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In force since 2026-07-01, as the publisher states.
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Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.
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(1) The Council shall issue to a registered European lawyer on application being made by him, a registration certificate in accordance with rules made by them under section 24A. (2) The Council shall not issue a registration certificate to a registered European lawyer while his registration is suspended or withdrawn.
Propose a change(1) In any case where this section has effect, the applicant shall, unless the Council otherwise order, give to the Council, not less than 6 weeks before he applies for a renewal of a registration certificate, notice of his intention to do so; and the Council may in their discretion– (a) grant or refuse the application; or (b) decide to issue a registration certificate to the applicant subject to such conditions as the Council may think fit. (2) Subject to subsections (3) and (4) below, this section shall have effect in any case where a registered European lawyer applies for a renewal of a registration certificate– (a) not having held a registration certificate in force within the period of 12 months following the date of his registration; or (b) when a period of 12 months or more has elapsed since he held a registration certificate in force; or (c) without having paid in full any fine imposed on him under Part IV; or (d) without having paid in full any expenses for which he has been found liable under section 62A or Part IV; or (e) when, having been suspended from practice, the period of suspension has expired; or (f) when, having had his registration withdrawn, he has been registered again; or (g) after his estate has been sequestrated or he has granted a trust deed for behoof of creditors, whether he has obtained his discharge or not; or (h) when, after a complaint has been made– (i) relating to his conduct of the business of a client his attention has been drawn by the Council to the matter, and he has not replied or has not furnished a reply which would enable the Council to dispose of the matter; or (ii) of delay in disposal of the business of a client he has not completed that business within such period as the Council may fix as being a reasonable period within which to do so, and in either case has been notified in writing by the Council accordingly; or (i) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (3) Where a registration certificate free of conditions is issued by the Council under subsection (1) to a registered European lawyer to whom that subsection has effect by reason of any such circumstances as are mentioned in paragraphs (a), (b), (e), (f) or (g) of subsection (2), this section shall not thereafter have effect in relation to that registered European lawyer by reason of those circumstances. (4) Where the Council decide to issue a registration certificate subject to conditions, they may, if they think fit, postpone the issue of the registration certificate pending the hearing and determination of an appealunder section 24D.
Propose a change(1) Where– (a) an application for a registration certificate is duly made to the Council otherwise than in a case where section 24C has effect and the Council refuse or neglect to issue a registration certificate, the applicant; (b) the Council refuse to recognise a body corporate as being suitable in terms of section 34(1A) (b), the body corporate, may apply to the court, who may make such order in the matter as it thinks fit. (2) Where the Council in exercise of the power conferred on them by section 24C, refuse to issue a registration certificate, or issue a registration certificate subject to conditions, the applicant may appeal to the court against that decision within 14 days of being notified of it. (3) On an appeal to the court under subsection (2) the court may– (a) affirm the decision of the Council; or (b) direct the Council to issue a registration certificate to the applicant subject to such conditions if any as the court thinks fit; or (c) make such order as it thinks fit.
Propose a change(1) Every registration certificate issued in November of any year shall bear the date of 1st November in that year, and every other registration certificate shall bear the date on which it was issued. (2) Every registration certificate shall have effect from the date it bears under subsection (1). (3) Subject to subsection (4), every registration certificate shall expire on 31st October next after it is issued. (4) On the name of a registered European lawyer being withdrawn from the register or on a registered European lawyer being suspended from practice as a registered European lawyer, any registration certificate for the time being in force of that registered European lawyer shall cease to have effect, but in the case of suspension, if he ceases to be so suspended during the period for which the registration would otherwise have continued in force, the registration certificate shall thereupon again have effect.
Propose a change(1) If– (a) in pursuance of the Mental Health (Care and Treatment) (Scotland) Act 2003 a registered European lawyer is, by reason of mental disorder, detained in hospital; (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (c) the estate of a registered European lawyer is sequestrated; (d) a registered European lawyer grants a trust deed for behoof of creditors; (e) a judicial factor is appointed on the estate of a registered European lawyer; any registration certificate for the time being in force of that registered European lawyer shall cease to have effect, and he shall be suspended from practice as a registered European lawyer. (1A) The Council may suspend from practice a registered European lawyer who— (a) has been convicted of an offence involving dishonesty, or (b) in respect of an offence, has been— (i) fined an amount equivalent to level 4 on the standard scale or more (whether on summary or solemn conviction), or (ii) sentenced to imprisonment for a term of 12 months or more. (2) On the occurrence of any of the circumstances mentioned in subsection (1) or (1A) , the registered European lawyer in question shall intimate those circumstances to the Council in writing immediately. (3) On the occurrence of the circumstances mentioned in paragraph (d) or (e) of subsection (1) the trustee or as the case may be the judicial factor shall intimate his appointment to the Council in writing immediately.
