|
| |
|
(2) | For the purposes of this Act, a sole solicitor endorsement shall be |
| |
deemed not to be in force at any time while it is suspended. |
| |
(3) | Subsection (2) is subject to section 13ZA(2). |
| |
17B | Duration and publicity of suspension of sole solicitor endorsement |
| |
(1) | Where a sole solicitor endorsement is suspended, it expires on such |
| 5 |
date as may be prescribed by regulations under section 28. |
| |
(2) | Where a solicitor’s sole solicitor endorsement is suspended— |
| |
(a) | by an order under section 13(4), or |
| |
(b) | by virtue of section 17A(1) in circumstances where the period |
| |
of that suspension expires before the date on which his |
| 10 |
| |
| the solicitor may at any time before the endorsement expires apply |
| |
to the Society to terminate the suspension. |
| |
(3) | Section 16(4) to (7) apply in relation to an application under |
| |
subsection (2) as they apply in relation to an application under |
| 15 |
| |
(4) | Where a solicitor’s sole solicitor endorsement is suspended by an |
| |
order under section 13(4) or by virtue of section 17A(1), the Society |
| |
shall forthwith cause notice of that suspension to be published and a |
| |
note of it to be entered against the name of the solicitor on the roll. |
| 20 |
(5) | Where any suspension is terminated by virtue of section 16(4) or (5), |
| |
as applied by subsection (3) of this section, the Society shall forthwith |
| |
cause a note of that termination to be entered against the name of the |
| |
solicitor on the roll and, if so requested in writing by the solicitor, a |
| |
notice of it to be published.” |
| 25 |
23 | For section 18 (evidence as to holding of practising certificates) substitute— |
| |
“18 | Extracts from the roll or register etc as evidence |
| |
(1) | An extract from the roll, or an extract from the register kept under |
| |
section 10A, which is certified as correct by the Society is evidence of |
| |
the matters mentioned in it. |
| 30 |
(2) | A certificate from the Society stating that— |
| |
(a) | a person’s name is or was on the roll, or |
| |
(b) | a person is or was registered in the register kept under |
| |
| |
| is evidence of the matters stated.” |
| 35 |
24 | Omit section 19 (rights of practising and rights of audience). |
| |
25 | For section 20 (unqualified person not to act as solicitor) substitute— |
| |
“20 | Unqualified person not to act as solicitor |
| |
(1) | No unqualified person is to act as a solicitor. |
| |
(2) | Any person who contravenes subsection (1) is guilty of an offence |
| 40 |
and liable on conviction on indictment to imprisonment for not more |
| |
than 2 years or to a fine, or to both.” |
| |
| |
|
| |
|
| |
|
(a) | sections 22 and 22A (unqualified person not to prepare certain |
| |
| |
(b) | section 23 (unqualified person not to prepare papers for probate etc). |
| |
27 | In section 24 (application of penal provisions to body corporate), in |
| |
subsection (2) from “sections” to the end substitute “section 20 the reference |
| 5 |
to an unqualified person and the reference to a person both include a |
| |
reference to a body corporate.” |
| |
28 | In section 26 (time limit for commencement of certain proceedings) omit “, |
| |
| |
29 | Omit section 27 (saving for persons authorised to conduct legal |
| 10 |
| |
30 (1) | Section 28 (regulations) is amended as follows. |
| |
| |
(a) | for “Master of the Rolls” substitute “Society”, |
| |
(b) | omit “, with the concurrence of the Secretary of State and the Lord |
| 15 |
| |
(c) | in paragraph (c) omit “and applications for them”, |
| |
(d) | after that paragraph insert— |
| |
“(ca) | sole solicitor endorsements and applications for |
| |
| 20 |
(e) | in paragraph (d) for “section 9” substitute “section 10A”. |
| |
(3) | Omit subsections (2) and (3). |
| |
| |
(a) | for “may—” insert “may (among other things)— |
| |
(za) | make provision about the form in which the roll is to |
| 25 |
be kept and the manner in which entries are to be |
| |
made, altered and removed;”, |
| |
(b) | omit “and” at the end of paragraph (b), and |
| |
(c) | after paragraph (d) insert— |
| |
“(e) | require the information on the roll to be made |
| 30 |
| |
(f) | specify the manner in which information is to be |
| |
made so available and require it to be made so |
| |
available during office hours and without charge.” |
