The Solicitors (Disciplinary Proceedings) Rules 2007

PART 3 Applications

Applications in respect of solicitors, recognised bodies, registered European lawyers and registered foreign lawyers

5.—(1) An application to the Tribunal in respect of any allegation or complaint made in respect of a solicitor, a recognised body, a registered European lawyer or a registered foreign lawyer shall be in the form of Form 1 in the Schedule to these Rules.

(2) The application shall be supported by a Statement setting out the allegations and the facts and matters supporting the application and each allegation contained in it.

(3) The application, the Statement and any documents exhibited with them shall be delivered to the Clerk together with 5 additional copies and a further copy for any second or further respondent.

Certification of a case to answer

6.—(1) An application made under Rule 5 shall be considered by a solicitor member, who shall certify whether there is a case to answer.

(2) Paragraph (3) applies if—

(a) the solicitor member is minded not to certify that there is a case to answer; or

(b) in his opinion, the case is one of doubt or difficulty.

(3) If this paragraph applies, the application shall be considered by a panel of three members of the Tribunal, at least one of whom shall be a solicitor member and one a Lay member.

(4) If a solicitor member or a panel decides not to certify that a case to answer is established in accordance with this rule, the application shall be dismissed without formal order unless any party to the proceedings requires otherwise.

(5) If it is certified that there is a case to answer, a clerk shall serve the application, the Statement and any documents exhibited with them on each respondent in accordance with rule 10.

Supplementary statements

7.—(1) The applicant may file supplementary Statements with the Clerk containing additional facts or matters on which the applicant seeks to rely or further allegations and facts or matters in support of the application. Any supplementary Statement containing further allegations against the respondent shall be treated as though it were an application for the purposes of rules 5(3) and 6(1), (2), (3) and (5).

(2) Without prejudice to any further application which may be made, no supplementary Statement shall, unless by order of the Tribunal, be filed later than 12 months after the date of the Application or less than 30 days before the date fixed for the hearing of the application.

Applications by the Law Society against solicitors’ employees

8.—(1) An application made by the Law Society for an order under section 43(2) of the Act shall be in the form of Form 2 in the Schedule to these rules.

(2) In a case where the Law Society has applied to the Tribunal for an order under section 43(2) of the Act, the solicitor, recognised body, or registered European lawyer by or for whose benefit the respondent is employed or remunerated—

(a) may also be named or joined as a respondent to the application; and

(b) shall be joined as a respondent if the Tribunal so direct.

(3) The provisions of rules 5(2) and (3) and 6(1) to (5) shall apply to every application made under section 43(2) of the Act.

(4) An application for a review of an order made under section 43(3) of the Act shall be in the form of Form 3 in the Schedule to these Rules.

(5) Every application under section 43(3) of the Act shall be served on the Law Society and the Law Society shall file with the Clerk a Statement setting out the facts and matters on which it relied in making the order under Section 43(2) of the Act.

Other Applications

9.—(1) This rule applies to applications made to the Tribunal under section 47 of the Act—

(a) by a former solicitor seeking restoration to the Roll;

(b) by a person seeking restoration to the register of European lawyers or the register of foreign lawyers if his name has been removed from either register;

(c) by a solicitor, registered foreign lawyer or registered European lawyer seeking the termination of an indefinite period of suspension from practice imposed by the Tribunal.

(2) An application to which this rule applies shall be made in the form of Form 4 in the Schedule to these Rules.

(3) The Law Society shall be a respondent to every application to which this rule applies.

(4) The applicant shall serve on the Law Society—

(a) a copy of the application; and

(b) a Statement in support of the application.

(5) Every application to which this rule applies shall be advertised by the applicant once in the Law Society’s Gazette and once in a newspaper circulating in the area of the applicant’s former practice.

(6) Any person may, no later than 10 days before the hearing date of an application to which this rule applies, serve on the Tribunal and the parties to the application notice of his intention to oppose the grant of the application and the Tribunal may allow that person to appear before the Tribunal at the hearing of the application, call evidence and make representations upon which the Tribunal may allow him to be cross-examined.