Propose a change(1) The provisions of this section shall have effect in relation to a registration certificate which has ceased to have effect by virtue of section 24F during the period when that registration certificate would, but for that section, have continued in force. (2) A registration certificate which has ceased to have effect by virtue of paragraph (c) or (d) of section 24F(1) shall again have effect on the registered European lawyer being granted his discharge. (3) A registration certificate which has ceased to have effect by virtue of paragraph (e) of section 24F(1) shall again have effect on the judicial factor being granted his discharge. (4) Where a registered European lawyer is suspended from practice as a registered European lawyer by virtue of paragraph (a) . . . of section 24F(1), the period of suspension shall, for the purposes of section 24C(2)(e), expire on the registered European lawyer ceasing to be detained. . . . (4A) A suspension from practice arising by virtue of section 24F(1A) expires if the grounds for it no longer apply. (4B) On the occurrence of any of the circumstances mentioned in subsections (2) to (4A), the lawyer concerned must notify the Council in writing (and without delay). (5) Where a registered European lawyer is suspended from practice as a registered European lawyer by virtue of paragraph (c), (d) or (e) of section 24F(1) or by virtue of section 24F(1A) , he may at any time apply to the Council to terminate the suspension. (6) On an application under subsection (5), the Council may either– (a) grant the application with or without conditions; or (b) refuse the application. (7) If on an application by a registered European lawyer under subsection (5) the Council refuse the application or grant it subject to conditions, the registered European lawyer may appeal against the decision to the court, who may– (a) affirm the decision; or (b) vary any conditions imposed by the Council; or (c) terminate the suspension either with or without conditions.
Propose a changeEvery person qualified to practise as a solicitor in accordance with section 4 may practise as a solicitor in any court in Scotland.
Propose a change(1) Subject to regulations 6 and 11 of the European Communities (Lawyer’s Practice) (Scotland) Regulations 2000 as those regulations have effect by virtue of regulation 6 or 7 of the Services of Lawyers and Lawyer's Practice (EU Exit) (Scotland) (Amendment etc.) Regulations 2019 and without prejudice to section 103(8) of the Criminal Procedure (Scotland) Act 1995 (right of solicitor to appear before single judge) and section 48(2)(b) (extension of rights of audience by act of sederunt) of the Court of Session Act 1988, a solicitor who— (a) seeks a right of audience in, on the one hand, the Court of Session, the Supreme Court and the Judicial Committee of the Privy Council or, on the other hand, the High Court of Justiciary and the Judicial Committee of the Privy Council; and (b) has satisfied the Council as to the requirements provided for in this section, shall have a right of audience in those courts or, as the case may be, that court. (2) The requirements mentioned in subsection (1), in relation to the courts or, as the case may be, the court in which a solicitor seeks a right of audience, are that— (a) he has completed, to the satisfaction of the Council, a course of training in evidence and pleading in relation to proceedings in those courts or that court; (b) he has such knowledge as appears to the Council to be appropriate of— (i) the practice and procedure of; and (ii) professional conduct in regard to, those courts or that court; and (c) he has satisfied the Council that he is, having regard among other things to his experience in appropriate proceedings in the sheriff court, otherwise a fit and proper person to have a right of audience in those courts or that court. (3) Where a solicitor has satisfied the Council as to the requirements of subsection (2) in relation to the courts or, as the case may be, the court in which he seeks a right of audience the Council shall make an appropriate annotation on the roll against his name. (4) The Council shall make rules under this section as to— (a) the matters to be included in, the methods of instruction to be employed in, and the qualifications of the person who will conduct, any course of training such as is mentioned in subsection (2)(a); and (b) the manner in which a solicitor’s knowledge of the practice and procedure and professional conduct mentioned in subsection (2)(b) is to be demonstrated, and separate rules shall be so made in relation to, on the one hand, the Court of Session, the Supreme Court and the Judicial Committee of the Privy Council and, on the other hand, the High Court of Justiciary . . . . (5) The Council shall make rules of conduct in relation to the exercising of any right of audience held by virtue of this section. (6) Where a solicitor having a right of audience in any of the courts mentioned in subsection (1) is instructed to appear in that court, those instructions shall take precedence before any of his other professional obligations, and the Council shall make rules— (a) stating the order of precedence of those courts for the purposes of this subsection; (b) stating general criteria to which solicitors should have regard in determining whether to accept instructions in particular circumstances; and (c) securing, through such of their officers as they think appropriate, that, where reasonably practicable, any person wishing to be represented before any of those courts by a solicitor holding an appropriate right of audience is so represented, and for the purposes of rules made under this subsection the Inner and Outer Houses of the Court of Session, and the High Court of Justiciary exercising its appellate Jurisdiction, may be treated as separate courts. (7) Subsection (6) does not apply to an employed solicitor whose contract of employment prevents him from acting for persons other than his employer. (8) Subject to subsections (9) and (10), the provisions of section 34(2) and (3) apply to rules made under this section as they apply to rules made under that section and, in considering any rules made by the Council under subsection (5), the Lord President shall have regard to the desirability of there being common principles applying in relation to the exercising of rights of audience by all practitioners appearing before the Court of Session and the High Court of Justiciary. (9) The Council shall, after any rules made under subsection (4) have been approved by the Lord President, submit such rules to the Secretary of State, and no such rules shall have effect unless the Secretary of State, after consulting the CMA in accordance with section 64A, has approved them. (10) The Council shall, after any rules made under subsection (5) have been approved by the Lord President, submit such rules to the Secretary of State. (11) Where the Secretary of State considers that any rule submitted to him under subsection (10) would directly or indirectly inhibit the freedom of a solicitor to appear in court or undertake all the work preparatory thereto he shall consult the CMA in accordance with section 64A. (12) The Council may bring into force the rules submitted by them to the Secretary of State under subsection (10) with the exception of any such rule which he has, in accordance with section 64B, refused to approve. (13) Nothing in this section affects the power of any court in relation to any proceedings— (a) to hear a person who would not otherwise have a right of audience before the court in relation to those proceedings; or (b) to refuse to hear a person (for reasons which apply to him as an individual) who would otherwise have a right of audience before the court in relation to those proceedings, and where a court so refuses it shall give its reasons for that decision. (14) Where a complaint has been made that a solicitor has been guilty of professional misconduct in the exercise of any right of audience held by him by virtue of this section, the Council may, or if so requested by the Lord President shall, suspend him from exercising that right pending determination of that complaint under Part IV. (14A) Where the Commission makes a determination under section 9(1) of the 2007 Act upholding a services complaint against a solicitor, the Council may, if they consider that the complaint has a bearing on his fitness to exercise any right of audience held by him by virtue of this section and that it is appropriate to do so, suspend or revoke the right. (15) Where a function is conferred on any person or body by this section he or, as the case may be, they shall exercise that function as soon as is reasonably practicable.
