Part I Solicitors
Solicitors’ discipline
1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F1
2 Examination of solicitors’ files in connection with complaints.
F2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F3
Practising certificates
F364 Issue of practising certificates subject to conditions.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5 Conditions imposed on current certificates.
After section 13 of the M1Solicitors Act 1974 there shall be inserted—
13A Imposition of conditions while practising certificates are in force.
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.
2
The power to give a direction under this section in the case of any solicitor shall be exercisable by the Society at any time during the period for which his current certificate is in force if—
a
in the event of an application for a practising certificate being made by him at that time, section 12 would have effect in relation to him by reason of any such circumstances as are mentioned in paragraph (d), (e), (ee), (k) or (l) of subsection (1) of that section; or
b
a receiving order in bankruptcy is in force against him; or
c
he has entered into a composition with his creditors or a deed of arrangement for the benefit of his creditors.
3
Subject to subsection (4), the conditions specified in a direction under this section shall have effect as from the time when the solicitor concerned is notified of the Society’s decision to give the direction.
4
The Society may, if it thinks fit, provide in a direction under this section that the conditions specified in the direction shall not have effect pending the hearing and determination of any appeal under subsection (6).
5
Where there is a pending against any judgment or order an appeal by a solicitor which, if successful, would result in subsection (2) no longer being applicable to him, the Society shall not give a direction under this section in his case so long as the appeal is pending, unless in the opinion of the Society the proceedings on that appeal have been unduly protracted by him or are unlikely to be successful.
6
A solicitor in whose case a direction is given under this section may appeal to the Master of the Rolls against the decision of the Society within one month of being notified of it.
7
On an appeal under subsection (6), the Master of the Rolls 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 Master of the Rolls thinks fit; or
c
by order revoke the direction; or
d
make such other order as he thinks fit.
8
Subsection (4A) of section 12 shall apply for the purposes of subsection (1) of this section as it applies for the purposes of subsection (4)(b) of that section.
Restrictions applying to unqualified persons
F356 Preparation of conveyancing documents by unqualified persons.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F47 Preparation of papers for probate etc. by unqualified persons.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Other amendments
8 Other amendments of Solicitors Act 1974.
The Solicitors Act 1974 shall have effect subject to the further amendments specified in Schedule 1.
F39Legal services bodies and sole solicitors’ practices
C1I1C29F40Recognition of legal services bodies and of sole solicitors’ practices
1
The F5Society may make rules—
a
making provision as to the management and control F6of legal services bodies;
F42b
prescribing the circumstances in which—
i
legal services bodies may be recognised by the Society as being suitable bodies to undertake the provision of any solicitor services or other relevant legal services; and
ii
sole solicitors’ practices may be recognised by the Society as being suitable to undertake the provision of any such services;
c
d
regulating the conduct of the affairs of such bodies F44and sole solicitors’ practices .
F91A
Where the Society makes rules under subsection (1), it must by rules under subsection (1)(c) prescribe the requirement that (subject to any exceptions provided by the rules) recognised bodies F45and recognised sole solicitors’ practices must not provide services other than—
a
solicitor services, or
b
solicitor services and other relevant legal services.
1B
“Relevant legal services” means—
a
solicitor services, and
b
where authorised persons other than solicitors or registered European lawyers are managers or employees of, or have an interest in, a recognised body, F46or are employees in a recognised sole solicitor’s practice, services of the kind provided by individuals practising as such authorised persons (whether or not those services involve the carrying on of reserved legal activities within the meaning of the Legal Services Act 2007).
1C
The Society may by rules under this section provide that services specified, or of a description specified, in the rules are not to be treated as solicitor services or other relevant legal services.
