xmlns:atom="http://www.w3.org/2005/Atom" xmlns:atom="http://www.w3.org/2005/Atom"

Part IU.K. 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; or

(c)by a body recognised F2. . . under section 9 of the Administration of Justice Act 1985 (incorporated practices).]

Textual Amendments

[F31BRestriction on practice as sole solicitorE+W

(1)Rules under section 31 (rules as to professional practice etc) must provide that a solicitor may not practise as a sole solicitor unless he has in force—

(a)a practising certificate, and

(b)an endorsement of that certificate by the Society authorising him to practise as a sole solicitor (a “sole solicitor endorsement”).

(2)The rules may provide that, for the purposes of the rules and this Act, a solicitor is not to be regarded as practising as a sole solicitor in such circumstances as may be prescribed by the rules.

(3)The rules must prescribe the circumstances in which a solicitor may be regarded by the Society as suitable to be authorised to practise as a sole solicitor.]

Textual Amendments

Modifications etc. (not altering text)

2 Training regulations.E+W

(1)The Society , with the concurrence of the [F4 Secretary of State], the Lord Chief Justice and the Master of the Rolls, 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.

F5(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)Training regulations—

(a)may prescribe—

(i)the education and training F6. . . 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 F7. . . education or training under the regulations may be [F8started 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.

[F9(4)Where, under Schedule 4 to the Courts and Legal Services Act 1990 (approval of certain regulations in connection with the grant of rights of audience or rights to conduct litigation), the [F4 Secretary of State][F10approves any regulation such as is mentioned in subsection (1), the requirement of the concurrence of the Lord Chief Justice and the Master of the Rolls imposed by that subsection shall not apply.]]

[F9(5)Subsection (4) shall have effect whether or not the regulation required to be approved under Schedule 4 to the Act of 1990.]

Textual Amendments

F10Words in s. 2(4) substituted (1.1.2000) by 1999 c. 22, s. 43, Sch. 6 para. 2 (with Sch. 14 para. 7(2)); S.I. 1999/3344, art. 2(a) (with art. 4, Sch. 2)

Modifications etc. (not altering text)

C2S. 2 extended (22.5.2000) by S.I. 2000/1119, regs. 1, 37(3), Sch. 4 para. 1(1)

AdmissionU.K.

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 [F11Society] to be admitted as a solicitor; and if any such person so applies, the [F11Society] , F12. . ., shall, unless cause to the contrary is shown to [F13its] satifaction, in writing, and in such manner and form as the [F11Society] may from time to time think fit, admit that person to be a solicitor.

F14(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Marginal Citations

F154. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W+S

Textual Amendments

F165. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

The rollE+W

6 Keeping of the roll.E+W

(1)The Society shall continue to keep a list of all solicitors of the Supreme Court, called “the roll”.

(2)F17. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)F18. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4)F19. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

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

On production—

[F20(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, [F21or

(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 F22. . . as the [F23Society] may from time to time determine, the Society shall enter the name of that person on the roll.

Textual Amendments

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 F24. . . as the [F25Society] may from time to time determine.

[F26(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.

[F27(4)An appeal from any decision of the Society under subsection (2) shall lie to the [F28High Court].

[F29(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)F30. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

Textual Amendments

Marginal Citations

Practising certificatesE+W

[F319 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.

(2)An application under this section may include an application for a sole solicitor endorsement.

(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.]

Textual Amendments

Modifications etc. (not altering text)

[F3210Issue 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 (including, if the certificate has a sole solicitor endorsement, an efficient practice as a sole solicitor);

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

(5)In this section —

Textual Amendments

Modifications etc. (not altering text)

[F3310ARegister 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,

(b)in relation to each solicitor who holds a practising certificate, a statement as to whether there is in force a sole solicitor endorsement, and

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

Textual Amendments

Modifications etc. (not altering text)

[F3411 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.]

Textual Amendments

Modifications etc. (not altering text)

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

F35. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F3612A Additional fee payable by certain solicitors on applying for practising certificates.E+W

F37. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

Textual Amendments

[F3813 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,

(b)if the application included an application for a sole solicitor endorsement, a decision to refuse the application for the endorsement, 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,

(b)direct the Society to make a sole solicitor endorsement on the applicant's practising certificate and to issue that certificate subject to such conditions (if any) as the High Court may think fit,

(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,

(f)if the certificate has been endorsed with a sole solicitor endorsement, by order suspend the endorsement, 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.]