Propose a change(1) Any solicitor to whom this subsection applies who or incorporated practice which upon the account or for the profit of any unqualified person— (a) acts as agent in any action or proceedings in any court, or (b) permits or suffers his or, as the case may be, its name to be made use of in any way in any such action or proceedings; or (c) subject to subsection (4), draws or prepares any writ to which section 32 applies, or (d) subject to subsection (4), permits or suffers his or, as the case may be, its name to be made use of in the drawing or preparing of any such writ; or (e) does any other act to enable that person to appear, act or practise in any respect as a solicitor or notary public, knowing that person not to be a qualified solicitor or notary public, as the case may be, shall be guilty of an offence. (2) Subsection (1) applies to any solicitor , registered foreign lawyer or registered European lawyer pursuing professional activities within the meaning of the European Communities (Lawyer’s Practice) (Scotland) Regulations 2000, not being a solicitor , registered foreign lawyer or registered European lawyer pursuing professional activities within the meaning of the European Communities (Lawyer’s Practice) (Scotland) Regulations 2000who is employed full-time on a fixed salary by a body corporate or employed by a law centre, a citizens advice body or a charity. (3) In this section “person” includes a body corporate but “unqualified person” does not include a licensed legal services provider, an incorporated practice , registered foreign lawyer, multi national practice or a registered European lawyer pursuing professional activities within the meaning of the European Communities (Lawyer’s Practice) (Scotland) Regulations 2000. (4) Subsection (1)(c) and (d) shall not apply in relation to— (a) writs relating to heritable or moveable property drawn or prepared upon the account of or for the profit of independent qualified conveyancers providing conveyancing services within the meaning of section 23 (interpretation of sections 16 to 22) of the Law Reform (Miscellaneous Provisions) (Scotland) Act 1990; or (b) papers to found or oppose an application for a grant of confirmation in favour of executors drawn or prepared upon the account of or for the profit of an executry practitioner or recognised financial institution providing executry services within the meaning of the said section 23. (5) In this section, any reference to the European Communities (Lawyer's Practice) (Scotland) Regulations 2000 is to those Regulations as they have effect by virtue of the Services of Lawyers and Lawyer's Practice (EU Exit) (Scotland) (Amendment etc.) Regulations 2019.
Propose a changeAny person who— (a) has been struck off the roll; or (b) suspended from practice as a solicitor ; or (c) has had his registration as a registered European lawyer withdrawn; or (d) has been suspended from practice as a registered European lawyer; or (e) has had his registration as a registered foreign lawyer withdrawn; or (f) has been suspended from practice as a registered foreign lawyer, and while so disqualified from practice seeks or accepts employment by a solicitor in connection with that solicitors practice or by an incorporated practiceor multi-national practice an authorised legal business without previously informing him or, as the case may be, it that he is so disqualified, shall be guilty of an offence.
Propose a changeWhere a solicitor or an incorporated practice, authorised by and acting for a client employs another solicitor or incorporated practice or a licensed legal services provider he or, as the case may be, it shall (whether or not he or, as the case may be, it discloses the client) be liable to the employed party for that party's fees and outlays, unless at the time of the employment he or, as the case may be, it expressly disclaims any such liability.
