Change Tracker – Solicitors (Keeping of the Roll) Regulations 1999

1991-01-22
 

The Solicitors (Keeping of the Roll) Regulations 1999 have been replaced on the 6 October 2011 by the Solicitors Keeping of the Roll Regulations 2011 as part of the introduction of outcomes-focused regulation.

Go to SRA Handbook

The Solicitors (Keeping of the Roll) Regulations 1999 were amended on 1 July 2009 as part of a general updating of the rules to introduce firm-based regulation and legal disciplinary practices as provided for in the Legal Services Act 2007.

 
 

1. Authority and date

These regulations, dated 22nd January 1999, are made and amended under section 28 of the Solicitors Act 1974 by the Master of the Rolls with the concurrence of the Lord Chancellor and the Lord Chief Justice, and since 19 August 2003 amended under that section by the Master of the Rolls with the concurrence of the Secretary of State and the Lord Chief Justice.

2. Commencement and repeal

As from 1st February 1999 these regulations replace the Solicitors (Keeping of the Roll) Regulations 1989.

2A. The roll

The Solicitors Regulation Authority (SRA) shall continue to keep a list of all solicitors of the Supreme Court, called "the roll".

2B. Mode of keeping the roll

The roll will be kept in electronic form.

2C. Content of the roll

In respect of entries made or altered as from 1 July 2009, the roll must contain, in respect of each solicitor, the following information:

  • (a)

    full name, including title;

  • (b)

    date of birth;

  • (c)

    registration number;

  • (d)

    date of admission;

  • (e)

    principal place of business in the case of a practising solicitor;

  • (f)

    address for correspondence in the case of a non-practising solicitor;

  • (g)

    a note about any suspension of the solicitor from practice, or suspension of the solicitor's practising certificate, or suspension of the solicitor from practice as a sole practitioner, or suspension of the solicitor's authorisation as a recognised sole practitioner, or the termination of any such suspension;

  • (h)

    a note of any order of the Solicitors Disciplinary Tribunal under section 47 of the Solicitors Act 1974 in respect of the solicitor (or former solicitor), and a note of any order of the High Court or the Court of Appeal striking the solicitor off the roll; and

  • (i)

    any other reasonable information, necessary for carrying out the SRA's statutory objectives, from time to time prescribed by the SRA.

2D. Public access to information

  • (a)

    Entries on the roll under (a), (c), (d), (e), (g) and (h) must be available for inspection by any member of the public during office hours without charge, except that the SRA may in exceptional circumstances, and if it considers that to do so would be in the public interest, withhold the address of a solicitor's principal place of business.

  • (b)

    The date on which a solicitor's name was

    • (i)

      removed from or

    • (ii)

      struck off

    the roll must be made available to a member of the public on request.
 

3. Address for correspondence

When the SocietySRA writes to any person under these regulations it shall write to the solicitor's last notified address.

4. Annual enquiry

The SocietySRA shall once a year ask every solicitor without a practising certificate whether the solicitor wishes his or her name to remain on the roll.

5. Removal from the roll

The SocietySRA may remove from the roll the name of any solicitor who:

  • (a)

    replies, following an enquiry under regulation 4, that he or she does not wish to remain on the roll; or

  • (b)

    fails to reply within eight weeks to an enquiry under regulation 4; or

  • (c)

    fails, within eight weeks of an enquiry under regulation 4, to pay the fee prescribed by regulation 13(a) for remaining on the roll; or

  • (d)

    applies to have his or her name removed from the roll; or

  • (e)

    has died.

 

6. Application for restoration to the roll

  • (a)

    A person whose name has been removed from the roll may apply to the SocietySRA for his or her name to be restored to the roll.

  • (b)

    This regulation does not apply if:

    • (i)

      the Solicitors Disciplinary Tribunal has made an order prohibiting the restoration of the person's name to the roll except by order of the Tribunal; or

    • (ii)

      the person's name has been struck off the roll.

     
 

7. Application for change of name on the roll

A solicitor whose name has changed may apply to the SocietySRA to change his or her name on the roll.

8. Outstanding complaints

The SocietySRA may refuse to remove from or restore to the roll the name of a solicitor or former solicitor against whom there is an outstanding complaint.

9. Disciplinary proceedings

The SocietySRA shall not remove from or restore to the roll the name of any solicitor or former solicitor against whom disciplinary proceedings are pending before the Supreme Court or Tribunal.

10. Notice of intention to remove name

Where regulation 5(b) or (c) applies, the SocietySRA shall not remove a solicitor's name from the roll until it has notified the solicitor in writing that it intends to remove his or her name.

11. Letter of confirmation or notice of refusal

The SocietySRA shall write to a solicitor or former solicitor:

  • (a)

    confirming that his or her name on the roll has been removed from, restored to or changed on the roll; or

  • (b)

    giving notice that the SocietySRA has refused to remove from, restore to or change his or her name on the roll.

 

12. Forms

The SocietySRA may prescribe forms for replies or applications to the SocietySRA and in the case of an application under regulation 7 may require such evidence as it sees fit.

13. Fees

  • (a)

    Subject to paragraph (b) any reply, following an enquiry under regulation 4, that a solicitor wishes to remain on the roll must be accompanied by a fee of £20.

  • (b)

    No fee is payable under regulation 4 by any solicitor whose name has been on the roll for 50 years or more or for such shorter period as the SocietySRA may from time to time prescribe.

  • (c)

    Any application under regulation 6 for restoration of a person's name to the roll shall be accompanied by such fee as the SocietySRA may from time to time prescribe.

 

14. Appeals

  • (a)

    Any person who is aggrieved because:

    • (i)

      the SocietySRA has removed his or her name from the roll; or

    • (ii)

      the SocietySRA refused to remove his or her name from the roll; or

    • (iii)

      the SocietySRA refused to change his or her name on the roll

    may appeal to the Master of the RollsHigh Court under this regulation.

  • (b)

    Any person aggrieved by the Society'sSRA's refusal to restore his or her name to the roll under regulation 6 may appeal to the Master of the RollsHigh Court under section 8(4) of the Solicitors Act 1974.

  • (c)

    The procedure for any appeal is governed by the Master of the Rolls (Appeals and Applications) Regulations 2001, which state that an appeal must be made within four weeks of the Society SRA writing to confirm the removal or to give notice of the refusal.

  • (c)

    A person must invoke the SRA's own appeals procedure before appealing to the High Court under this regulation, and has the option of invoking the SRA's own appeals procedure before appealing to the High Court under section 8(4) of the Solicitors Act 1974.

  • (d)

    Appeals under the SRA's own appeals procedure must be commenced within 28 days of notification of the SRA's initial decision.

  • (e)

    Unless otherwise provided in rules of Court, an appeal to the High Court must be commenced within 28 days of notification of the relevant decision, whether that is the SRA's initial decision or a decision under the SRA's own appeals procedure.

  • (f)

    Under sections 8(4B) and 28(3F) of the Solicitors Act 1974 the decision of the High Court is final.

 

15. Amendment

With effect from the coming into force of section 59(1) of the Constitutional Reform Act 2005, the reference to solicitors of the Supreme Court shall be replaced by a reference to solicitors of the Senior Courts.