SRA Handbook

The registers, practising certificates and certificates of registration

Back to version 21

Version 5 of the Handbook was published on 01/10/2012. For more information, please click 'History' Above

Part 3: The registers, practising certificates and certificates of registration

Regulation 11: The register of holders of practising certificates

11.1

The SRA must keep a register of solicitors who hold practising certificates, which may be kept in electronic form.

11.2

The register must contain, in respect of each solicitor who holds a practising certificate, the following information:

(a)

full name as shown on the roll;

(b)

date of birth;

(c)

registration number;

(d)

any other legal profession of which the solicitor is a member and whether the solicitor is entitled to practise as a member of that profession;

(e)

date of admission as a solicitor;

(f)

the commencement and replacement dates for the solicitor's current practising certificate;

(g)

whether the solicitor is a recognised sole practitioner, and if so:

(i)

the registered name of the solicitor's sole practice; and

(ii)

any other practising styles used by the solicitor as a sole practitioner;

(h)

the solicitor's place or places of business, except in the case of a non-practising solicitor;

(i)

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

(j)

any condition to which the solicitor's practising certificate is subject;

(k)

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;

(l)

a note of any order of the Tribunal under section 47 of the SA 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

(m)

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

11.3

Public information

(a)

Entries in the register under 11.2(a), (c) to (h) and (j) to (m) must be available for inspection by any member of the public, except that the SRA may in exceptional circumstances and if it considers that to do so would be in the public interest, withhold:

(i)

the address of any or all a solicitor's places of business; or

(ii)

all information about a condition to which a solicitor's practising certificate is subject, or details of the condition.

(b)

The date on which a solicitor's practising certificate or authorisation as a recognised sole practitioner expired or was revoked must be made available to a member of the public on request.

Guidance note

(i)

Because sole practitioners are not authorised by means of endorsement on their practising certificate after 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, the register shows only suspensions of authorisation as a recognised sole practitioner occurring up to that date. For information on sole practitioner firms after that please refer to the register of authorised bodies (see Rule 34 of the SRA Authorisation Rules).

Regulation 12: The register of European lawyers

12.1

The SRA must keep a register of European lawyers, which may be kept in electronic form.

12.2

The register must contain, in respect of each REL, the following information:

(a)

full name;

(b)

date of birth;

(c)

registration number;

(d)

in relation to each Establishment Directive profession of which the lawyer is a member:

(i)

the professional title;

(ii)

the professional body; and

(iii)

whether the lawyer is entitled to practise as a member of that profession;

(e)

any other legal profession of which the lawyer is a member and whether the lawyer is entitled to practise as a member of that profession;

(f)

the date of initial registration;

(g)

the commencement and renewal dates for the current period of registration;

(h)

whether the lawyer is a recognised sole practitioner, and if so:

(i)

the registered name of the lawyer's sole practice; and

(ii)

any other practising styles used by the lawyer as a sole practitioner in the UK;

(i)

the lawyer's place or places of business in the UK;

(j)

any condition to which the lawyer's registration is subject;

(k)

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

(l)

a note of any order of the Tribunal under section 47 of the SA in respect of the lawyer, and a note of any order of the High Court or the Court of Appeal striking the lawyer off the register; and

(m)

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

12.3

Public information

(a)

Entries in the register under 12.2(a) and (c) to (m) must be available for inspection by any member of the public, except that the SRA may in exceptional circumstances and if it considers that to do so would be in the public interest, withhold:

(i)

the address of any or all an REL's places of business; or

(ii)

all information about a condition to which an REL's registration is subject or details of the condition.

(b)

The date on which an REL's registration or authorisation as a recognised sole practitioner expired or was revoked must be made available to a member of the public on request.

12.4

An REL whose name has changed may apply to the SRA to change his or her name on the register.

Guidance note

(i)

Because sole practitioners are not authorised by means of endorsement on their registration after 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, the register shows only suspensions of authorisation as a recognised sole practitioner occurring up to that date. For information on sole practitioner firms after that please refer to the register of authorised bodies (see Rule 34 of the SRA Authorisation Rules).

Regulation 13: The register of foreign lawyers

13.1

The SRA must keep a register of foreign lawyers, which may be kept in electronic form.

13.2

The register must contain, in respect of each RFL, the following information:

(a)

full name;

(b)

date of birth;

(c)

registration number;

(d)

in relation to each legal profession of which the lawyer is a member:

(i)

the professional title;

(ii)

the professional body; and

(iii)

whether the lawyer is entitled to practise as a member of that profession;

(e)

the date of initial registration;

(f)

the commencement and renewal dates for the current period of registration;

(g)

the registered name and place or places of business of:

(i)

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

(ii)

any licensed body of which the lawyer is a manager or owner; or

(iii)

any authorised non-SRA firm licensed under Part 5 of the LSA of which the lawyer is a manager or a material interest holder;

(h)

the registered name of any recognised sole practitioner, recognised body, licensed body or authorised non-SRA firm who or which is the lawyer's employer, and the address of the lawyer's place of employment;

(i)

any condition to which the lawyer's registration is subject;

(j)

a note about any suspension of the lawyer's registration, or the termination of such suspension;

(k)

a note of any order of the Tribunal in respect of the lawyer; and

(l)

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

13.3

Public information

(a)

Entries in the register under 13.2(a) and (c) to (l) must be available for inspection by any member of the public, except that the SRA may in exceptional circumstances and if it considers that to do so would be in the public interest, withhold:

(i)

the address of any or all an RFL's places of business; or

(ii)

all information about a condition to which an RFL's registration is subject or details of the condition.

(b)

The date on which an RFL's registration expired or was revoked must be made available to a member of the public on request.

13.4

An RFL whose name has changed may apply to the SRA to change his or her name on the register.

Regulation 14: Practising certificates and certificates of registration

14.1

Each practising certificate and each certificate of registration must specify:

(a)

the individual's full name;

(b)

its commencement date;

(c)

its replacement date;

(d)

in the case of a solicitor or REL who is authorised as a recognised sole practitioner, a statement to that effect; and

(e)

any condition to which the practising certificate or registration is subject, to the extent that it is public information under regulation 11, 12 or 13.

14.2

Every practising certificate or certificate of registration must be delivered to the applicant at the applicant's principal place of business or to such other address as may be specified by or on behalf of the applicant in writing, and may be delivered by post or electronically.