SRA Code of Conduct 2011 - Application, waivers and interpretation - Transitional provisions
Version 2 (Superseded)

Version 2 of the Handbook was published on 23 December 2011, and was superseded by Version 3 on 18 April 2012. For more information, click "History" above.

Chapter 15: Transitional provisions

15.1

For the avoidance of doubt, where a breach of any provision of the Solicitors' Code of Conduct 2007 comes to the attention of the SRA after 6 October 2011, this shall be subject to action by the SRAnotwithstanding any repeal of the relevant provision.

15.2

From 31 March 2012, or the date on which an order made pursuant to section 69 of the LSA relating to the status of sole practitioners comes into force, whichever is the later, Chapter 13 shall have effect subject to the following amendment:

(a)

paragraphs 1(b)(iii) and 1(e) shall be omitted.

15.3

From 31 March 2012, or the date on which an order made pursuant to section 69 of the LSA relating to the status of sole practitioners comes into force, whichever is the later, Chapter 14 shall have effect subject to the following amendments:

(a)

in the definition of authorised body, the words, ", and include a sole practitioner authorised by the SRA" shall be inserted after "recognised body";

(b)

in the definition of manager the words "(ai) a sole practitioner;" shall be inserted before the words "(i) a member of an LLP;";

(c)

in the definition of practice, sub-paragraph (iv)(A) and, in sub-paragraph (vii) the words "or recognised sole practitioner" shall be omitted;

(d)

in the definition of separatebusiness, the words "recognised sole practitioner" shall be omitted;

(e)

the following shall be substituted for the definition of recognised body:

"means a legal services body recognised by the SRA under section 9 of the AJA, and includes a sole practitioner authorised by the SRA;";

(f)

the definition of recognised sole practitioner shall be omitted and the following definition inserted after the definition of "sole practitioner":

"sole practitioner authorised by the SRA" means a solicitor or RELauthorised by the SRAunder section 1B of the SA or section 9 of the AJAto practise as a sole practitioner;".

15.4

The SRA Code of Conduct shall not apply to licensed bodies until such time as the Society is designated as a licensing authority under Part 1 of Schedule 10 to the LSA and all definitions shall be construed accordingly.

15.5

References:

(a)

in the preamble, to:

(i)

the Code being made under section 83 of the Legal Services Act 2007, and

(ii)

licensed bodies and their managers and employees, and

(b)

in Chapter 10, to:

(i)

an application for a licence (O(10.2)),  and

(ii)

the role of COLP and COFA (O(10.12) and IB (10.8)),

shall have no effect until such time as the Society is designated as a licensing authority under Part 1 to Schedule 10 of the LSA.

15.6

In Chapter 8, the provision in IB(8.2) relating to multi-disciplinary practices, shall have no effect until such time as the Society is designated as a licensing authority under Part 1 of Schedule 10 to the LSA.