| |
(5) | After that subsection insert— |
| 35 |
“(3B) | Regulations about practising certificates or sole solicitor |
| |
endorsements may (among other things)— |
| |
(a) | prescribe the form and manner in which applications for, or |
| |
relating to, practising certificates or sole solicitor |
| |
endorsements are to be made; |
| 40 |
(b) | prescribe information which must be included in or |
| |
accompany such applications; |
| |
(c) | make provision about time limits for dealing with such |
| |
applications, and confer on a person power to extend or bring |
| |
forward such a time limit in prescribed circumstances; |
| 45 |
|
| |
|
| |
|
(d) | prescribe the requirements which applicants for practising |
| |
certificates must satisfy before they may be issued with a |
| |
| |
(e) | prescribe descriptions of applicants, and conditions in |
| |
relation to them, for the purposes of section 10(2) |
| 5 |
(circumstances in which practising certificates must be issued |
| |
subject to prescribed conditions); |
| |
(f) | prescribe descriptions of applicants, and conditions in |
| |
relation to them, for the purposes of section 13ZA(5) |
| |
(circumstances in which a practising certificate endorsed |
| 10 |
with a sole solicitor endorsement after it was issued must be |
| |
made subject to prescribed conditions); |
| |
(g) | prescribe circumstances for the purposes of section 10(3) |
| |
(circumstances in which application may be refused etc in the |
| |
| 15 |
(h) | make provision about when conditions imposed on |
| |
practising certificates 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 |
| |
| 20 |
(i) | make provision for the commencement, duration, |
| |
replacement, withdrawal and expiry of practising certificates |
| |
or sole solicitor endorsements; |
| |
(j) | prescribe circumstances for the purposes of section 13A(2) |
| |
(circumstances in which conditions can be imposed during |
| 25 |
period of practising certificate); |
| |
(k) | require solicitors who hold practising certificates to notify the |
| |
Society of such matters as may be prescribed, at such times, |
| |
or in such circumstances as may be prescribed. |
| |
(3C) | Regulations about the keeping of the register under section 10A may |
| 30 |
| |
(a) | make provision about the form in which the register is to be |
| |
kept and the manner in which entries are to be made, altered |
| |
| |
(b) | require information of a specified kind to be included in |
| 35 |
| |
(c) | require information (or information of a specified |
| |
description) on the register to be made available to the public; |
| |
(d) | specify the manner in which it is to be made so available and |
| |
require it to be made so available during office hours and |
| 40 |
| |
(3D) | Regulations under this section may make provision for appeals to |
| |
the High Court against decisions made by the Society under the |
| |
| |
(3E) | In relation to an appeal under regulations made by virtue of |
| 45 |
subsection (3D), the High Court may make such order as it thinks fit |
| |
| |
(3F) | The decision of the High Court on such an appeal shall be final. |
| |
(3G) | Regulations under this section may— |
| |
|
| |
|
| |
|
(a) | provide for a person to exercise a discretion in dealing with |
| |
| |
(b) | include incidental, supplementary and consequential |
| |
| |
(c) | make transitory or transitional provision and savings; |
| 5 |
(d) | make provision generally or only in relation to specified |
| |
cases or subject to specified exceptions; |
| |
(e) | make different provision for different cases.” |
| |
(6) | Omit subsections (4) and (5). |
| |
31 (1) | Section 31 (rules as to professional practice, conduct and discipline) is |
| 10 |
| |
| |
(a) | for “Council may, if they think fit,” substitute “Society may”, |
| |
(b) | omit “, with the concurrence of the Master of the Rolls,”, |
| |
(c) | after “conduct” insert “, fitness to practise”, |
| 15 |
(d) | for “Council” (in the second place) substitute “Society”, and |
| |
(e) | after “being” insert “, or have been,”. |
| |
(3) | After that subsection insert— |
| |
“(1A) | The powers conferred on the Society by subsection (1) include power |
| |
to make, in relation to solicitors, provision of a kind which the |
| 20 |
Society would be prohibited from making but for section 157(5)(c) of |
| |
the Legal Services Act 2007 (exception from prohibition on approved |