Propose a change(1) Any . . . person (including a body corporate) who , not having the relevant qualification,either by himself or together with others, wilfully and falsely— (a) pretends to be a solicitor or notary public; or (aa) pretends to be a registered European lawyer; or (ab) pretends to be a registered foreign lawyer; or (b) takes or uses any name, title, addition or description implying that he is duly qualified to act as a solicitor or a notary public , registered European lawyer or registered foreign lawyer, as the case may be, or recognised by law as so qualified; shall be guilty of an offence. ... (2) Any person (including a body corporate) who either by himself or together with others, wilfully and falsely— (a) pretends to be an incorporated practice; (b) takes or uses any name, title, addition or description implying that he is an incorporated practice, shall be guilty of an offence. (2A) This section does not apply to an incorporated practice. (2B) This section does not apply in relation to the taking or using by a licensed legal services provider of a name, title, addition or description if the licensed provider has the Society's written authority for using it. (2C) For the purpose of subsection (2B), the Council are to make rules which— (a) set the procedure for getting the Society's authority (and specify the conditions that the Society may impose if it gives that authority), (b) specify the grounds on which the Society may refuse to give that authority (and require the Society to give reasons in writing if it refuses to give that authority). (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Propose a change(1) Subject to the provisions of this section and regulations 6, 11, 12 and 13 of the European Communities (Lawyer’s Practice) (Scotland) Regulations 2000 as those regulations have effect by virtue of regulation 6 or 7 of the Services of Lawyers and Lawyer's Practice (EU Exit) (Scotland) (Amendment etc.) Regulations 2019, any unqualified person (including a body corporate) who draws or prepares— (a) any writ relating to heritable or moveable estate; or (b) any writ relating to any action or proceedings in any court; or (c) any papers on which to found or oppose an application for a grant of confirmation in favour of executors, shall be guilty of an offence. (2) Subsection (1) shall not apply— (a) to an unqualified person if he proves that he drew or prepared the writ or papers in question without receiving, or without expecting to receive, either directly or indirectly, any fee, gain or reward (other than by way of remuneration paid under a contract of employment); or (b) to an advocate; or (c) to any public officer drawing or preparing writs in the course of his duty; or (d) to any person employed merely to engross any writ or (e) an incorporated practice ; or (ea) a licensed legal services provider; ; or (f) to a member of a body which has made a successful application under section 25 of the 1990 Act but only to the extent to which the member is exercising rights acquired by virtue of section 27 of that Act (2A) Subsection (1)(a) shall not apply to — (a) a “conveyancing practitioner” providing conveyancing services within the meaning of section 23 of the Law Reform (Miscellaneous Provisions) (Scotland) Act 1990. (b) an approved lay representative within the meaning of section 5F of the Heritable Securities (Scotland) Act 1894 or section 24E of the Conveyancing and Feudal Reform (Scotland) Act 1970 (lay representation in proceedings by creditors for repossession of residential property) while acting in pursuance of the section in question. (2B) Subsection (1)(b) shall not apply to a person who is, by virtue of an act of sederunt made under section 32 (power of Court of Session to regulate procedure) of the Sheriff Courts (Scotland) Act 1971, permitted to represent — (a) a party to a summary cause; (b) a debtor or hirer in proceedings for— (i) a time order under section 129 of the Consumer Credit Act 1974 (time orders); or (ii) variation or revocation, under section 130(6) of that Act (variation and revocation of time orders), of a time order made under section 129; (c) a law centre, a citizens advice body or a charity. (2C) Subsection (1)(c) shall not apply to an executry practitioner or a recognised financial institution providing executry services within the meaning of section 23 of the Law Reform (Miscellaneous Provisions) (Scotland) Act 1990. (3) In this section “writ” does not include— (a) a will or other testamentary writing; (b) a documentin re mercatoria, missive or mandate; (c) a letter or power of attorney; (d) a transfer of stock containing no trust or limitation thereof. (4) For the purposes of this section, “ unqualified person ” includes a registered foreign lawyer.
Propose a change(1) Subject to the provisions of regulations 12 and 13 of the European Communities (Lawyer’s Practice) (Scotland) Regulations 2000 as those regulations have effect by virtue of regulation 6 or 7 of the Services of Lawyers and Lawyer's Practice (EU Exit) (Scotland) (Amendment etc.) Regulations 2019, no fee, reward, outlay or expenses on account of or in relation to any act or proceeding done or taken by any person who— (a) acts as a solicitor or as a notary public without being duly qualified so to act; or (b) not being so qualified, . . . frames or draws any writs to which section 32 applies, shall be recoverable by any person in any action or matter. (2) This section does not apply to an incorporated practice or a licensed legal services provider or in relation to writs framed or drawn by a person who is, by virtue of an act of sederunt made under section 32 of the Sheriff Courts (Scotland) Act 1971, permitted to represent a party to a summary cause.
Propose a change(1) Any communication made to or by an incorporated practice in the course of its acting as such for a client shall in any legal proceedings be privileged from disclosure in like manner as if the body had at all material times been a solicitor acting for the client. (2) Any enactment or instrument making special provision in relation to a solicitor or other legal representative as to the disclosure of information, or as to the production, seizure or removal of documents, with respect to which a claim to professional privilege could be maintained, shall, with any necessary modifications, have effect in relation to an incorporated practice as it has effect in relation to a solicitor.
Propose a change(1) Any communication made to or by a registered foreign lawyer in the course of his actings as such for a client shall in any legal proceedings be privileged from disclosure in like manner as if the registered foreign lawyer had at all material times been a solicitor acting for a client. (2) Any enactment or instrument making special provision in relation to a solicitor or other legal representative as to the disclosure of information, or as to the production, seizure or removal of documents, with respect to which a claim to professional privilege could be maintained, shall, with any necessary modifications, have effect in relation to a registered foreign lawyer as it has effect in relation to a solicitor.