2
Rules made by the F10Society may also make provision—
a
for the manner and form in which applications for recognition under this section F11, or for the renewal of such recognition, are to be made, and requiring such applications to be accompanied by a fee of such amount as the Society may from time to time determine;
F12aa
for the manner and form in which other applications under the rules are to be made, and requiring such applications to be accompanied by a fee of such amount as the Society may from time to time determine;
F37ab
requiring recognised bodies, F47recognised sole solicitors’ practices, or descriptions of such bodies or practices , to pay periodical fees of such amount as the Society may from time to time determine;
b
for regulating the names that may be used by recognised bodies F48or recognised sole solicitors’ practices ;
F13c
about the time when any recognition, or renewal of recognition, takes effect and the period for which it is (subject to the provisions made by or under this Part) to remain in force;
d
for the suspension or revocation of any such recognition, on such grounds and in such circumstances as may be prescribed by the rules;
e
about the effect on the recognition of a partnership or other unincorporated body (“the existing body”) of any change in the membership of the existing body, including provision for the existing body's recognition to be transferred where the existing body ceases to exist and another body F49, or a sole solicitor’s practice, succeeds to the whole or substantially the whole of its business;
F50eza
about the effect on the recognition of a sole solicitor’s practice where the sole solicitor ceases to practise as a sole principal and—
i
another sole solicitor succeeds that sole solicitor as sole principal in the practice; or
ii
a body or another sole solicitor succeeds to the whole or substantially the whole of the practice’s business;
ea
eb
for information (or information of a specified description) on such a register to be made available to the public, including provision about the manner in which, and times at which, information is to be made so available;
f
F14fa
about the education and training requirements to be met by managers and employees of recognised bodies F54or employees in recognised sole solicitors’ practices ;
fb
for rules made under any provision of the 1974 Act to have effect in relation to managers and employees of recognised bodies F54or employees in recognised sole solicitors’ practices with such additions, omissions or other modifications as appear to the Society to be necessary or expedient;
fc
requiring recognised bodies to appoint a person or persons to monitor compliance, by the recognised body, its managers and its employees, with requirements imposed on them by or by virtue of this Act or any rules applicable to them by virtue of this section;
F55fd
requiring the sole solicitor in a recognised sole solicitor’s practice to appoint a person or persons to monitor compliance, by the sole solicitor and the employees in the practice, with requirements imposed on them by or by virtue of this Act, the 1974 Act or any rules applicable to them by virtue of this section or the 1974 Act;
g
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F15
F382ZA
Rules under subsection (2)(fd) may provide that the person appointed under that paragraph may be the sole solicitor.
F162A
If rules under this section provide for the recognition of legal services bodies which have one or more managers who are not legally qualified, the rules must make provision—
a
for the recognition of such bodies to be suspended or revoked, on such grounds and in such circumstances as may be prescribed by the rules;
b
as to the criteria and procedure for the Society's approving, as suitable to be a manager of a recognised body, an individual who is not legally qualified (and for the Society's withdrawing such approval).
2B
Rules under this section may make provision for appeals to the High Court against decisions made by the Society under the rules—
a
to suspend or revoke the recognition of any body F58or sole solicitor’s practice ;
b
not to approve, as suitable to be the manager of a recognised body, an individual who is not legally qualified (or to withdraw such approval).
2C
The rules may provide for appeals against decisions within subsection (2B)(b) to be brought by the individual to whom the decision relates (as well as the body).
2D
In relation to an appeal under rules made by virtue of subsection (2B), the High Court may make such order as it thinks fit as to payment of costs.
2E
The decision of the High Court on such an appeal shall be final.
2F
Where the Society decides to recognise a body F59or a sole solicitor’s practice under this section it must grant that recognition subject to one or more conditions if—
a
the case is of a kind prescribed for the purposes of this section by rules made by the Society, and
b
the Society considers that it is in the public interest to do so.
2G
While a body F60or a sole solicitor’s practice is recognised under this section, the Society—
a
must direct that the F61... recognition is to have effect subject to one or more conditions if—
i
the case is of a prescribed kind, and
ii
the Society considers that it is in the public interest to do so;
b
may, in such circumstances as may be prescribed, direct that the F61... recognition is to have effect subject to such conditions as the Society may think fit.
“Prescribed” means prescribed by rules made by the Society.
2H
The conditions which may be imposed under subsection (2F) or (2G) include—
a
b
conditions which prohibit the body F64, or the sole solicitor, from taking any specified steps except with the approval of the Society;
c
if rules under this section provide for the recognition of legal services bodies which have one or more managers who are not legally qualified, a condition that all the managers of the body must be legally qualified.
“Specified” means specified in the condition.
2I
Rules made by the Society may make provision about when conditions imposed under this section 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).
2J
Section 86A of the 1974 Act applies to rules under this section as it applies to rules under that Act.
2K
Rules under this section may contain such incidental, supplemental, transitional or transitory provisions or savings as the Society considers necessary or expedient.
F173
Despite section 24(2) of the 1974 Act, section 20 of that Act (prohibition on unqualified person acting as solicitor) does not apply to a recognised body; and nothing in section 24(1) of that Act applies in relation to such a body.
4
F18. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5
A certificate signed by an officer of the Society and stating that any body F65or sole solicitor’s practiceF19. . . is or is not, or was or was not at any time, F66recognised under this section shall, unless the contrary is proved, be evidence of the facts stated in the certificate; and a certificate purporting to be so signed shall be taken to have been so signed unless the contrary is proved.
