Office of Public Sector Information
Section 177
1 The Solicitors Act 1974 is amended in accordance with this Part of this Schedule.
2 In section 1A (practising certificates: employed solicitors)—
(a) omit “or” at the end of paragraph (b),
(b) in paragraph (c) omit “by the Council of the Law Society”, and
(c) at the end of that paragraph insert “or
(d) by any other person who, for the purposes of the Legal Services Act 2007, is an authorised person in relation to an activity which is a reserved legal activity (within the meaning of that Act).”
3 After section 1A insert—
(1) Rules under section 31 (rules as to professional practice etc) must provide that a solicitor may not practise as a sole solicitor unless he has in force—
(a) a practising certificate, and
(b) an endorsement of that certificate by the Society authorising him to practise as a sole solicitor (a “sole solicitor endorsement”).
(2) The rules may provide that, for the purposes of the rules and this Act, a solicitor is not to be regarded as practising as a sole solicitor in such circumstances as may be prescribed by the rules.
(3) The rules must prescribe the circumstances in which a solicitor may be regarded by the Society as suitable to be authorised to practise as a sole solicitor.”
4 In section 2 (training regulations)—
(a) in subsection (1) omit “, with the concurrence of the Secretary of State, the Lord Chief Justice and the Master of the Rolls,”,
(b) in subsection (3)(a)—
(i) in sub-paragraph (i) omit “, whether by service under articles or otherwise,”,
(ii) in sub-paragraph (v) omit “articles may be discharged or”, and
(iii) in that sub-paragraph after “be” (in the second place) insert “started or”, and
(c) omit subsections (4) and (5).
5 In section 3 (admission as solicitor), in subsection (2)—
(a) for “Master of the Rolls” (in each place) substitute “Society”, and
(b) for “his” substitute “its”.
6 In section 6 (keeping of the roll) omit subsections (2) to (4).
7 In section 7 (entry of name and restoration of name struck off)—
(a) for paragraph (a) substitute—
“(a) of written evidence of admission of any person as a solicitor by the Society,”, and
(b) for “Council” substitute “Society”.
8 (1) Section 8 (removal or restoration of name at solicitor’s request) is amended as follows.
(2) In subsection (2) for “Council” substitute “Society”.
(3) In subsection (4) for “Master of the Rolls” substitute “High Court”.
(4) After that subsection insert—
“(4A) In relation to an appeal under subsection (4) the High Court may make such order as it thinks fit as to payment of costs.
(4B) The decision of the High Court on an appeal under subsection (4) shall be final.”
(5) Omit subsection (5).
9 For sections 9 and 10 (applications for and issue of practising certificates) substitute—
(1) A person whose name is on the roll may apply to the Society to be issued with a practising certificate.
(2) An application under this section may include an application for a sole solicitor endorsement.
(3) An application under this section must be—
(a) made in accordance with regulations under section 28, and
(b) accompanied by the appropriate fee.
(4) “The appropriate fee”, in relation to an application, means—
(a) any fee payable under subsection (1) of section 11 in respect of the practising certificate applied for, and
(b) any additional fee payable under subsection (4) of that section in respect of the application.
(1) Subject to the following provisions of this section, where an application is made in accordance with section 9, the Society must issue a practising certificate to the applicant if it is satisfied that the applicant—
(a) is not suspended from practice, and
(b) is complying with any prescribed requirements imposed on the applicant.
(2) A practising certificate issued to an applicant of a prescribed description must be issued subject to any conditions prescribed in relation to applicants of that description.
(3) In such circumstances as may be prescribed, the Society must, if it considers it is in the public interest to do so—
(a) refuse to issue a practising certificate under this section, or
(b) where it decides to issue a practising certificate, issue it subject to one or more conditions.
(4) The conditions which may be imposed include—
(a) conditions requiring the person to whom the certificate is issued to take specified steps that will, in the opinion of the Society, be conducive to the carrying on by that person of an efficient practice as a solicitor (including, if the certificate has a sole solicitor endorsement, an efficient practice as a sole solicitor);
(b) conditions which prohibit that person from taking any specified steps, except with the approval of the Society.
(5) In this section —
“prescribed” means prescribed by regulations under section 28;
“specified”, in relation to a condition imposed on a practising certificate, means specified in the condition.”
10 After section 10 (as inserted by paragraph 9) insert—
(1) The Society must keep a register of all solicitors who hold practising certificates.
(2) The register must contain—
(a) the full name of each solicitor who holds a practising certificate,
(b) in relation to each solicitor who holds a practising certificate, a statement as to whether there is in force a sole solicitor endorsement, and
(c) such other information as may be specified in regulations under section 28(1)(d).”
11 For section 11 (fee payable on issue of practising certificate) substitute—
(1) Before a practising certificate is issued, there must be paid to the Society in respect of the certificate a fee of such amount as the Society may from time to time determine.
(2) Different fees may be specified for different categories of applicant and in respect of different circumstances.