Propose a change(1) Any communication made to or by a law centre, a citizens advice body or a charity in the course of its providing legal services to a client will in any legal proceedings be privileged from disclosure in like manner as if the law centre, citizens advice body or charity (as the case may be) had at all material times been a solicitor providing legal services to a client. (2) Any enactment or instrument making special provision in relation to a solicitor or other legal representative as to the disclosure of information, or as to the production, seizure or removal of documents, with respect to which a claim to professional privilege could be maintained, will, with any necessary modifications, have effect in relation to a law centre, a citizens advice body or a charity in the course of its providing legal services to a client as it has effect in relation to a solicitor. (3) This section is without prejudice to any other enactment or rule of law concerning professional or other privilege from disclosure (in particular, as applicable in relation to a solicitor).
Propose a change(1) Subsection (2) applies to any rule made under section 34 which prohibits or unduly restricts the— (a) involvement of solicitors in or with, or employment of solicitors by, licensed legal services providers, (b) provision of services by licensed providers, or (c) operation of licensed providers in other respects. (2) The rule is of no effect in so far as it does so (and for this purpose it is immaterial when the rule was made). (3) The reference in subsection (1)(a) to solicitors does not include a solicitor who is disqualified from practice by reason of having been— (a) struck off (or removed from) the roll, or (b) suspended from practice.
Propose a change(1) Subsection (2) applies to any rule made under section 34 that prohibits or unduly restricts the— (a) involvement of solicitors in or with, or employment of solicitors by, law centres, citizens advice bodies or charities, or (b) provision of legal services by law centres, citizens advice bodies or charities. (2) The rule is of no effect in so far as it does so (and for this purpose it is immaterial when the rule was made). (3) The reference in subsection (1)(a) to solicitors does not include a solicitor who is disqualified from practice by reason of having been— (a) struck off (or removed from) the roll, or (b) suspended from practice.
Propose a change(1) Subject to subsections (2) and (3) of this section and section 41 of the Regulation of Legal Services (Scotland) Act 2025, the Council may, if they think fit, make rules for regulating in respect of any matter the professional practice, conduct and discipline of solicitors and incorporated practices authorised legal businesses (including incorporated practices). (1A) Rules made under this section may— (a) provide as to the management and control by— (i) solicitors holding practicing certificates or their executors; (ii) other incorporated practices. of bodies corporate carrying on businesses consisting of the provision of professional services such as are provided by individuals and firms practicing as solicitors being bodies the membership of which is restricted to such solicitors, executors and other incorporated practices; (b) prescribe the circumstances in which such bodies may be recognised by the Council as being suitable to undertake the provision of any such services; (c) prescribe the conditions which (subject to any exceptions provided by the rules) must at all times be satisfied by bodies corporate so recognised if they are to remain so recognised (which bodies, when and for so long as so recognised, are in this Act referred to as “incororated practices”; (d) regulate the conduct of the affairs of incorporated practices; and (da) in the event that a body corporate is no longer recognised as an incorporated practice, require the review or withdrawal of its authorisation to provide legal services as a legal business, and (e) provide— (i) for the manner and form in which applications for recognition under this section are to be made, and for the payment of fees in connection with such applications for recognition under this section are to be made, and for the payment of fees in connection with such applications; (ii) for regulating the names that may be used by incorporated practices; (iii) as to the period for which any recognition granted under this section shall (subject to the provisions of this Act) remain in force; (iv) for the revocation of any such recognition on the grounds that it was granted as a result of any error or fraud; (v) for the keeping by the Society of a list containing the names and places of business of all incorporated practices and for the information contained in any such list to be available for inspection; (vi) for rules made under any provision of this Act to have effect in relation to incorporated practices with such additions, omissions or other modifications as appear to the Council to be necessary or expedient; (vii) for empowering the Council to take such steps as they consider necessary or expedient to ascertain whether or not any rules applicable to incorporated practices by virtue of this section are being complied with; and (f) make such additional or different provision as the Council think fit in relation to solicitors who have an interest in or are employed by (or otherwise within) licensed legal services providers. (1B) Rules made under this section may– (a) prevent a solicitor from entering a multi-national practice without the approval of the Council; and (b) make different provision for the regulation of solicitors and registered foreign lawyers in a multi-national practice in the following different cases– (i) where the principal place of business of the practice is outside Scotland and it has a place of business in Scotland; (ii) where the principal place of business of the practice is in Scotland and it has a place of business outside Scotland; (iii) where the principal place of business of the practice is in Scotland and it has no place of business outside Scotland. (1C) For the purposes of subsection (1B)(b), the principal place of business of a multi-national practice shall be determined by the Council who shall take into account factors set out in rules which may be