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| Clause 174, page 92, line 26, leave out ‘including’ and insert ‘excluding’. |
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| | Members’ explanatory statement
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| | See Members’ explanatory statement for amendment 238. |
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| Clause 174, page 92, line 33, leave out ‘means’ and insert ‘excludes’. |
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| | Members’ explanatory statement
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| | See Members’ explanatory statement for amendment 238. |
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| Clause 177, page 94, line 33, at end insert— |
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| | ‘( ) | The duty to comply with regulatory arrangements overrides any obligations |
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| | which a person may have, including to shareholders (otherwise than under the |
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| | criminal law), if those obligations are inconsistent with the duty to comply with |
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| | the regulatory arrangements.’. |
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| | Members’ explanatory statement
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| | This amendment is intended to put beyond doubt that for all those within the regulated sector, the |
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| | duty to comply with regulatory arrangements is paramount—irrespective of any other obligations |
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| | which would otherwise apply, except for those under the criminal law. |
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| Schedule 16, page 229, line 17, at end insert— |
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| | | ‘After section 1A insert— |
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| | “1B | Restriction on practice as sole solicitor |
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| | (1) | Rules under section 31 (rules as to professional practice etc) must |
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| | provide that a solicitor may not practise as a sole solicitor unless he has |
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| | (a) | a practising certificate, and |
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| | (b) | an endorsement of that certificate by the Society authorising |
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| | him to practise as a sole solicitor (a “sole solicitor |
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| | (2) | The rules may provide that, for the purposes of the rules and this Act, |
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| | a solicitor is not to be regarded as practising as a sole solicitor in such |
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| | circumstances as may be prescribed by the rules. |
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| | (3) | The rules must prescribe the circumstances in which a solicitor may be |
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| | regarded by the Society as suitable to be authorised to practise as a sole |
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| | Members’ explanatory statement
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| | This amendment provides that Law Society rules must provide that a person may not practise as a |
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| | sole solicitor without having a practising certificate and without a sole solicitor endorsement of |
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| | that certificate. Rules must prescribe the circumstances in which a solicitor will be suitable for |
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| Schedule 16, page 230, line 12, at end insert— |
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| | ‘(1A) | An application under this section may include an application for a sole |
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| | Members’ explanatory statement
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| | This amendment is related to amendment 44. It ensures that applications for practising certificates |
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| | under section 9 may include applications for a sole solicitor endorsement. |
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| Schedule 16, page 230, line 13, after ‘application’, insert ‘under this section’.
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| | Members’ explanatory statement
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| | This amendment clarifies that the requirements which must be complied with in section 9(2) relate |
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| | specifically to applications under section 9. |
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| Schedule 16, page 230, line 41, at end insert ‘(including, if the certificate has a sole |
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| solicitor endorsement, an efficient practice as a sole solicitor);’.
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| | Members’ explanatory statement
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| | This amendment is related to amendment 44. It gives the Law Society the power to impose condi |
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| | tions, where a solicitor has a sole solicitor endorsement, requiring specific steps which will be con |
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| | ducive to efficient practise as a sole solicitor. |
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| Schedule 16, page 231, line 11, after ‘certificate,’, insert— |
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| | ‘( ) | in relation to each solicitor who holds a practising certificate, |
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| | a statement as to whether there is in force a sole solicitor |
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| | Members’ explanatory statement
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| | This amendment is related to amendment 44. It provides that the register of solicitors holding prac |
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| | tising certificates must state whether the practising certificate has a sole solicitor endorsement. |
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| Schedule 16, page 231, line 40, after ‘application’, insert ‘for a practising |
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| | ( ) | if the application included an application for a sole solicitor |
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| | endorsement, a decision to refuse the application for the |
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| | Members’ explanatory statement
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| | This amendment is related to amendment 45. It enables persons who have been refused endorse |
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| | ment as a sole solicitor to appeal against that decision. |
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| Schedule 16, page 232, line 6, leave out ‘for a practising certificate’ and insert |
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| | Members’ explanatory statement
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| | This amendment is consequential on amendment 45. It ensures that the Law Society’s rule making |
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| | powers under section 13(3) in relation to appeal procedures for applications neither granted nor |
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| | refused, extend to applications for endorsements, in addition to applications for practising certif |
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| Schedule 16, page 232, line 11, at end insert— |
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| | ‘( ) | direct the Society to make a sole solicitor endorsement on the |
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| | applicant’s practising certificate and to issue that certificate |
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| | subject to such conditions (if any) as the High Court may think |
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| | Members’ explanatory statement
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| | This amendment is related to amendment 49. It allows the High Court to direct the Law Society to |