(3) Subsection (4) applies where a solicitor makes an application for a practising certificate if—
(a) the solicitor has failed to deliver an accountant’s report required by rules under section 34(1) by such time or in such circumstances as may be prescribed by those rules, and
(b) a practising certificate has not been issued by the Society to the solicitor since the Society became aware of the failure.
(4) Where this subsection applies, the solicitor’s application must be accompanied by an additional fee of such amount as the Society from time to time determines.”
12 Omit section 12 (discretion of Society with respect to issue of practising certificates in special cases).
13 Omit section 12A (additional fee payable by certain solicitors on applying for practising certificates).
14 For section 13 (appeals in connection with issue of practising certificates) substitute—
(1) A person who makes an application under section 9 may appeal to the High Court against—
(a) a decision to refuse the application for a practising certificate,
(b) if the application included an application for a sole solicitor endorsement, a decision to refuse the application for the endorsement, or
(c) a decision to impose a condition on a practising certificate issued in consequence of the application.
(2) A person who holds a practising certificate subject to a condition within section 10(4)(b) may appeal to the High Court against any decision by the Society to refuse to approve the taking of any step for the purposes of that condition.
(3) The Society may make rules which provide, as respects any application under section 9 that is neither granted nor refused by the Society within such period as may be specified in the rules, for enabling an appeal to be brought under this section in relation to the application as if it had been refused by the Society.
(4) On an appeal under subsection (1), the High Court may—
(a) affirm the decision of the Society,
(b) direct the Society to make a sole solicitor endorsement on the applicant’s practising certificate and to issue that certificate subject to such conditions (if any) as the High Court may think fit,
(c) direct the Society to issue a certificate to the applicant free from conditions or subject to such conditions as the High Court may think fit,
(d) direct the Society not to issue a certificate,
(e) if a certificate has been issued, by order suspend it,
(f) if the certificate has been endorsed with a sole solicitor endorsement, by order suspend the endorsement, or
(g) make such other order as the High Court thinks fit.
(5) On an appeal under subsection (2), the High Court may—
(a) affirm the decision of the Society,
(b) direct the Society to approve the taking of one or more steps for the purposes of a condition within section 10(4)(b), or
(c) make such other order as the High Court thinks fit.
(6) In relation to an appeal under this section the High Court may make such order as it thinks fit as to payment of costs.
(7) The decision of the High Court on an appeal under subsection (1) or (2) shall be final.”
15 After section 13 insert—
(1) A solicitor whose practising certificate for the time being in force (his “current certificate”) does not have a sole solicitor endorsement, may apply to the Society for such an endorsement.
(2) For the purposes of subsection (1) a practising certificate with a sole solicitor endorsement which is suspended is to be treated as having such an endorsement.
(3) A solicitor may not apply under subsection (1) if he is suspended from practice as a sole solicitor.
(4) An application must be—
(a) made in accordance with regulations under section 28, and
(b) accompanied by any fee payable under section 13ZB in respect of the endorsement applied for.
(5) Where a sole solicitor endorsement is granted to an applicant of a prescribed description, the applicant’s practising certificate shall have effect subject to any conditions prescribed in relation to applicants of that description.
“Prescribed” means prescribed by regulations under section 28(3B)(f).
(6) A person who makes an application under this section may appeal to the High Court against—
(a) a decision to refuse the application, or
(b) a decision to impose a condition on a practising certificate in accordance with subsection (5).
(7) The Society may by rules make provision, as respects any application under this section that is neither granted nor refused by the Society within such period as may be specified in the rules, for enabling an appeal to be brought under this section in relation to the application as if it had been refused by the Society.
(8) On an appeal under this section the High Court may—
(a) affirm the decision of the Society,
(b) direct the Society to grant a sole solicitor endorsement,
(c) direct that the applicant’s practising certificate is to have effect subject to such conditions (if any) as the High Court thinks fit, or
(d) make such other order as the High Court thinks fit.
(9) In relation to an appeal under this section the High Court may make such order as it thinks fit as to payment of costs.
(10) The decision of the High Court on an appeal under this section shall be final.
(1) Before a sole solicitor endorsement is granted under section 13ZA, there must be paid to the Society in respect of the endorsement a fee of such amount as the Society may from time to time determine.
(2) Different fees may be specified for different categories of applicant and in different circumstances.
(3) If a fee payable under this section would not otherwise be a practising fee for the purposes of section 51 of the Legal Services Act 2007, it is to be treated for the purposes of that section as such a fee.
(4) In subsection (3) “practising fee” has the meaning given by that section.”
16 (1) Section 13A (imposition of conditions while practising certificates are in force) is amended as follows.
(2) For subsections (2) to (5) substitute—
“(2) The power conferred by subsection (1) is exercisable in relation to a solicitor at any time during the period for which the solicitor’s current certificate is in force if—
(a) under section 13ZA the Society grants a sole solicitor endorsement, or
(b) it appears to the Society that the case is of a prescribed description.
(3) “Prescribed” means prescribed by regulations under section 28.”
(3) In subsection (6) for “Master” to the end substitute “High Court against the decision of the Society.”
(4) In subsection (7)—
(a) for “Master of the Rolls” (in both places) substitute “High Court”, and
(b) for “he” substitute “it”.