Textual Amendments

Modifications etc. (not altering text)

C12S. 13(2) extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(b), Sch.

C13S. 13(3) extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(b), Sch.

C14S. 13(5) extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(b), Sch.

C15S. 13(6) extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(b), Sch.

C16S. 13(7) extended (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(b), Sch.

[F3913ZAApplication to practise as sole practitioner while practising certificate in forceE+W

(1)A solicitor whose practising certificate for the time being in force (his “current certificate”) does not have a sole solicitor endorsement, may apply to the Society for such an endorsement.

(2)For the purposes of subsection (1) a practising certificate with a sole solicitor endorsement which is suspended is to be treated as having such an endorsement.

(3)A solicitor may not apply under subsection (1) if he is suspended from practice as a sole solicitor.

(4)An application must be—

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

(b)accompanied by any fee payable under section 13ZB in respect of the endorsement applied for.

(5)Where a sole solicitor endorsement is granted to an applicant of a prescribed description, the applicant's practising certificate shall have effect subject to any conditions prescribed in relation to applicants of that description.

“Prescribed” means prescribed by regulations under section 28(3B)(f).

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

(a)a decision to refuse the application, or

(b)a decision to impose a condition on a practising certificate in accordance with subsection (5).

(7)The Society may by rules make provision, as respects any application under this section 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.

(8)On an appeal under this section the High Court may—

(a)affirm the decision of the Society,

(b)direct the Society to grant a sole solicitor endorsement,

(c)direct that the applicant's practising certificate is to have effect subject to such conditions (if any) as the High Court thinks fit, or

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

(9)In relation to an appeal under this section 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 this section shall be final.

Textual Amendments

F39Ss. 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)

13ZBFee payable on making of sole solicitor endorsementE+W

(1)Before a sole solicitor endorsement is granted under section 13ZA, there must be paid to the Society in respect of the endorsement 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 different circumstances.

(3)If a fee payable under this section would not otherwise be a practising fee for the purposes of section 51 of the Legal Services Act 2007, it is to be treated for the purposes of that section as such a fee.

(4)In subsection (3) “practising fee” has the meaning given by that section.]

Textual Amendments

F39Ss. 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)

[F4013A 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.

[F41(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—

(a)under section 13ZA the Society grants a sole solicitor endorsement, or

(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 [F42High Court against the decision of the Society.]

(7)On an appeal under subsection (6), the [F43High 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 [F43High Court] thinks fit; or

by order revoke the direction; or

(d)make such other order as [F44it] thinks fit.

[F45(7A)The decision of the High Court on an appeal under subsection (6) shall be final.]

[F46(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.]

[F47(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.]]

Textual Amendments

F41S. 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)

Modifications etc. (not altering text)

[F4813B 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

[F49(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 [F50or sole solicitor endorsement] 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 [F51or from practice as a sole solicitor] .

(7)A solicitor in whose case a direction is given under subsection (1) or (4) may appeal to the [F52High Court] against the direction within one month of being notified of it.

(8)In an appeal under subsection (7), the [F53High Court] may–

(a)affirm the suspension;

(b)direct that the appellant’s certificate [F54or sole solicitor endorsement shall not be suspended, but that the appellant's certificate] shall have effect subject to such conditions as the [F53High Court] thinks fit;

(c)by order revoke the direction; or

(d)make such other order as [F55it] thinks fit.]

[F56(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.]

Textual Amendments

F50Words in s. 13B(1) inserted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 17(a) (with ss. 29, 192, 193); S.I 2009/1365, {art. 2(a)(iii)} (subject to art. 4)

F51Words in s. 13B(6) inserted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 17(b) (with ss. 29, 192, 193); S.I 2009/1365, {art. 2(a)(iii)} (subject to art. 4)

F52Words 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)

F53Words 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)

F54Words in s. 13B(8)(b) substituted (1.7.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 17(d)(ii) (with ss. 29, 192, 193); S.I 2009/1365, {art. 2(a)(iii)} (subject to art. 4)

F55Word 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)

Modifications etc. (not altering text)

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

F57. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

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 shall operate immediately, to suspend any practising certificate of that solicitor for the time being in force.