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| | endorse the solicitor’s practising certificate, on an appeal under section 13, subject to any such |
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| | conditions (if any) as it thinks fit. |
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| Schedule 16, page 232, line 16, after ‘it,’, insert— |
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| | ‘( ) | if the certificate has been endorsed with a sole solicitor |
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| | endorsement, by order suspend the endorsement,’. |
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| | Members’ explanatory statement
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| | This amendment is related to amendment 49. It provides the High Court with the power to suspend |
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| | a sole solicitor endorsement, on an appeal under section 13. |
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| Schedule 16, page 232, line 26, at end insert— |
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| | | ‘After section 13 insert— |
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| | “13ZA | Application to practise as sole practitioner while practising |
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| | (1) | A solicitor whose practising certificate for the time being in force (his |
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| | “current certificate”) does not have a sole solicitor endorsement, may |
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| | apply to the Society for such an endorsement. |
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| | (2) | For the purposes of subsection (1) a practising certificate with a sole |
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| | solicitor endorsement which is suspended is to be treated as having |
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| | (3) | A solicitor may not apply under subsection (1) if he is suspended from |
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| | practice as a sole solicitor. |
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| | (4) | An application must be— |
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| | (a) | made in accordance with regulations under section 28, and |
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| | (b) | accompanied by any fee payable under section 13ZB in |
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| | respect of the endorsement applied for. |
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| | (5) | Where a sole solicitor endorsement is granted to an applicant of a |
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| | prescribed description, the applicant’s practising certificate shall have |
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| | effect subject to any conditions prescribed in relation to applicants of |
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| | | “Prescribed” means prescribed by regulations under section |
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| | (6) | A person who makes an application under this section may appeal to |
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| | (a) | a decision to refuse the application, or |
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| | (b) | a decision to impose a condition on a practising certificate in |
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| | accordance with subsection (5). |
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| | (7) | The Society may by rules make provision, as respects any application |
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| | under this section that is neither granted nor refused by the Society |
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| | within such period as may be specified in the rules, for enabling an |
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| | appeal to be brought under this section in relation to the application as |
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| | if it had been refused by the Society. |
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| | (8) | On an appeal under this section the High Court may— |
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| | (a) | affirm the decision of the Society, |
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| | (b) | direct the Society to grant a sole solicitor endorsement, |
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| | (c) | direct that the applicant’s practising certificate is to have |
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| | effect subject to such conditions (if any) as the High Court |
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| | (d) | make such other order as the High Court thinks fit. |
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| | (9) | In relation to an appeal under this section the High Court may make |
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| | such order as it thinks fit as to payment of costs. |
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| | (10) | The decision of the High Court on an appeal under this section shall |
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| | 13ZB | Fee payable on making of sole solicitor endorsement |
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| | (1) | Before a sole solicitor endorsement is granted under section 13ZA, |
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| | there must be paid to the Society in respect of the endorsement a fee |
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| | of such amount as the Society may from time to time determine. |
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| | (2) | Different fees may be specified for different categories of applicant |
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| | and in different circumstances. |
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| | (3) | If a fee payable under this section would not otherwise be a practising |
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| | fee for the purposes of section 51 of the Legal Services Act 2007, it is |
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| | to be treated for the purposes of that section as such a fee. |
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| | (4) | In subsection (3) “practising fee” has the meaning given by that |
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| | Members’ explanatory statement
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| | This amendment provides that a person may apply for a sole solicitor endorsement at any time |
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| | while that person’s practising certificate is in force. It also makes provision as to applicable cri |
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| | teria and procedures for such applications, including imposition of conditions, fees payable and |
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| Schedule 16, page 232, line 32, after ‘if’, insert— |
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| | ‘(a) | under section 13ZA the Society grants a sole solicitor |
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| | Members’ explanatory statement
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| | This amendment is related to amendment 53. It ensures that the Law Society’s power to impose |
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| | conditions on practising certificates at any time while they are in force is exercisable on the grant |
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| | of a sole solicitor endorsement under section 13ZA. |
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| Schedule 16, page 233, line 22, at end insert— |
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| | ‘( ) | in subsection (1), after “practising certificate” insert “or sole solicitor |
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| | ( ) | in subsection (6), after “practice” insert “or from practice as a sole |
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| | Members’ explanatory statement
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| | This amendment ensures that the Law Society may suspend a person’s sole solicitor endorsement, |
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| | where applicable, (as well as his practising certificate), where that person has been convicted of |