| |
regulators making provision for redress).” |
| |
(4) | Omit subsections (3) and (4). |
| |
32 (1) | Section 32 (accounts rules and trust accounts rules) is amended as follows. |
| 25 |
| |
(a) | for “Council” (in the first place) substitute “Society”, |
| |
(b) | omit “, with the concurrence of the Master of the Rolls”, |
| |
(c) | for paragraphs (a) and (b) substitute— |
| |
“(a) | as to the opening and keeping by solicitors of |
| 30 |
accounts at banks or with building societies for |
| |
money within subsection (1A); |
| |
(aa) | as to the operation by solicitors of accounts kept by |
| |
their clients or other persons at banks or with |
| |
building societies or other financial institutions; |
| 35 |
(b) | as to the keeping by solicitors of accounts containing |
| |
information as to money received, held or paid by |
| |
them for or on account of their clients or other persons |
| |
(including money received, held or paid under a |
| |
| 40 |
(d) | in paragraph (c) of that subsection— |
| |
(i) | for “Council” substitute “Society”, |
| |
(ii) | for “them” substitute “it”, and |
| |
(iii) | after “being” insert “, or have been,”, and |
| |
(e) | omit from “and the rules” to the end. |
| 45 |
|
| |
|
| |
|
(3) | After that subsection insert— |
| |
“(1A) | The money referred to in subsection (1) is money (including money |
| |
held on trust) which is received, held or dealt with for clients or other |
| |
| |
| 5 |
| |
(a) | for “Council” substitute “Society”, |
| |
| |
(c) | after “solicitor” (in both places) insert “or any of his employees”. |
| |
(6) | In subsection (5) for “by virtue” to the end substitute “or a part of the rules.” |
| 10 |
| |
33 (1) | Section 33 (interest on clients’ money) is amended as follows. |
| |
(2) | For subsection (1) substitute— |
| |
“(1) | Rules under section 32 may require a solicitor to pay interest, or sums |
| |
in lieu of and equivalent to interest, to a client, any other person or |
| 15 |
any trust, for whom the solicitor holds money.” |
| |
(3) | In subsection (2), omit from “and the rules” to the end. |
| |
(4) | For subsection (3) substitute— |
| |
“(3) | Except as provided by the rules, a solicitor is not liable to account to |
| |
any client, other person or trust for interest received by the solicitor |
| 20 |
on money held at a bank or building society in an account which is |
| |
for money received or held for, or on account of— |
| |
(a) | the solicitor’s clients, other persons or trusts, generally, or |
| |
(b) | that client, person or trust, separately.” |
| |
(5) | For subsection (4) substitute— |
| 25 |
“(4) | Rules under section 32 may— |
| |
(a) | prescribe the circumstances in which a solicitor may make |
| |
arrangements to limit or exclude an obligation imposed on |
| |
the solicitor by rules made by virtue of this section, and |
| |
(b) | prescribe the requirements to be met by and in relation to |
| 30 |
| |
34 (1) | Section 33A (inspection of practice bank accounts etc) is amended as follows. |
| |
| |
(a) | for “Council” (in each place) substitute “Society”, and |
| |
(b) | omit “, with the concurrence of the Master of the Rolls,”. |
| 35 |
(3) | In subsection (2) for “Council” substitute “Society”. |
| |
35 (1) | Section 34 (accountants’ reports) is amended as follows. |
| |
(2) | For subsections (1) to (5A) substitute— |
| |
“(1) | The Society may make rules requiring solicitors to provide the |
| |
Society with reports signed by an accountant (in this section referred |
| 40 |
|
| |
|
| |
|
to as an “accountant’s report”) at such times or in such circumstances |
| |
as may be prescribed by the rules. |
| |
(2) | The rules may specify requirements to be met by, or in relation to, an |
| |
accountant’s report (including requirements relating to the |
| |
accountant who signs the report).” |
| 5 |
(3) | In subsection (6) for “this section or of any rules made under it” substitute |
| |
“any rules made under this section”. |
| |
(4) | Omit subsections (7) and (8). |
| |
| |
“(9) | Where an accountant, during the course of preparing an |
| 10 |
| |
(a) | discovers evidence of fraud or theft in relation to money held |
| |
by a solicitor for a client or any other person (including |
| |
money held on trust) or money held in an account of a client |
| |
of a solicitor, or an account of another person, which is |
| 15 |