[F58(1A)Where the power conferred by paragraph 6(1) [F59, 6A(1)] or 9(1) of Schedule 1 has been exercised in relation to a solicitor by virtue of paragraph 1(1)(a)(i), [F60(aa),](c) (so far as it applies to rules made by virtue of section [F6131 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.

Textual Amendments

Modifications etc. (not altering text)

16 Duration of suspension of practising certificates.E+W

[F62(1)Where a practising certificate is suspended, it expires on such date as may be prescribed by regulations under section 28.]

[F63(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.

(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; 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 [F64the date on which his certificate will expire],

[F65(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 [F66High Court, which] may—

(a)affirm the decision; or

(b)terminate the suspension either unconditionally or subject to such conditions as [F67it] may think fit.

[F68(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.]

Textual Amendments

F62S. 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)

F66Words 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)

F67Word 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)

F68S. 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)

C29S. 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 F69. . . 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 F70. . . .

Textual Amendments

Modifications etc. (not altering text)

C30S. 17 extended (22.5.2000) by S.I. 2000/1119, regs. 1, 37(3), Sch. 4 para. 7(1)

[F7117ASuspension of sole solicitor endorsementE+W

(1)The making by the Tribunal or by the court of an order suspending a solicitor from practice as a sole solicitor shall operate to suspend any sole solicitor endorsement of that solicitor for the time being in force.

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

(3)Subsection (2) is subject to section 13ZA(2).

Textual Amendments

Modifications etc. (not altering text)

17BDuration and publicity of suspension of sole solicitor endorsementE+W

(1)Where a sole solicitor endorsement is suspended, it expires on such date as may be prescribed by regulations under section 28.

(2)Where a solicitor's sole solicitor endorsement is suspended—

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

(b)by virtue of section 17A(1) in circumstances where the period of that suspension expires before the date on which his endorsement will expire,

the solicitor may at any time before the endorsement expires apply to the Society to terminate the suspension.

(3)Section 16(4) to (7) apply in relation to an application under subsection (2) as they apply in relation to an application under section 16(3).

(4)Where a solicitor's sole solicitor endorsement is suspended by an order under section 13(4) or by virtue of section 17A(1), the Society shall forthwith cause notice of that suspension to be published and a note of it to be entered against the name of the solicitor on the roll.

(5)Where any suspension is terminated by virtue of section 16(4) or (5), as applied by subsection (3) of this section, 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.]

Textual Amendments

Modifications etc. (not altering text)

[F7218 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.]

Textual Amendments

Modifications etc. (not altering text)

Rights and privileges of solicitorsE+W

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

(1)Subject to subsection (2), every person qualified in accordance with section 1 may practise as a solicitor—

(a)in the Supreme Court;

(b)in any county court;

(c)in all courts and before all persons having jurisdiction in ecclesiastical matters; and

(d)in all matters relating to applications to obtain notarial faculties,

and shall be entitled to all the rights and privileges, and may exercise and perform all the powers and duties, formerly appertaining to the office or profession of a proctor in the provincial, diocesan or other jurisdictions in England and Wales.

(2)Nothing in subsection (1) shall affect the provisions of section [F7394 of the Supreme Court Act 1981], [F74section 13 or 60 of the County Courts Act 1984]or any other enactment in force at the commencement of this Act which restricts the right of any solicitor to practise as such in any court.

(3)Nothing in subsection (1) or (2) shall prejudice or affect any right of practising or being heard in, before or by any court, tribunal or other body which immediately before the commencement of this Act was enjoyed by virtue of any enactment, rule, order or regulation or by custom or otherwise by persons qualified to act as solicitors.

Textual Amendments

Unqualified persons acting as solicitorsE+W

[F7520 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.]

Textual Amendments

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 [F76a fine not exceeding the fourth level on the standard scale]

Textual Amendments

Modifications etc. (not altering text)

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

(1)Subject to [F77subsections (2) and (2A)], any unqualified person who directly or indirectly—

(a)draws or prepares any instrument of transfer or charge for the purposes of the [F78Land Registration Act 2002], or makes any application or lodges any document for registration under that Act at the registry, or

(b)draws or prepares any other instrument relating to real or personal estate, or any legal proceeding,

shall, unless he proves that the act was not done for or in expectation of any fee, gain or reward, be guilty of an offence and liable on summary conviction to a fine not exceeding [F79level 3 on the standard scale].

