Information requirements, notifying third parties and review of decisions

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

Part 4: Information requirements, notifying third parties and review of decisions

Regulation 15: Information requirements

15.1

In addition to any requirements under section 84 of the SA or any other rules applicable by virtue of that Act, a solicitor, REL or RFL must inform the SRA within seven days if he or she:

(a)

is committed to prison in civil or criminal proceedings;

(b)

is charged with or convicted of an indictable offence;

(c)

is made the subject of bankruptcy proceedings;

(d)

makes a proposal for an individual voluntary arrangement or is a manager of a firm which makes a proposal for a company voluntary arrangement or a partnership voluntary arrangement under the Insolvency Act 1986;

(e)

is admitted as:

(i)

a member of a legal profession of a jurisdiction other than England and Wales;

(ii)

a lawyer of England and Wales other than a solicitor;

(f)

is made subject to disciplinary proceedings as:

(i)

a member of a legal profession of a jurisdiction other than England and Wales; or

(ii)

a lawyer of England and Wales other than a solicitor;

(g)

becomes:

(i)

a manager of or acquires any interest in a recognised body, or in an authorised non-SRA firm which is not licensed under Part 5 of the LSA;

(ii)

a manager or owner of a licensed body; or

(iii)

a manager of or acquires a material interest in an authorised non-SRA firm licensed under Part 5 of the LSA;

(h)

sets up a sole practice as:

(i)

a member of a legal profession of a jurisdiction other than England and Wales; or

(ii)

a lawyer of England and Wales other than a solicitor;

(i)

changes his or her name as shown on the register of holders of practising certificates, the register of European lawyers or the register of foreign lawyers, and must at the same time provide details of his or her new name.

15.2

A solicitor, REL or RFL who ceases to practise must inform the SRA within seven days and supply the SRA with a contact address.

Regulation 16: Notifying third parties of decisions

16.1

The SRA may, if it considers it in the public interest to do so, notify any or all of the following persons of a decision made under these regulations:

(a)

a recognised body, licensed body or an authorised non-SRA firm of which the solicitor, REL or RFL concerned is a manager, or in which he or she has any interest;

(b)

a recognised sole practitioner, recognised body, licensed body or authorised non-SRA firm of which the solicitor, REL or RFL concerned is an employee;

(c)

any approved regulator;

(d)

the Legal Services Board;

(e)

the Legal Ombudsman;

(f)

the regulatory body for any profession of which the solicitor, REL or RFL concerned is a member;

(g)

any law enforcement agency.

Regulation 17: Reconsideration

17.1

The SRA may reconsider or rescind a decision made under these regulations when it appears that the decision maker:

(a)

was not provided with material evidence that was available to the SRA;

(b)

was materially misled;

(c)

failed to take proper account of material facts or evidence;

(d)

took into account immaterial facts or evidence;

(e)

made a material error of law;

(f)

made a decision which was otherwise irrational or procedurally unfair;

(g)

made a decision which was otherwise ultra vires; or

(h)

failed to give sufficient reasons.

17.2

A decision may be reconsidered under 17.1 only on the initiative of the SRA.

17.3

The SRA may also give directions:

(a)

for further investigations to be undertaken;

(b)

for further information or explanation to be obtained; and

(c)

for the reconsideration to be undertaken by the original decision maker or by a different decision maker or panel.