(5) After that subsection insert—
“(7A) The decision of the High Court on an appeal under subsection (6) shall be final.”
(6) For subsection (8) substitute—
“(8) Subsections (4) and (5) of section 10 apply for the purposes of subsection (1) of this section as they apply for the purposes of that section.”
(7) After that subsection insert—
“(9) A solicitor who holds a practising certificate subject to a condition imposed under subsection (1) which prohibits that solicitor from taking any steps specified in the condition, except with the approval of the Society, may appeal to the High Court against any decision by the Society to refuse to approve the taking of any step for the purposes of that condition.
(10) On an appeal under subsection (9), the High Court may—
(a) affirm the decision of the Society,
(b) direct the Society to approve the taking of one or more steps for the purposes of the condition, or
(c) make such other order as the High Court thinks fit.
(11) The decision of the High Court on an appeal under subsection (9) shall be final.
(12) In relation to an appeal under this section the High Court may make such order as it thinks fit as to payment of costs.”
17 In section 13B (suspension of practising certificates where solicitors convicted of fraud or serious crime)—
(a) in subsection (1), after “practising certificate” insert “or sole solicitor endorsement”,
(b) in subsection (6), after “practice” insert “or from practice as a sole solicitor”,
(c) in subsection (7) for “Master of the Rolls” substitute “High Court”,
(d) in subsection (8)—
(i) for “Master of the Rolls” (in both places) substitute “High Court”,
(ii) in paragraph (b), for “shall not be suspended but” substitute “or sole solicitor endorsement shall not be suspended, but that the appellant’s certificate”, and
(iii) in paragraph (d) for “he” substitute “it”, and
(e) after that subsection insert—
“(9) In relation to an appeal under subsection (7) the High Court may make such order as it thinks fit as to payment of costs.
(10) The decision of the High Court on an appeal under subsection (7) shall be final.”
18 Omit section 14 (commencement, expiry and replacement of practising certificates).
19 In section 15 (suspension of practising certificates), in subsection (1A)—
(a) after “6(1)” insert “, 6A(1)”,
(b) after “1(1)(a)(i),” insert “(aa),”, and
(c) after “section” insert “31 or”.
20 (1) Section 16 (duration of suspension of practising certificates) is amended as follows.
(2) For subsection (1) substitute—
“(1) Where a practising certificate is suspended, it expires on such date as may be prescribed by regulations under section 28.”
(3) In subsection (3)(c) for “the replacement date of the certificate” substitute “the date on which his certificate will expire”.
(4) In subsection (5)—
(a) for “Master of the Rolls, who” substitute “High Court, which”, and
(b) in paragraph (b) for “he” substitute “it”.
(5) After that subsection insert—
“(6) In relation to an appeal under subsection (5) the High Court may make such order as it thinks fit as to payment of costs.
(7) The decision of the High Court on an appeal under subsection (5) shall be final.”
21 In section 17 (publicity in relation to suspension of practising certificates), in subsections (1) and (2) omit “in the London Gazette”.
22 After section 17 insert—
(1) The making by the Tribunal or by the court of an order suspending a solicitor from practice as a sole solicitor shall operate to suspend any sole solicitor endorsement of that solicitor for the time being in force.
(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).
(1) Where a sole solicitor endorsement is suspended, it expires on such 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 endorsement will expire,
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 section 16(3).
(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.
(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.”
23 For section 18 (evidence as to holding of practising certificates) substitute—
(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.
(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 section 10A,
is evidence of the matters stated.”
24 Omit section 19 (rights of practising and rights of audience).
25 For section 20 (unqualified person not to act as solicitor) substitute—
(1) No unqualified person is to act as a solicitor.
(2) Any person who contravenes subsection (1) is guilty of an offence and liable on conviction on indictment to imprisonment for not more than 2 years or to a fine, or to both.”
26 Omit—
(a) sections 22 and 22A (unqualified person not to prepare certain instruments etc), and
(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 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 “, 22 or 23”.
29 Omit section 27 (saving for persons authorised to conduct legal proceedings).
30 (1) Section 28 (regulations) is amended as follows.
(2) In subsection (1)—
(a) for “Master of the Rolls” substitute “Society”,
(b) omit “, with the concurrence of the Secretary of State and the Lord Chief Justice,”,
(c) in paragraph (c) omit “and applications for them”,
(d) after that paragraph insert—
“(ca) sole solicitor endorsements and applications for them,”, and
(e) in paragraph (d) for “section 9” substitute “section 10A”.
(3) Omit subsections (2) and (3).
(4) In subsection (3A)—
(a) for “may—” insert “may (among other things)—
(za) make provision about the form in which the roll is to 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 available to the public;
(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—
“(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;
(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;
(d) prescribe the requirements which applicants for practising certificates must satisfy before they may be issued with a practising certificate;
(e) prescribe descriptions of applicants, and conditions in relation to them, for the purposes of section 10(2) (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 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 public interest);
(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 relation to it);
(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 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.
Legal Services Act 2007