(2)Subsection (1) does not apply to—

(a)a barrister or duly certificated notary public;

[F80(aa)a registered trade mark agent drawing or preparing any instrument relating to any design, [F81or trade mark];

(ab)a registered patent agent drawing or preparing any instrument relating to any invention, design technical information, [F81or trade mark].]

[F82(ac)any accredited person drawing or preparing any instrument—

(i)which creates, or which he believes on reasonable grounds will create, a farm business tenancy (within the meaning of the Agricultural Tenancies Act 1995), or

(ii)which relates to an existing tenancy which is, or which he believes on reasonable grounds to be, such a tenancy;]

(b)any public officer drawing or preparing instruments or applications in the course of his duty;

(c)any person employed merely to engross any instrument, application or proceeding;

and paragraph (b) of that subsection does not apply to a duly certificated solicitor in Scotland.

[F83(2A)Subsection (1) also does not apply to any act done by a person at the direction and under the supervision of another person if—

(a)that other person was at the time his employer, a partner of his employer or a fellow employee; and

(b)the act could have been done by that other person for or in expectation of any fee, gain or reward without committing an offence under this section.]

(3)For the purposes of subsection (1)(b), “instrument”[F84includes a contract for the sale or other disposition of land (except a contract to grant such a lease as is referred to in section 54(2) of the M3Law of Property Act 1925 (short leases)), but] does not include—

(a)a will or other testamentary instrument;

(b)an agreement not [F85intended to be executed as a deed][F86other than a contract that is included by virtue of the preceding provisions of this subsection;]

(c)a letter or power of attorney; or

(d)a transfer of stock containing no trust or limitation thereof.

[F87(3A)In subsection (2)—

[F91(4)A local weights and measures authority may institute proceedings for an offence under this section.]

Textual Amendments

F81In s. 22(2)(aa)(ab) words substituted (31.10.1994) by 1994 c. 26, s. 106(1), Sch. 4 para. 5(2); S.I. 1994/2550, arts. 2,3

F82S. 22(2)(ac) inserted (1.9.1995) by 1995 c. 8, s. 35(2) (with s. 37)

F88In s. 22(3A) definition inserted (1.9.1995) by 1995 c. 8, s. 35(3) (with s. 37)

F89In s. 22(3A) words in definition substituted (31.10.1994) by 1994 c. 26, s. 106(1), Sch. 4 para. 5(3)(a); S.I. 1994/2550, arts. 2, 3

F90In s. 22(3A) words in definition substituted (31.10.1994) by 1994 c. 26, s. 106(1), Sch. 4 para. 5(3)(b); S.I. 1994/2550, arts. 2, 3

Modifications etc. (not altering text)

C39S. 22 modified (22.5.2000) by S.I. 2000/1119, regs. 1, 37(1), Sch. 3 Pt. 2

C41S. 22(1) restricted (prosp.) by Building Societies Act 1986 (c. 53, SIF 16), ss. 54(3)(a)(5), 124, 126(4), Sch. 21 paras. 7(1)(2), 13 (which amendment was repealed (22.7.2004) by Statute Law (Repeals) Act 2004 (c. 14), s. 1(1), {Sch. 1 Pt. 17 Group 2}

Marginal Citations

M31925 c.20. (98:1).

[F9222A Powers of entry etc. of local weights and measures authorities.E+W

(1)Any authorised officer who has reasonable cause to suspect that an offence may have been committed under section 22 may, at any reasonable time—

(a)enter any premises which are not used solely as a dwelling;

(b)require any officer, agent or other competent person on the premises who is, or may be, in possession of information relevant to an investigation under section 22, to provide such information;

(c)require the production of any document which may be relevant to such an investigation;

(d)take copies, or extracts, of any such documents;

(e)seize and retain any document which he has reason to believe may be required as evidence in proceedings for an offence under section 22.

(2)Any person exercising any power given by subsection (1) shall, if asked to do so, produce evidence that he is an authorised officer.

(3)A justice of the peace may issue a warrant under this section if satisfied, on information on oath given by an authorised officer, that there is reasonable cause to believe that an offence may have been committed under section 22 and that—

(a)entry to the premises concerned, or production of any documents which may be relevant to an investigation under section 22, has been or is likely to be refused to an authorised officer; or

(b)there is reasonable cause to believe that, if production of any such document were to be required by the authorised officer without a warrant having been issued under this section, the document would not be produced but would be removed from the premises or hidden, tampered with or destroyed.

