SRA Disciplinary Procedure Rules 2011 - Notification, Publication and Commencement
Version 2 (Superseded)

Version 2 of the Handbook was published on 23 December 2011, and was superseded by Version 3 on 18 April 2012.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.

Part 5: Notification, Publication and Commencement

Rule 14: Notification of Disqualification decisions

14.1

Where the SRA has:

(a)

decided to disqualify a person from acting as a HOLP or HOFA, or being a manager or employee of a licensed body;

(b)

reached a decision following an internal appeal or reconsideration of a decision to disqualify a person from acting as a HOLP or HOFA, or being a manager or employee of a licensed body; or

(c)

decided that a person's disqualification to act as a HOLP or HOFA, or to be a manager or employee of a licensed body, should cease to apply,

it shall, as soon as reasonably practicable, notify the Legal Services Board of the decision reached.

Rule 15: Publication of decisions

15.1

This rule governs the publication of details of a written rebuke or a direction to pay a penalty.

15.2

Subject to rule 15.4, publication in accordance with this rule:

(a)

will include a short statement of the disciplinary decision including brief details of its factual basis and the reasons for the decision;

(b)

will identify the person who has been subject to a relevant disciplinary decision;

(c)

will take reasonable steps to avoid the publication of information relating to other identifiable persons;

(d)

will provide the practising details of the person who has been subject to a relevant disciplinary decision at the time of the matters giving rise to the decision and at the time of decision if different;

(e)

will be in such form as the SRA may from time to time decide;

(f)

may include provision of a copy of the publishable information upon request by any person;

(g)

will be made promptly after the decision has been made, provided that the SRA may delay or withhold publication in the public interest.

15.3

The SRA may vary or dispense with any of the requirements in rule 15.2 in the public interest.

15.4

The SRA may not publish details of a written rebuke or a direction to pay a penalty:

(a)

during the period in which an appeal may be made under rules 11 or 12 above, section 44E of the SA, paragraph 14C of Schedule 2 to the AJA or section 96 of the LSA; or

(b)

if such an appeal has been made, until such time as it is determined or withdrawn.

15.5

For the avoidance of doubt, the SRA may also publish information about other decisions or investigations.

Rule 16: Application and repeal

16.1

Save for those matters to which the SRA Disciplinary Procedure Rules 2010 (the 2010 rules) apply in accordance with rule 16.2, these rules apply to acts or omissions whenever they occur, unless occurring wholly before 1 June 2010.

16.2

These rules repeal the 2010 rules, save that the 2010 rules shall continue to apply to matters in which an explanation has been sought or a report issued in accordance with rule 5 or 6 of those rules, or in which an SRA finding or application to the Tribunal has been made without an explanation having been sought or a report issued in accordance with rule 6(11) of those rules.

Rule 17: Transitional Provisions

17.1

These rules 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.

17.2

The rules shall not apply to the exercise of disciplinary powers in relation to:

(a)

licensed bodies, or managers or employees of licensed bodies; or

(b)

former managers or employees of licensed bodies;

until such time as the Society is designated as a licensing authority under Part 1 of Schedule 10 to the LSA.

17.3

In these rules references in the preamble to the rules being made under section 83 and Schedule 11 of the Legal Services Act 2007 shall have no effect until such time as the Law Society is designated as a licensing authority under Part 1 of Schedule 10 to the Legal Services Act 2007.