6
7
Subject to the provisions of that Schedule, the F20Lord Chancellor may by order made by statutory instrument subject to annulment in pursuance of a resolution of either House of Parliament provide for any enactment or instrument passed or made before the commencement of this section and having effect in relation to solicitors to have effect in relation to recognised bodies with such additions, omissions or other modifications as appear to the F20Lord Chancellor to be necessary or expedient.
8
In this section—
“the 1974 Act” means the M2Solicitors Act 1974;
F21 “the Society” has the meaning given by section 87(1) of the 1974 Act; F22. . .
F23“legally qualified” and “legal services body” have the meaning given by section 9A;
“manager”, in relation to a body, has the same meaning as in the Legal Services Act 2007 (see section 207 of that Act);
F24“authorised person” means an authorised person in relation to an activity which is a reserved legal activity (within the meaning of the Legal Services Act 2007);
F69references to employment in a recognised sole solicitor’s practice are references to employment by a sole solicitor for the purposes of a practice recognised under this section;
“multi-national partnership” means a partnership whose members consist of one or more registered foreign lawyers and one or more solicitors;
F25. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
“recognised body” means a body F26. . . for the time being recognised under this section.
F70“recognised sole solicitor’s practice” means a sole solicitor’s practice for the time being recognised under this section;
F27“registered European lawyer" means a person who is registered with the Law Society under regulation 17 of the European Communities (Lawyers’s Practice) Regulations 2000 F72, as that regulation has effect by virtue of regulation 6 of the Services of Lawyers and Lawyer’s Practice (Revocation etc.) (EU Exit) Regulations 2020.
F71“sole solicitor” has the meaning given by section 87(1) of the 1974 Act;
F28“solicitor services” means professional services such as are provided by individuals practising as solicitors or lawyers of other jurisdictions;
and a person has an interest in a body if the person has an interest in the body within the meaning of Part 5 of the Legal Services Act 2007 (see sections 72 and 109 of that Act).
9
F29. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
C39AF34Legal services bodies
1
For the purposes of section 9, a “legal services body” means a body (corporate or unincorporate) in respect of which —
a
the management and control condition, and
b
the relevant lawyer condition,
are satisfied.
2
The management and control condition is satisfied if—
a
at least 75% of the body's managers are legally qualified,
b
the proportion of shares in the body held by persons who are legally qualified is at least 75%,
c
the proportion of voting rights in the body which persons who are legally qualified are entitled to exercise, or control the exercise of, is at least 75%,
d
all the persons with an interest in the body who are not legally qualified are managers of the body, and
e
all the managers of the body who are not legally qualified are individuals approved by the Society as suitable to be managers of a recognised body.
3
The Society may by rules under section 9 provide that, in relation to specified kinds of bodies, subsection (2) applies as if the references to 75% were to such greater percentage as may be specified (and different percentages may be specified for different kinds of bodies).
4
The relevant lawyer condition is satisfied in relation to a body if at least one manager of the body is—
a
a solicitor,
b
a registered European lawyer, or
c
a qualifying body.
5
For that purpose a qualifying body is a body in respect of which—
a
the management and control condition is satisfied
b
the relevant lawyer condition is satisfied by virtue of subsection (4)(a) or (b), and
c
the services condition is satisfied.
6
For the purposes of this section the following are legally qualified—
a
an authorised person who is an individual;
b
a registered foreign lawyer (within the meaning of section 89 of the Courts and Legal Services Act 1990 (c. 41));
F73c
an advocate or solicitor in Scotland;
ca
a member of the Bar of Northern Ireland or a solicitor of the Court of Judicature of Northern Ireland;
d
an authorised person which is a body in respect of which—
i
the services condition is satisfied, and
ii
the management and control condition would be satisfied if the references in subsection (2) to persons who are legally qualified were to persons who are legally qualified by virtue of F74paragraphs (a) to (ca);
e
a body which provides professional services such as are provided by individuals who are authorised persons or lawyers of other jurisdictions, and in respect of which the management and control condition would be satisfied if the references in subsection (2) to persons who are legally qualified were to persons who are legally qualified by virtue of F75paragraphs (a) to (ca).
f
a legal partnership which—
i
was in existence immediately before the commencement of this paragraph,
ii
since that time has continued to be a partnership of the kind mentioned in rule 12.01(1)(b), 12.02(1)(b) or 12.04(1)(c)(i) of the pre-commencement conduct rules (framework of practice), and
iii
has not, since that time, had a body corporate (other than a body within paragraph (g)) as a member;
g
a body corporate which—
i
was recognised under section 9 immediately before the commencement of this paragraph, and
ii
has since that time continued to satisfy the requirements of rule 14.03(1) and 14.04(1) to (3) or the requirements of rule 14.05(1) to (3) of the pre-commencement conduct rules (restrictions on directors, owners etc. of incorporated practices);
h
a body which—
i
is an authorised person and satisfies the services condition, or
ii
provides professional services such as are provided by individuals who are authorised persons or lawyers of other jurisdictions,
and which satisfies the requirements of rules under subsection (6C).
