Applications to the Tribunal

Version 9 of the Handbook was published on 1 April 2014. For more information, please click "History" above.

Rule 10: Applications to the Tribunal

10.1

The SRA may make an application to the Tribunal in respect of a regulated person at any time, if the SRA is satisfied that:

(a)

there is sufficient evidence to provide a realistic prospect that the application will be upheld by the Tribunal;

(b)

the allegation to be made against the person under investigation either in itself or in the light of other allegations is sufficiently serious that the Tribunal is likely to order that the person:

(i)

be struck off;

(ii)

be suspended;

(iii)

be subject to an order revoking its recognition;

(iv)

pay a penalty exceeding the maximum that can be imposed from time to time by the SRA; or

(v)

be subject to any other order that the SRA is not empowered to make; and

(c)

it is in the public interest to make the application.

10.2

The SRA will apply rule 10.1 in accordance with a code for referral to the Tribunal as promulgated by the SRA from time to time.

10.3

An application to the Tribunal under rule 10.1 may be authorised by:

(a)

agreement between the person under investigation and the SRA;

(b)

a person duly authorised by the SRA;

(c)

a single adjudicator; or

(d)

an adjudication panel.

10.4

There is no right of appeal against authorisation of an application to the Tribunal.

10.5

Subject to any contrary order of the Tribunal, the SRA may exercise any investigative or other powers at any time before a final hearing of an application at the Tribunal, including those arising from:

(a)

sections 44B, 44BA, 44BB of the SA;

(b)

rules made by the Law Society or the SRA for the production of documents, information or explanations.

10.6

Nothing in these rules shall permit the SRA to make an application to the Tribunal in respect of a person over whom the Tribunal has no jurisdiction.