Part III Professional Practice, Conduct and Discipline of Solicitors

Powers of Council to intervene

C142CF1 Powers to examine documents and demand explanations in connection with complaints.

1

Where the Council are satisfied that it is necessary for them to do so for the purpose of investigating a complaint made to them or remitted to them by the Tribunal alleging—

a

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b

the failure of an incorporated practice to comply with any provision of this Act or of rules made under this Act applicable to that practice; or

c

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the Council may give notice in writing in accordance with subsection (2) F3. . . to the incorporated practice F4. . . .

2

A notice under subsection (1) may require—

a

the production or delivery to any person appointed by the Council, at a time and place specified in the notice, of all documents to which this section applies which are in the possession or control of the F5. . . incorporated practice and relate to the matters to which the complaint relates (whether or not they relate also to other matters); and

b

an explanation, within such period, not being less than 21 days, as the notice may specify, from the F5. . . incorporated practice regarding the matters to which the complaint relates.

3

This section applies to the F6 following documents—

a

all books, accounts, deeds, securities, papers and other documents in the possession or control of F7. . . the incorporated practice;

b

all books, accounts, deeds, securities, papers and other documents relating to any trust F8. . . of which the incorporated practice or one of its employees is a sole trustee or of which the practice is a co-trustee only with one or more of its employees.

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4

Part II of Schedule 3 shall have effect in relation to the powers conferred by subsection (1) to require the production or delivery of documents as it has effect in relation to the powers conferred by F9sections F10. . . , 45 and 46, but with the following modifications—

a

for the references in that Part to F9sections F10. . . , 45 and 46 there shall be substituted references to this section; and

b

for the reference in paragraph 5(1) in that Part to a person failing to produce or deliver documents immediately on being required by the Council to do so there shall be substituted a reference to a person failing to produce or deliver the documents within the time specified in the notice under subsection (1) of this section.

F115

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