6A
For the purposes of subsection (6)(f), a partnership is to be treated as the same partnership despite a change in membership, if any person who was a member before the change remains a member.
6B
For the purposes of subsection (6)(f) and (g), the references in the pre-commencement conduct rules to a recognised body are to be construed as references to a body which was recognised under section 9 immediately before the commencement of subsection (6)(f) and (g).
6C
The Society must make rules for the purposes of paragraph (h) of subsection (6) prescribing the requirements relating to management and control which must be satisfied by or in relation to a body for it to fall within that paragraph.
7
For the purposes of this section, the services condition is satisfied in relation to a body if the body provides only services which may be provided by a recognised body (having regard to rules under section 9(1A) and (1C)).
8
For the purposes of this section—
“authorised person” has the same meaning as in section 9;
F76...
“legal partnership” means a partnership in which a solicitor, a registered European lawyer or a recognised body is permitted to practise by virtue of rules made under section 31 of the Solicitors Act 1974 (c. 47), as those rules had effect immediately before the commencement of subsection (6)(f);
“manager”, in relation to a body, has the meaning given by section 9;
“pre-commencement conduct rules” means rules under Part 2 of the Solicitors Act 1974 or section 9 of this Act, known as the Solicitors' Code of Conduct 2007, as those rules had effect immediately before the commencement of subsection (6)(f) and (g);
“recognised body” has the same meaning as in section 9(subject to subsection (6B) above);
“registered European lawyer” has the same meaning as in section 9;
“shares” has the same meaning as for the purposes of Part 5 of the Legal Services Act 2007 (see sections 72 and 109 of that Act);
“the Society” has the meaning given by section 87(1) of the Solicitors Act 1974;
“specified” means specified in rules made by the Society;
and a person has an interest in a body if the person has an interest in the body for the purposes of section 9.
I210 Penalty for pretending to be a body recognised under s. 9.
1
2
Any body F31. . . which contravenes subsection (1) shall be guilty of an offence and liable on summary conviction to a fine not exceeding the fourth level on the standard scale.
F323
Where an offence under this section committed by a body corporate is proved to have been committed with the consent or connivance of or to be attributable to any neglect on the part of an officer of the body corporate, that officer (as well as the body corporate) is guilty of the offence and is liable to be proceeded against and punished accordingly.
4
Where the affairs of a body corporate are managed by its members, subsection (3) applies in relation to the acts and defaults of a member in connection with the member's functions of management as it applies to an officer of the body corporate.
5
Proceedings for an offence under this section alleged to have been committed by an unincorporated body are to be brought in the name of that body (and not in that of any of its members) and, for the purposes of any such proceedings, any rules of court relating to the service of documents have effect as if that body were a corporation.
6
A fine imposed on an unincorporated body on its conviction of an offence under this section is to be paid out of the funds of that body.
7
If an unincorporated body is charged with an offence under this section, section 33 of the Criminal Justice Act 1925 (c. 86) and Schedule 3 to the Magistrates' Courts Act 1980 (c. 43) (procedure on charge of an offence against a corporation) have effect in like manner as in the case of a corporation so charged.
8
Where an offence under this section committed by an unincorporated body (other than a partnership) is proved to have been committed with the consent or connivance of, or to be attributable to any neglect on the part of, any officer of the body or any member of its governing body, that officer or member as well as the unincorporated body is guilty of the offence and liable to be proceeded against and punished accordingly.
9
Where an offence under this section committed by a partnership is proved to have been committed with the consent or connivance of, or to be attributable to any neglect on the part of, a partner, that partner as well as the partnership is guilty of the offence and liable to be proceeded against and punished accordingly.
10
In this section “officer”, in relation to a body corporate, means—
a
any director, secretary or other similar officer of the body corporate, or
b
any person who was purporting to act in any such capacity.
4
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F33
10AF41Penalty for sole solicitor pretending that practice is recognised
1
A sole solicitor shall not describe or hold out the sole solicitor’s practice as a practice for the time being recognised under section 9 unless it is so recognised.
2
Any person who contravenes subsection (1) is guilty of an offence and liable on summary conviction to a fine not exceeding level 4 on the standard scale.
3
In this section “sole solicitor” has the same meaning as in section 9.
S. 9 crossheading substituted (1.11.2015) by The Legal Services Act 2007 (The Law Society) (Modification of Functions) Order 2015 (S.I. 2015/401), art. 1(3), Sch. 1 para. 17 (with arts. 4, 5)