Solicitors Act 1974

Part I E+W Circumstances in which Society may Intervene

1 (1) Subject to sub–paragraph (2), the powers conferred by Part II of this Schedule shall be exercisable where— E+W

(a) the [F1 Society has] reason to suspect dishonesty on the part of—

(i) a solicitor, or

(ii) an employee of a solicitor, or

(iii) the personal representatives of a deceased solicitor,

in connection with that solicitor’s practice [F2 or former practice] or in connection with any trust of which that solicitor is or formerly was a trustee [F3 or that employee is or was a trustee in his capacity as such an employee] ;

[F4 (aa) the Society has reason to suspect dishonesty on the part of a solicitor (“S) in connection with—

(i) the business of any person of whom S is or was an employee, or of any body of which S is or was a manager, or

(ii) any business which is or was carried on by S as a sole trader;]

(b) the [F5 Society considers] that there has been undue delay on the part of the personal representatives of a deceased solicitor who immediately before his death was practising as a sole solicitor in connection with that solicitor’s practice or in connection with any [F6 trust] ;

(c) the [F7 Society is] satisfied that a solicitor has failed to comply with rules made by virtue of section [F8 31,] 32 or 37(2)(c);

(d) a solicitor has been [F9 made] bankrupt or has made a composition or arrangement with his creditors;

(e) a solicitor has been committed to prison in any civil or criminal proceedings;

[F10 (ee) the [F11 Society is] satisfied that a sole solicitor is incapacitated by illness [F12 , injury] or accident to such an extent as to be unable to attend to his practice;]

[F13 (f) a solicitor lacks capacity (within the meaning of the Mental Capacity Act 2005) to act as a solicitor and powers under sections 15 to 20 or section 48 of that Act are exercisable in relation to him;]

(g) the name of a solicitor has been removed from or struck off the roll or a solicitor has been suspended from practice.

[F14 (h) the [F15 Society is] satisfied that a F16 . . . solicitor has abandoned his practice;

F17 (i) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(j) any power conferred by this Schedule has been exercised in relation to a sole solicitor by virtue of sub–paragraph (1)(a) and he has acted as a sole solicitor within the period of eighteen months beginning with the date on which it was so exercised;

(k) the [F18 Society is] satisfied that a person has acted as a solicitor at a time when he did not have a practising certificate which was in force;

(l) the [F19 Society is] satisfied that a solicitor has failed to comply with any condition, subject to which his practising certificate was granted or otherwise has effect, to the effect that he may act as a solicitor only—

(i) in employment which is approved by the Society in connection with the imposition of that condition;

(ii) as a member of a partnership which is so approved;

(iii) as [F20 a manager] of a body recognised by the [F21 Society] under section 9 of the M1 Administration of Justice Act 1985 and so approved; or

(iv) in any specified combination of those ways.]

[F22 (m) the Society is satisfied that it is necessary to exercise the powers conferred by Part 2 of this Schedule (or any of them) in relation to a solicitor to protect—

(i) the interests of clients (or former or potential clients) of the solicitor or his firm, or

(ii) the interests of the beneficiaries of any trust of which the solicitor is or was a trustee.]

[F23 (1A) In sub-paragraph (1) “ manager ” has the same meaning as in the Legal Services Act 2007 (see section 207 of that Act). ]

(2) F24 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F1 Words in Sch. 1 para. 1(1)(a) substituted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(2)(a)(i) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F2 Words in Sch. 1 para. 1(1)(a) inserted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(2)(a)(ii) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F3 Words in Sch. 1 para. 1(1)(a) inserted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(2)(a)(iii) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F4 Sch. 1 para. 1(1)(aa) inserted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(2)(b) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F5 Words in Sch. 1 para. 1(1)(b) substituted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(2)(c)(i) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F6 Words in Sch. 1 para. 1(1)(b) substituted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(2)(c)(ii) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F7 Words in Sch. 1 para. 1(1)(c) substituted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(2)(d) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F8 Words in Sch. 1 para. 1(1)(c) inserted (27.9.1999) by 1999 c. 22, s. 48, Sch. 7 para. 6 (with Sch. 14 para. 7(2)); S.I. 1999/2657, art. 2(a)

F9 Word in Sch. 1 para. 1(1)(d) substituted (6.4.2016) by The Enterprise and Regulatory Reform Act 2013 (Consequential Amendments) (Bankruptcy) and the Small Business, Enterprise and Employment Act 2015 (Consequential Amendments) Regulations 2016 (S.I. 2016/481), reg. 1, Sch. 1 para. 18