made under this section. (1D) Rules made under this section may make provision as to— (a) the way in which solicitors and incorporated practices authorised legal businesses are to comply with the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017; (b) the action which the Council may take to enable them to ascertain whether or not such rules are being complied with; and (c) the recovery from solicitors of fees and other costs incurred by the Council in ascertaining whether or not a solicitor who has failed to comply with such rules has remedied that failure and is complying with the rules. (2) The Council shall, before making any rules under this section or section 35— (a) send to each member of the Society a draft of the rules; and (b) thereafter submit the draft rules to a meeting of the Society; and (c) take into consideration any resolution passed at that meeting relating to amendments to the draft rules. (3) Rules made under this section or section 35 shall not have effect unless the Lord President after considering any objections he thinks relevant has approved the rules so made. (3A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (4ZA) If any solicitor fails to comply with any rule made under this section, that failure may be treated as professional misconduct or unsatisfactory professional conduct. (4A) A certificate purporting to be signed by an officer of the Society and stating that any body corporate is or is not an incorporated practice shall, unless the contrary is proved, be sufficient evidence of that fact. (4B) Subject to the provisions of this Act, the Secretary of State may, by order made by statutory instrument subject to annulment in pursuance of a resolution of either House of Parliament, provide for any enactment or instrument passed or made before the commencement of section (1A) above and having effect in relation to solicitors to have effect in relation to incorporated practices with such additions, omissions, or other modifications as appear to him to be necessary or expedient. (4C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (4D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Propose a change(1) The Council shall, subject to section 34(2) and (3), make rules (in this Act referred to as “accounts rules”)— (a) as to the opening and keeping by solicitors and incorporated practices authorised legal businesses of accounts and deposits at the banks specified in subsection (2) or with a building society for moneys not belonging to them received by them in the course of their practice; (b) as to the opening and keeping by solicitors and incorporated practices authorised legal businesses of— (i) a deposit or share account with a building society. . . , or (ii) an account showing sums on loan to a local authority, being in either case for a client whose name is specified in the title of the account; (c) as to the keeping by solicitors and incorporated practices authorised legal businesses of books and accounts containing particulars and information as to money not belonging to them received, held or paid by them in the course of their practice;. . . (d) as to the action which the Council may take to enable them to ascertain whether or not the rules are being complied with ; and (da) as to which solicitor is (or solicitors are) responsible for ensuring compliance with the rules made under this section on behalf of an authorised legal business, and (e) as to the recovery from solicitors or authorised legal businesses of fees and other costs incurred by the Council in ascertaining whether or not a solicitor who an authorised legal business which has failed to comply with the accounts rules has remedied that failure and is complying with the rules. (2) The banks mentioned in paragraph (a) of subsection (1) are— (a) the Bank of England; (b) . . . (c) the National Savings Bank; (d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (e) a person (other than a building society) who has permission under Part 4 of the Financial Services and Markets Act 2000 to accept deposits; (ea) an EEA firm of the kind mentioned in paragraph 5(b) of Schedule 3 to the Financial Services and Markets Act 2000 which has permission under paragraph 15 of that Schedule (as a result of qualifying for authorisation under paragraph 12 of that Schedule) to accept deposits; (f) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . and the rules may specify the location of the banks’ or companies’ branches at which the accounts are to be kept. (2A) Paragraphs (e) and (ea) of subsection (2) must be read with— (a) section 22 of the Financial Services and Markets Act 2000; (b) any relevant order under that section; and (c) Schedule 2 to that Act. (3) If any solicitor fails to comply with any rule made under this section that failure may be treated as professional misconduct or as unsatisfactory professional conduct.. (4) Rules made under this section shall not apply to a solicitor— (a) who is in employment as solicitor to a Minister of the Crown or a Government Department or as an assistant or officer appointed to act under the direction of such solicitor; or (b) who is in employment to which Part V of the Legal Aid (Scotland) Act 1986 applies; (c) who is in employment in an office connected with the administration of a local authority or a statutory undertaking or a designated body to which he has been appointed by the authority or the statutory undertakers or the persons responsible for the management of that body by reason of his being a solicitor, so far as regards monies received, held or paid by him in the course of that employment. In this subsection— “local authority” means a local authority within the meaning of the Local Government (Scotland) Act 1973; “statutory undertakers” means any persons (including a local authority) authorised by any enactment or statutory order or any scheme made under or confirmed by an enactment to construct, work or carry on any railway, light railway, tramway, road transport, water transport, canal, inland navigation, dock, harbour, pier or lighthouse undertaking or any undertaking for the supply of gas, electricity, hydraulic power or water; “designated body” means any body whether corporate or unincorporate for the time being designated by the Council for the purposes of this section.
