)

F226Words in s. 47(2D) substituted (1.4.2013) by Legal Aid, Sentencing and Punishment of Offenders Act 2012 (c. 10), s. 151(1), Sch. 5 para. 8(2); S.I. 2013/453, art. 3(h) (with savings and transitional provisions in S.I. 2013/534, art. 6)

F227Words in s. 47(2D) repealed (2.4.2001) by 1999 c. 22, s. 106, Sch. 15 Pt. I (with Sch. 14 paras. 7(2), 36(9)); S.I. 2001/916, art. 3(b) (with transitional provisions and savings in Sch. 2 para. 2)

F228S. 47(2E)-(2H) inserted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 49(f) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F232S. 47(6) repealed (2.4.2001) by 1999 c. 22, s. 106, Sch. 15 Pt. I (with Sch. 14 paras. 7(2), 36(9)); S.I. 2001/916, art. 3(b) (with transitional provisions and savings in Sch. 2 para. 2)

F233S. 47(3C) inserted (1.4.2013) by Legal Aid, Sentencing and Punishment of Offenders Act 2012 (c. 10), s. 151(1), Sch. 5 para. 8(4); S.I. 2013/453, art. 3(h) (with savings and transitional provisions in S.I. 2013/534, art. 6)

Modifications etc. (not altering text)

C131S. 47(1) extended in part (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(m), Sch.

F23447A. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W

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Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Amendments (Textual)

48 Orders of Tribunal.E+W

(1)An order of the Tribunal shall be filed with the Society, and a statement of the Tribunal’s findings, signed by the chairman or by some other member of the Tribunal authorised by him in that behalf, shall either be prefaced to the order or added to the file containing the order as soon as may be after the order has been made.

(2)Where an order which has been filed includes provision for any of the matters referred to in paragraphs [F235(a) to (i)] of section 47(2), the Society—

(a)shall cause a note of the effect of the order to be entered on the roll against the name of the solicitor [F236or former solicitor] with respect to whom the application or complaint was made; and

(b)except where it only makes provision for matters referred to in [F237paragraph (e), [F238(ea),](f), (h) or (i) of section 47(2)], shall forthwith upon filing the order cause a notice stating its effect to be published F239. . . .

(3)[F240Any] file kept by the Society under this section may be inspected during office hours without payment.

(4)An order which has been filed shall be treated, for the purpose of enforcement, as if it had been made by the High Court.

[F241(5)In the case of orders of the Tribunal under section 44E, the reference in subsection (2)(a) to the application or complaint is to be read as a reference to the Tribunal's order.]

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Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Amendments (Textual)

F235In s. 48(2), “(a) to (i)” substituted for “(a) to (e)” by Courts and Legal Services Act 1990 (c. 41, SIF 76:1), s. 92(5)(a)

F239Words in s. 48(2)(b) repealed (7.3.2008) by Legal Services Act 2007 (c. 29), ss. 177, 210, 211, Sch. 16 para. 50(a)(ii) {Sch. 23} (with ss. 29, 192, 193); S.I. 2008/222, art. 2(j)(i)

Modifications etc. (not altering text)

49 Appeals from Tribunal.E+W

(1)An appeal from the Tribunal shall[F242 lie to the High Court].

(2)Subject to subsection (3) [F243and to section 43(5) of the Administration of Justice Act 1985], an appeal shall lie at the instance of the applicant or complainant or of the person with respect to whom the application or complaint was made.

(3)An appeal against an order under section [F24443(3A)] shall lie only at the instance of the person with respect to whom the [F245order] was made.

(4)The High Court F246. . . shall have power to make such order on an appeal under this section as [F247it] may think fit.

(5)Subject to any rules of court, on an appeal against an order made by virtue of rules under section 46(10)(c) without hearing the applicant or complainant, the court—

(a)shall not be obliged to hear the appellant, and

(b)may remit the matter to the Tribunal instead of dismissing the appeal,

[F248(6)Any decision of the High Court—

(a)on an application under section 43(3) or 47(1)(d), (e), (ea) or (f), or

(b)against an order under section 43(3A),

shall be final.]

(7)F249. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Amendments (Textual)