F10 Sch. 1 Pt. I para. 1(1)(ee) inserted by Administration of Justice Act 1985 (c. 61, SIF 34), s. 8, Sch. 1 para. 13(2)

F11 Words in Sch. 1 para. 1(ee) substituted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(2)(e)(i) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F12 Word in Sch. 1 para. 1(ee) inserted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(2)(e)(ii) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F13 Sch. 1 para. 1(1)(f) substituted (1.10.2007) by Mental Capacity Act 2005 (c. 9), ss. 67(1), 68, Sch. 6 para. 22(4) (with ss. 27-29, 62); S.I. 2007/1897, art. 2

F14 Sch. 1 Pt. I paras. 1(1)(h)–(l) added by Courts and Legal Services Act (c. 41, SIF 76:1), s. 91(1)

F15 Words in Sch. 1 para. 1(1)(h) substituted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(2)(f)(i) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F16 Word in Sch. 1 para. 1(1)(h) repealed (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 210, 211, Sch. 16 para. 77(2)(f)(ii), Sch. 23 (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F17 Sch. 1 para. 1(1)(i) omitted (1.11.2015) by virtue of The Legal Services Act 2007 (The Law Society) (Modification of Functions) Order 2015 (S.I. 2015/401), art. 1(3), Sch. 1 para. 15

F18 Words in Sch. 1 para. 1(1)(i)(k) substituted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(2)(g) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F19 Words in Sch. 1 para. 1(1)(l) substituted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(2)(h)(i) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F20 Words in Sch. 1 para. 1(1)(l)(iii) substituted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(2)(h)(ii) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F21 Words in Sch. 1 para. 1(1)(l)(iii) substituted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(2)(h)(iii) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F22 Sch. 1 para. 1(1)(m) inserted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(2)(i) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F23 Sch. 1 para. 1(1A) inserted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(2)(j) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F24 Sch. 1 para. 1(2) repealed (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 210, 211, Sch. 16 para. 77(2)(k), Sch. 23 (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i)(f)(ii)(bb) (subject to art. 4)

Modifications etc. (not altering text)

C1 Sch. 1 para. 1(1) extended in part (with modifications) (1.7.2009) by The Registered Foreign Lawyers Order 2009 (S.I. 2009/1589), art. 3(2)(q), Sch.

C2 Sch. 1 para. 1(1)(k) modified by S.I. 2000/1119, Sch. 4 para. 9(ac) (as substituted (1.7.2009) by The Legal Services Act 2007 (Registered European Lawyers) Order 2009 (S.I. 2009/1587), art. 3(9)(a))

Marginal Citations

M1 1985 c.61. (76:1).

2 E+W On the death of a sole solicitor paragraphs 6 to 8 shall apply to the client accounts of his practice.

3 E+W The powers conferred by Part II of this Schedule shall also be exercisable, subject to paragraphs 5(4) and [F25 10(9)], where—

[F26 (a) the Society is satisfied that there has been undue delay—

(i) on the part of a solicitor in connection with any matter in which the solicitor or his firm is or was acting on behalf of a client or with any trust, or

(ii) on the part of an employee of a solicitor in connection with any trust of which the employee is or was a trustee in his capacity as such an employee; and]

(b) the Society by notice in writing invites the solicitor to give an explanation within a period of not less than 8 days specified in the notice; and

(c) the solicitor fails within that period to give an explanation which the [F27 Society regards] as satisfactory; and

(d) the Society gives notice of the failure to the solicitor and (at the same or any later time) notice that the powers conferred by Part II of this Schedule are accordingly exercisable.

Textual Amendments

F25 Word in Sch. 1 para. 1(3) substituted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(3)(a) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F26 Sch. 1 para. 1(3)(a) substituted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(3)(b) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F27 Words in Sch. 1 para. 1(3)(c) substituted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(3)(c) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

4 (1) Where the powers conferred by Part II of this Schedule are exercisable in relation to a solicitor, they shall continue to be exercisable after his death or after his name has been removed from or struck off the roll. E+W

(2) The references to the solicitor or his firm in paragraphs 5(1), 6(2) and (3) [F28 , 6A], 8, 9(1) [F29 , (5) and (6)] and [F30 10(2) and (7)] include, in any case where the solicitor has died, references to his personal representatives.

Textual Amendments

F28 Word in Sch. 1 para. 4(2) inserted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(4)(a) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F29 Words in Sch. 1 para. 4(2) substituted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(4)(b) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)

F30 Words in Sch. 1 para. 4(2) substituted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 177, 211, Sch. 16 para. 77(4)(c) (with ss. 29, 192, 193); S.I. 2009/503, art. 2(b)(i) (subject to art. 4)