Propose a change(1) Accounts rules shall make provision for requiring a solicitor or an incorporated practice an authorised legal business, in such cases as may be prescribed by the rules,. . . (a) to keep in a separate deposit or savings account at a bank or with a building society, or on a separate deposit receipt at a bank, for the benefit of the client money received for or on account of a client; or (aa) to keep in— (i) a deposit or share account with a. . . building society; or (ii) an account showing sums on loan to a local authority, being in either case an account kept by the solicitor in his or, as the case may be, the incorporated practice authorised legal business in itsown name for a specified client, money so received; or (b) to make good to the client out of the solicitor’s or, as the case may be, the incorporated practice’s authorised legal business’s own money a sum equivalent to the interest which would have accrued if the money so received had been kept as mentioned in paragraph (a) or (aa). (2) The cases in which a solicitor or incorporated practice an authorised legal business may be required to act as mentioned in subsection (1) may be defined among other things by reference to the amount of any sum received or balance held or the period for which it is or is likely to be retained or held or both; and the rules may include provision for enabling a client (without prejudice to any other remedy) to require that any question arising under the rules in relation to the client’s money be referred to and determined by the Society. (3) Except as provided by the rules, a solicitor or incorporated practice an authorised legal business shall not be liable by virtue of the relation between solicitor and client to account to any client for interest received by the solicitor or, as the case may be, the incorporated practice authorised legal business on monies lodged in an account at a bank or with a building society, or on deposit receipt, at a bank, being monies received or held for or on account of his or, as the case may be, its clients generally. (4) Nothing in this section or in the rules shall affect any arrangement in writing whenever made between a solicitor and his client or an incorporated practice an authorised legal business (or any solicitor acting on its behalf) and its client as to the application of the client’s money or interest on it.
Propose a change(1) This section shall have effect for the purpose of securing satisfactory evidence of compliance with the accounts rules. (2) Subject to the following provisions of this section, every solicitor and incorporated practice authorised legal business to whom the accounts rules apply shall, in accordance with the rules made under subsection (3), deliver to the Council a certificate by an accountant (in this section referred to as an “accountant’s certificate”). (3) The Council shall make rules (in this Act referred to as “accountant’s certificate rules”) prescribing— (a) the qualifications to be held by an accountant by whom an accountant’s certificate may be given; (b) the nature and extent of the examination to be made by an accountant of the books and accounts of a solicitor or his firm or of an incorporated practice an authorised legal business and of any other relative documents with a view to the signing of an accountant’s certificate; (c) the intervals at which an accountant’s certificate shall be delivered to the Council, not being more frequent than once in each practice year; (d) the accounting period for which an accountant’s certificate shall be delivered or the different accounting periods for which in different circumstances an accountant’s certificate shall be delivered; (e) the period within which an accountant’s certificate shall be delivered; and (f) the form and content of an accountant’s certificate. (3A) The accountant’s certificate rules must include rules providing for a particular solicitor (or solicitors) to be responsible for ensuring compliance with the rules on behalf of an authorised legal business. (4) The accountant’s certificate rules may include such other provisions as the Council consider necessary or proper for the purpose of giving effect to the foregoing provisions of this section and for regulating any incidental, consequential or supplementary matters. (5) The delivery of an accountant’s certificate in pursuance of subsection (2) shall not be required in the case of— (a) a solicitor who or incorporated practice an authorised legal business which, in agreement with the Council, furnishes to the Council and keeps in force a fidelity bond by an insurance office or other institution accepted by the Court as cautioners for a judicial factor appointed by the Court for such amount as the Council may determine, guaranteeing the intromissions of the solicitor or his firm or, as the case may be, of the incorporated practice the authorised legal business with money held by him or them or, as the case may be, it for or on behalf of clients; or (b) a solicitor or incorporated practice who an authorised legal business which satisfies the Council that during the accounting period to which the accountant’s certificate would ordinarily relate he has not in the course of his practice or, as the case may be, it has not held or received any money on behalf of clients. (6) If the Council are of the opinion that satisfactory evidence of compliance with the accounts rules for the time being in force will be secured by some method other than by delivery of an accountant’s certificate under subsection (2), they may make rules— (a) prescribing— (i) that other method; (ii) the terms and conditions to be observed in connection therewith; and (iii) the procedure to be followed by solicitors or incorporated practices authorised legal businesses desiring to adopt that other method, and (b) containing such incidental, consequential and supplementary provisions relative thereto as the Council may consider necessary or proper; and a solicitor who satisfies the Council that he or, as the case may be, an incorporated practice authorised legal business which satisfies the Council that it is complying with rules made under this subsection shall not be required to deliver an accountant’s certificate in pursuance of subsection (2). (7) A certificate under the hand of the secretary of the Society certifying that a specified solicitor or incorporated practice authorised legal business has or has not, as the case may be, delivered to the Council an accountant’s certificate, or supplied any evidence required from him or, as the case may be, it under this section or under the accountant’s certificate rules or, as the case may be, under any rules made under subsection (6), shall, unless the contrary is proved, be evidence of the fact so certified. (8) Failure by a solicitor to comply with any provision of this section or of the accountant’s certificate rules or of any rules made under subsection (6), so far as applicable to him, may be treated as professional misconduct or as unsatisfactory professional conduct.
