The Solicitors (Disciplinary Proceedings) Rules 1994

Applications and Forms

4.—(1) (a) An Application to the Tribunal:

(i) To strike the name of a solicitor off the Roll of Solicitors, or

(ii) To strike the name of a registered foreign lawyer off the Register of Foreign Lawyers maintained by the Society, or

(iii) Making allegations against a solicitor, a former solicitor, or a registered foreign lawyer, or

(iv) Making an allegation against a Recognised Body shall be in Form 1.

(b) An Application to the Tribunal to make an order under Section 43(2) of the Act with respect to a solicitor’s clerk shall be in Form 2.

(c) An Application to the Tribunal seeking restoration to the Roll or for the revocation of an order made pursuant to Section 43(2) of the Act or by a former registered foreign lawyer seeking to be restored to the Register of Foreign Lawyers shall be by affidavit in Form 3.

(d) An Application to the Tribunal by a solicitor who has been suspended from practice or a registered foreign lawyer suspended from the Register of Foreign Lawyers to have that period of suspension terminated shall be by affidavit in Form 4.

(e) An Application that a direction be made by the Tribunal that a direction made by the Society in respect of a solicitor in respect of inadequate professional services be treated for the purposes of enforcement as if it were contained in an order of the High Court shall be in Form 1.

Statements

(2) Applications made under this Rule shall be supported by a written statement setting but the allegations in Applications made under Paragraph (1)(a)(i)(ii)(iii)(iv), (b) or (e) and setting out a summary of the facts in support of all Applications.

Copies

(3) The applicant shall supply five copies of the originating Application and statement to the Clerk with an additional copy for any second or further respondent.

Preliminary Consideration of Application

(4) (i) An Application under Rule 4(1)(a)(i)(ii)(iii)(iv) and (b) shall be considered by a solicitor member of the Tribunal who shall certify whether a prima facie case is established in which event the procedure set out in Part III shall apply.

(ii) Where in the opinion of the solicitor member no prima facie case is established the Application shall be considered by another solicitor member and a lay member of the Tribunal and where in their opinion no prima facie case is established, the Tribunal may dismiss the Application without requiring the respondent to answer the allegations and without hearing the applicant.If required so to do by either party, the Tribunal shall make a formal order dismissing the Application.

(iii) If in the opinion of the solicitor member of the Tribunal the respondent should be given the opportunity of making representations as to whether or not a prima facie case is established, then the Clerk will serve a copy of the Application upon the respondent inviting him to make such representation in writing within l4 days and the solicitor member will after considering the same certify that a prima facie case is or is not established, or require oral representations to be made by the parties to him sitting in private before so certifying.

The Parties

(5) (i) In the case of an Application of the nature specified in Rule 4(1)(a)(i)(ii)(iii)(iv) and (e) the parties to the Application shall be the applicant and the respondent.

(ii) In the case of an Application of the nature specified in Rule 4(1)(b) the parties shall be the Society (or its representative), who shall be the applicant in every such case, the respondent and, if the Tribunal so direct, any solicitor by whom the solicitor’s clerk was employed either at the time of the commission of any offence mentioned in Section 43(1) of the Act of which it is alleged the solicitor’s clerk has been convicted, or at the time of any such act or default as is mentioned in Section 43(1)(b) of the Act to which it is alleged that the solicitor’s clerk has been a party.

(iii) In the case of an Application of the nature specified in Rule 4(1)(c) and (d) the parties shall be the applicant and the Society (in these cases the Society shall be the respondent to the Application).

Notice

(6) In the case of an Application of the nature specified in Rule 4(1)(c) and (d), the Tribunal may if it thinks fit require the applicant or the respondent to give notice of the Application and of the day fixed for the hearing by advertisement or otherwise as it may direct.

Third Party Objectors

(7) If any person desires to object to an Application made pursuant to Rule 4(1)(c) or (d) he shall give notice in writing to the applicant, the Society and the Clerk at least 10 days before the date fixed for the hearing specifying the grounds of his objection.The Tribunal may allow such objector to appear at the hearing and call evidence or make representations (or both) and require him to be cross examined thereon.

Foreign Lawyers Assisting the Tribunal

(8) The Tribunal may (either upon granting an application by either party or of its own motion) be assisted in connection with any Application made under Rule 4(1)(a)(ii)(iii), (c) or (d), relating to a registered foreign lawyer or a former registered foreign lawyer, by a member of the legal profession in the jurisdiction by reference to which the foreign lawyer is or was qualified in such manner as the Tribunal shall think fit.Such application by either party to be made not later than 21 days before the date of the hearing. The Tribunal’s decision in that regard (whether following an application or made of its own motion) to be notified to the parties not later than 14 days before the hearing.