operated by the solicitor, or |
| |
(b) | obtains information which the accountant has reasonable |
| |
cause to believe is likely to be of material significance in |
| |
determining whether a solicitor is a fit and proper person to |
| |
hold money for clients or other persons (including money |
| 20 |
held on trust) or to operate an account of a client of the |
| |
solicitor or an account of another person, |
| |
| the accountant must immediately give a report of the matter to the |
| |
| |
(10) | No duty to which an accountant is subject is to be regarded as |
| 25 |
contravened merely because of any information or opinion |
| |
contained in a report under subsection (9).” |
| |
36 | After section 34 insert— |
| |
| |
34A | Employees of solicitors |
| 30 |
(1) | Rules made by the Society may provide for any rules made under |
| |
section 31, 32, 33A or 34 to have effect in relation to employees of |
| |
solicitors with such additions, omissions or other modifications as |
| |
appear to the Society to be necessary or expedient. |
| |
(2) | If any employee of a solicitor fails to comply with rules made under |
| 35 |
section 31 or 32, as they have effect in relation to the employee by |
| |
virtue of subsection (1), any person may make a complaint in respect |
| |
of that failure to the Tribunal. |
| |
(3) | If any employee of a solicitor fails to comply with rules made under |
| |
section 34, as they have effect in relation to the employee by virtue of |
| 40 |
subsection (1), a complaint in respect of that failure may be made to |
| |
the Tribunal by or on behalf of the Society. |
| |
34B | Employees of solicitors: accounts rules etc |
| |
(1) | Where rules made under section 32(1) have effect in relation to |
| |
employees of solicitors by virtue of section 34A(1), section 85 applies |
| 45 |
|
| |
|
| |
|
in relation to an employee to whom the rules have effect who keeps |
| |
an account with a bank or building society in pursuance of such rules |
| |
as it applies in relation to a solicitor who keeps such an account in |
| |
pursuance of rules under section 32. |
| |
(2) | Subsection (3) applies where rules made under section 32— |
| 5 |
(a) | contain any such provision as is referred to in section 33(1), |
| |
| |
(b) | have effect in relation to employees of solicitors by virtue of |
| |
| |
(3) | Except as provided by the rules, an employee to whom the rules are |
| 10 |
applied is not liable to account to any client, other person or trust for |
| |
interest received by the employee on money held at a bank or |
| |
building society in an account which is for money received or held |
| |
| |
(a) | clients of the solicitor, other persons or trusts, generally, or |
| 15 |
(b) | that client, person or trust, separately. |
| |
(4) | Subsection (5) applies where rules made under section 33A(1) have |
| |
effect in relation to employees of solicitors by virtue of section |
| |
| |
(5) | The Society may disclose a report on or information about the |
| 20 |
accounts of any employee of a solicitor obtained in pursuance of such |
| |
| |
(a) | in investigating the possible commission of an offence by the |
| |
solicitor or any employees of the solicitor, and |
| |
(b) | in connection with any prosecution of the solicitor or any |
| 25 |
employees of the solicitor consequent on the investigation. |
| |
(6) | Where rules made under section 34 have effect in relation to |
| |
employees of solicitors by virtue of subsection (1), section 34(9) and |
| |
(10) apply in relation to such an employee as they apply in relation |
| |
| 30 |
37 | For section 36 (compensation fund) substitute— |
| |
| |
(1) | The Society may make rules concerning the grant of compensation |
| |
by the Society in respect of loss that a person has suffered, or is likely |
| |
to suffer, as a result of— |
| 35 |
(a) | an act or omission of a solicitor or former solicitor; |
| |
(b) | an act or omission of an employee or former employee of a |
| |
solicitor or former solicitor; |
| |
(c) | the exercise by the Society of any of its powers under Part 2 |
| |
| 40 |
(2) | The rules may (among other things) make provision— |
| |
(a) | as to the circumstances in which such grants may and may |
| |
| |
(b) | as to the form and manner in which a compensation claim is |
| |
| 45 |
(c) | as to the procedure for determining compensation claims; |
| |
|
| |
|