(4)A warrant issued under this section shall authorise the authorised officer accompanied, where he considers it appropriate, by a constable or any other person—

(a)to enter the premises specified in the information, using such force as is reasonably necessary; and

(b)to exercise any of the powers given to the authorised officer by subsection (1).

(5)If a person—

(a)intentionally obstructs an authorised officer in the exercise of any power under this section;

(b)intentionally fails to comply with any requirement properly imposed on him by an authorised officer in the exercise of any such power;

(c)fails, without reasonable excuse, to give to an authorised officer any assistance or information which he may reasonably require of him for the purpose of exercising any such power; or

(d)in giving to an authorised officer any information which he has been required to give to an authorised officer exercising any such power, makes any statement which he knows to be false or misleading in a material particular,

he shall be guilty of an offence.

(6)A person guilty of an offence under this section shall be liable on summary conviction to a fine not exceeding level 3 on the standard scale.

(7)Nothing in this section shall be taken to require any person to answer any question put to him by an authorised officer, or to give any information to an authorised officer, if to do so might incriminate him.

(8)In this section—

(9)In relation to information recorded otherwise than in legible form, references in this section to its production include references to producing a copy of the information in legible form.]

Textual Amendments

[F9323 Unqualified person not to prepare papers for probate etc.E+W

(1)Subject to subsections (2) and (3), any unqualified person who, directly or indirectly, draws or prepares any papers on which to found or oppose—

(a)a grant of probate, or

(b)a grant of letters of administration,

shall, unless he proves that the act was not done for or in expectation of any fee, gain or reward, be guilty of an offence and liable on summary conviction to a fine not exceeding the first level on the standard scale.

(2)Subsection (1) does not apply to a barrister or duly certificated notary public.

[F94(2B)In subsection (2)(i) “jointly controlled body” and “subsidiary” have the meanings given by section 13 of the Friendly Societies Act 1992.]

(3)Subsection (1) also does not apply to any Act done by a person at the direction and under the supervision of another person if—

(a)that other person was at the time his employer, a partner of his employer or a fellow employee; and

(b)the Act could have been done by that other person for or in expectation of any fee, gain or reward without committing an offence under this section.]

Textual Amendments

Modifications etc. (not altering text)

C43S. 23 modified (22.5.2000) by S.I. 2000/1119, regs. 1, 37(1), Sch. 3 Pt. 2

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 [F95a 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 [F96a fine not exceeding the fourth level on the standard scale.]

(2)For the avoidance of doubt it is hereby declared that in sections 20, 22 and 23 references to unqualified persons and to persons include references to bodies corporate.

Textual Amendments

Modifications etc. (not altering text)

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.

Modifications etc. (not altering text)

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

Notwithstanding anything in the [F97M4Magistrates’ Courts Act 1980], proceedings in respect of any offence under section 21 F98. . . 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.

Textual Amendments

Marginal Citations

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

Nothing in this Part shall affect any enactment empowering an unqualified person to conduct, defend, or otherwise act in relation to any legal proceedings.

SupplementaryE+W+N.I.

28 Regulations.E+W

(1)The [F99Society] may make regulations F100. . . about the following matters, namely—

(a)admission as a solicitor;

(b)the keeping of the roll;

(c)practising certificates F101. . . ;

[F102(ca)sole solicitor endorsements and applications for them,]

(d)the keeping of the register under [F103section 10A] .

(2)F104. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)F104. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F105(3A)Regulations about the keeping of the roll [F106may (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;F107. . .

(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.]

[F108(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.]

[F109(3B)Regulations about practising certificates or sole solicitor endorsements may (among other things)—

(a)prescribe the form and manner in which applications for, or relating to, practising certificates or sole solicitor endorsements 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);

(f)prescribe descriptions of applicants, and conditions in relation to them, for the purposes of section 13ZA(5) (circumstances in which a practising certificate endorsed with a sole solicitor endorsement after it was issued must be made subject to prescribed conditions);

(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 or sole solicitor endorsements;

(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)F110. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5)F110. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F106Words 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)

Modifications etc. (not altering text)

C53S. 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 of the Supreme Court or of the Supreme Court of Northern Ireland.

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.