The Civil Procedure Rules 1998

RSC ORDER 106 PROCEEDINGS RELATING TO SOLICITORS: THE SOLICITORS ACT 1974(1)

Interpretation

Rule 1—(1) In this Order—

“the Act” means the Solicitors Act 1974 and a section referred to by number means the section so numbered in that Act;

“appeal” means an appeal to the High Court against an order made by the Tribunal on an application or complaint under the Act.

(2) Expressions used in this Order which are used in the Act have the same meanings in this Order as in the Act.

Jurisdiction under Part III of Act

Rule 2—(2) The jurisdiction of the High Court under Part III of the Act may be exercised by

(a) A judge sitting in private

(b) A master, a taxing master or a district judge of the Family Division, or

(c) A district judge if the costs are for contentious business done in proceedings in the district registry of which he is the district judge or for non contentious business.

Power to order solicitor to deliver cash account, etc.

Rule 3—(1) Where the relationship of solicitor and client exists or has existed the court may, on the application of the client or his personal representatives, make an order for—

(a) the delivery by the solicitor of a cash account;

(b) the payment or delivery up by the solicitor of money or securities;

(c) the delivery to the claimant of a list of the moneys or securities which the solicitor has in his possession or control on behalf of the claimant;

(d) the payment into or lodging in court of any such moneys or securities.

(2) An application for an order under this rule must be made by the issue of a claim form, or if in proceedings by an application in accordance with CPR Part 23.

(3) If the defendant alleges that he has a claim for costs, the Court may make such order for detailed assessment in accordance with CPR Part 47 and payment, or securing the payment, thereof and the protection of the defendant’s lien, if any, as the Court thinks fit.

Certificate to be submitted with solicitor’s application for detailed assessment

Rule 5A  A solicitor who applies for an order under the Act for the detailed assessment in accordance with CPR Part 47 of his bill of costs shall lodge with his application a certificate that all the relevant requirements of the Act have been satisfied.

Applications under Schedule 1 to Act

Rule 6—(1) Proceedings in the High Court under Schedule 1 to the Act shall be assigned to the Chancery Division.

(2) The claim form by which an application for an order under the said Schedule is made must be entitled in the matter of a solicitor, or a deceased solicitor, as the case may be (without naming him) and in the matter of the Act.

(3) Where an order has been made under paragraph 9 (4), 9 (5) or 10 of the said Schedule an application for an order under paragraph 9 (8) or 9 (10) may be made in accordance with CPR Part 23 in the proceedings in which the first mentioned order was made.

Defendants to applications under Schedule 1 to Act

Rule 7  The defendant to a claim by which an application for an order under Schedule 1 to the Act is made shall be—

(a) if the application is for an order under paragraph 5 thereof, the solicitor or, as the case may be, every member of the firm, on whose behalf the money in respect of which the order is sought is held;

(b) if the application is for an order under paragraph 6 (4) or 9 (8) thereof, the Law Society;

(c) if the application is for an order under paragraph 8, 9 (4) or 9 (5) thereof, the person against whom the order is sought;

(d) if the application is for an order under paragraph 9 (10) thereof, the person from whom the Law Society obtained possession of the documents by virtue of paragraph 9 or 10;

(e) if the application is for an order under paragraph 10 thereof for the re-direction of postal packets addressed to a solicitor or his firm, the solicitor or, as the case may be, every member of the firm;

(f) if the application is for an order under paragraph 11 thereof, the solicitor or personal representative in substitution for whom the appointment of a new trustee is sought and, if he is a co-trustee, the other trustee or trustees.

Interim order restricting payment out of banking account

Rule 8  At any time after the issue of a claim form by which an application for an order under paragraph 5 of Schedule 1 to the Act is made, the Court may, on the application of the claimant made without notice in accordance with CPR Part 23 make an interim order under that paragraph to have effect until the hearing of the application and include therein a further order requiring the defendant to show cause at the hearing why an order under that paragraph should not be made.

Adding parties, etc.

Rule 9  The Court may, at any stage of proceedings under Schedule 1 to the Act, order any person to be added as a party to the proceedings or to be given notice thereof.

Service of documents

Rule 10—(1) Any document required to be served on the Law Society in proceedings under this Order shall be served by sending it by prepaid post to the secretary of the Law Society.

(2) Subject to paragraph (1) a claim form by which an application under Schedule 1 to the Act is made, an order under paragraph 5 of that Schedule or rule 8 and any other document not required to be served personally which is to be served on a defendant to proceedings under the said Schedule shall, unless the Court otherwise directs, be deemed to be properly served by sending it by prepaid post to the defendant at his last known address.

Constitution of Divisional Court to hear appeals

Rule 11  Every appeal shall be heard by a Divisional Court of the Queen’s Bench Division consisting, unless the Lord Chief Justice otherwise directs, of not less than three judges.

Title, service, etc., of notice of appeal

Rule 12—(1) The notice of appeal by which an appeal is brought must be entitled in the matter of a solicitor, or, as the case may be, a solicitor’s clerk, without naming him, and in the matter of the Act.

(2) Unless the Court otherwise orders, the persons to be served with such notice are every party to the proceedings before the Tribunal and the Law Society.

(3) Order 55, rule 4 (2) shall apply in relation to the appeal as if for the period of 28 days therein specified there were substituted a period of 14 days.

(4) Order 55, rule 4 (4) shall not apply and the said period of 14 days shall begin with the day on which a statement of the Tribunal’s findings was filed pursuant to section 48 (1).

Law Society to produce certain documents

Rule 13—(1) Within 7 days after being served with the notice of appeal the Law Society must lodge in the Crown Office three copies of each of the following documents:—

(a) the order appealed against, together with the statement of the Tribunal’s findings required by section 48 (1) of the Act,

(b) any document lodged by a party with the Tribunal which is relevant to a matter in issue on the appeal, and

(c) the transcript of the shorthand note, or, as the case may be, the note taken by the chairman of the Tribunal of the evidence in the proceedings before the Tribunal.

(2) At the hearing of the appeal the Court shall direct by whom the costs incurred in complying with paragraph (1) are to be borne and may order them to be paid to the Law Society by one of the parties notwithstanding that the Society does not appear at the hearing.

Restriction on requiring security for costs

Rule 14  No person other than an appellant who was the applicant in the proceedings before the Tribunal, shall be ordered to give security for the costs of an appeal.

Disciplinary committee’s opinion may be required

Rule 15  The Court may direct the Tribunal to furnish the Court with a written statement of their opinion on the case which is the subject-matter of an appeal or on any question arising therein, and where such a direction is given, the clerk to the Tribunal must as soon as may be lodge three copies of such statement in the Crown Office and at the same time send a copy to each of the parties to the appeal.

Persons entitled to be heard on appeal

Rule 16  A person who has not been served with the notice of appeal but who desires to be heard in opposition to the appeal shall, if he appears to the Court to be a proper person to be so heard, be entitled to be so heard.

Discontinuance of appeal

Rule 17—(1) An appellant may at any time discontinue his appeal by serving notice of discontinuance on the clerk to the Tribunal and every other party to the appeal and, if the appeal has been entered, by lodging a copy of the notice in the Crown Office.

(2) Where an appeal has been discontinued in accordance with paragraph (1) it shall be treated as having been dismissed with an order for payment by the appellant of the costs of and incidental to the appeal, including any costs incurred by the Law Society in complying with rule 13 (1).

(1)

1974 c. 47.