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| | fraud or serious crime, or is the subject of an application to the Tribunal under section 47. |
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| Schedule 16, page 233, line 26, after ‘Court”,’ insert— |
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| | ‘( ) | in paragraph (b), for “shall not be suspended but” substitute |
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| | “or sole solicitor endorsement shall not be suspended, but that |
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| | the appellant’s certificate”,’. |
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| | Members’ explanatory statement
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| | This amendment allows the High Court, on an appeal from a direction of the Law Society suspend |
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| | ing a person’s sole solicitor endorsement, to direct that the endorsement shall not be suspended. |
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| | The Court may also direct that his practising certificate shall be subject to such conditions as it |
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| Schedule 16, page 234, line 12, at end insert— |
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| | | ‘After section 17 insert— |
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| | “17A | Suspension of sole solicitor endorsement |
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| | (1) | The making by the Tribunal or by the court of an order suspending a |
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| | solicitor from practice as a sole solicitor shall operate to suspend any |
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| | sole solicitor endorsement of that solicitor for the time being in force. |
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| | (2) | For the purposes of this Act, a sole solicitor endorsement shall be |
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| | deemed not to be in force at any time while it is suspended. |
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| | (3) | Subsection (2) is subject to section 13ZA(2). |
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| | 17B | Duration and publicity of suspension of sole solicitor endorsement |
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| | (1) | Where a sole solicitor endorsement is suspended, it expires on such |
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| | date as may be prescribed by regulations under section 28. |
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| | (2) | Where a solicitor’s sole solicitor endorsement is suspended— |
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| | (a) | by an order under section 13(4), or |
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| | (b) | by virtue of section 17A(1) in circumstances where the period |
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| | of that suspension expires before the date on which his |
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| | |
| | | the solicitor may at any time before the endorsement expires apply to |
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| | the Society to terminate the suspension. |
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| | (3) | Section 16(4) to (7) apply in relation to an application under |
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| | subsection (2) as they apply in relation to an application under section |
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| | (4) | Where a solicitor’s sole solicitor endorsement is suspended by an |
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| | order under section 13(4) or by virtue of section 17A(1), the Society |
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| | shall forthwith cause notice of that suspension to be published and a |
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| | note of it to be entered against the name of the solicitor on the roll. |
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| | (5) | Where any suspension is terminated by virtue of section 16(4) or (5), |
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| | as applied by subsection (3) of this section, the Society shall forthwith |
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| | cause a note of that termination to be entered against the name of the |
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| | solicitor on the roll and, if so requested in writing by the solicitor, a |
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| | notice of it to be published.”’. |
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| | Members’ explanatory statement
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| | This amendment provides that Tribunal orders to suspend a solicitor from practice as a sole solic |
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| | itor operate to suspend his sole solicitor endorsement. It also makes provision for the duration of |
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| | the suspension, and for publicity of the suspension. |
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| Schedule 16, page 235, line 6, after ‘them”,’ insert— |
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| | ‘( ) | after that paragraph insert— |
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| | “(ca) | sole solicitor endorsements and applications for |
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| | Members’ explanatory statement
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| | This amendment is related to amendment 44. It provides that the Law Society’s power to make reg |
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| | ulations under section 28 extends to sole solicitor endorsements and applications for them. |
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| Schedule 16, page 235, line 22, after ‘certificates’, insert ‘or sole solicitor |
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| | Members’ explanatory statement
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| | This amendment is related to amendment 44. It provides that the regulations powers under section |
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| | 28(3B) extend to sole solicitor endorsements. |
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| Schedule 16, page 235, line 24, after ‘certificates’, insert ‘or sole solicitor |
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| | Members’ explanatory statement
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| | This amendment is related to amendments 44, 45 and 53. It provides that regulations may pre |
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| | scribe the manner and form of applications for sole solicitor endorsements. |
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| Schedule 16, page 235, line 36, at end insert— |
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| | ‘(ea) | prescribe descriptions of applicants, and conditions in relation |
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| | to them, for the purposes of section 13ZA(5) (circumstances |
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| | in which a practising certificate endorsed with a sole solicitor |
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| | endorsement after it was issued must be made subject to |
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| | prescribed conditions);’. |
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| | Members’ explanatory statement
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| | This amendment is related to amendments 44 and 53. It enables the Law Society to make regula |
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| | tions prescribing descriptions of applicants and conditions that will apply to any applicants of pre |
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| | scribed descriptions, for the purposes of 13ZA(5). |
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| Schedule 16, page 235, line 47, after ‘certificates’, insert ‘or sole solicitor |
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| | Members’ explanatory statement
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| | This amendment is related to amendment 44. It enables the Law Society to make regulations about |
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| | the commencement, duration, replacement, withdrawal and expiry of sole solicitor endorsements. |
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