Propose a change(1) An annual accounts fee (the “accounts fee”) and an annual anti-money laundering fee (the “anti-money laundering fee”) are to be paid by each — (a) solicitor who is required by paragraph 1 of Schedule 3 (as read with section 43(7)) to pay an annual contribution on behalf of the Guarantee Fund, (b) incorporated practice authorised legal business that is required by that paragraph of that Schedule to pay an annual corporate contribution on that behalf. (2) The accounts fee and the anti-money laundering fee are also to be paid by each— (a) registered European lawyer or registered foreign lawyer who is required by virtue of paragraph 1A or 1B of that Schedule to pay an annual contribution on that behalf, (b) multi-national practice to which the accounts rules apply by virtue of an enactment. (3) The accounts fee is to be set by the Council for the purpose of funding the exercise of their function of securing compliance (by the categories specified in subsections (1) and (2)) with the accounts rules. (3A) The anti-money laundering fee is to be set by the Council for the purpose of funding the exercise of their functions of— (i) complying with the Oversight of Professional Body Anti-Money Laundering and Counter Terrorist Financing Supervision Regulations 2017, and (ii) securing compliance (by the categories specified in subsections (1) and (2)) with the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017. (4) The accounts fee and the anti-money laundering fee are to be— (a) set— (i) no later than 30 September each year in respect of the 12 month period beginning with 1 November that year, or (ii) by reference to such other dates as the Council may fix, (b) paid to the Council by such date as they may fix. (5) The accounts fee and the anti-money laundering fee may be set— (a) so as to involve different amounts (including nil) for different— (i) categories (as specified in subsections (1) and (2)), (ii) circumstances (by reference to all relevant factors), (b) in the case of incorporated practices authorised legal businesses, by particular reference to the number of solicitors that they have as owners, partners, directors, members or employees. (6) The Council may take such steps as they consider necessary for recovering the accounts fee and the anti-money laundering fee due in accordance with this section.
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Propose a change(1) This section applies where the Council are satisfied, in the case of any solicitor or incorporated practice authorised legal business, after inquiry and after giving the solicitor or incorporated practice authorised legal business an opportunity of being heard, that the solicitor or incorporated practice authorised legal business has issued an account for professional fees and outlays of an amount which is grossly excessive (whether or not the account has been paid by or on behalf of the client or debited by the solicitor or incorporated practice authorised legal business to the account of any sums held on behalf of the client). (2) Where this section applies the Council may— (a) in the case of a solicitor, withdraw his practising certificate; or (b) in the case of an incorporated practice authorised legal business, withdraw the practising certificates of all or any of the solicitors who are owners, partners or directors of the incorporated practice authorised legal business; and a certificate so withdrawn shall cease to have effect and the solicitor shall be suspended from practice as a solicitor. (3) On being satisfied by the solicitor or, as the case may be, incorporated practice authorised legal business that he or it has complied with the requirements of subsection (4) the Council, unless they are of the opinion that the solicitor or incorporated practice is liable to disciplinary proceedings under Part IV, shall terminate the suspension from practice of the solicitor or solicitors concerned and shall restore to him or them any practising certificates held by him or them for the practice year then current. (4) The requirements referred to in subsection (3) are— (a) to submit the account to the Auditor of the Court of Session for taxation together with all documents in the possession or control of the solicitor or incorporated practice authorised legal business which relate to the matters in respect of which the account was issued; and (b) to refund to the client a sum not less than the relevant amount. (5) The Council shall be entitled to be represented at a diet for taxation by virtue of subsection (4)(a) and to make representations to the Auditor of Court. (6) Where, on taxation of an account by virtue of subsection (4)(a), the amount due in respect of the account as taxed is the amount specified in the account as issued, the fee of the Auditor of Court shall be paid by the Council; but in any other case the fee shall be paid by the solicitor or, as the case may be, the incorporated practice authorised legal business. (7) In subsection (4)(b) “the relevant amount” is the amount (if any) by which the sum received by the solicitor or incorporated practice authorised legal business in respect of the account exceeds the amount due in respect of the account as taxed. (8) A solicitor may, within 21 days of receiving written notice of a decision of the Council under subsection (2) to withdraw his practising certificate, appeal to the Court against that decision; and on any such appeal the Court may give such directions in the matter, including directions as to the expenses of the proceedings before the Court, as it may think fit; and the order of the Court shall be final. (9) The withdrawal of a solicitor’s practising certificate under subsection (2) shall be without prejudice to the operation of section 35(3) or section 37(8). (10) The Council shall notify the Commission of any case— (a) where any of the following things occur— (i) they withdraw a practising certificate under subsection (2); (ii) they terminate a suspension from practice and restore a practising certificate under subsection (3); (iii) the Court makes an order under subsection (8); and (b) which does not involve a complaint remitted to the Council under section 6(2)(a) or 15(5)(a) of the 2007 Act.
Propose a change(1) Where the Council are satisfied, in the case of any solicitor or incorporated practice authorised legal business, after enquiry and after giving the solicitor or, as the case may be, incorporated practice authorised legal business an opportunity of being heard, that the solicitor or, as the case may be, incorporated practice authorised legal businesshas failed or is failing to comply with any provisions of— (za) rules made by virtue of section 34(1D), (a) section 35 or the accounts rules made under that section, or (b) section 37 or the accountant’s certificate rules or other rules made under that section, so far as applicable in his or, as the case may be, its case (in this section referred to as “the applicable provisions”), the Council may, subject to the provisions of this section (a) withdraw the practising certificate held by the solicitor or, as the case may be— (b) withdraw the practising certificate or certificates of any or all of the solicitors who are owners, partners or, as the case may be, directors of the incorporated practice, and a certificate so withdrawn shall thereupon cease to have effect and the solicitor shall be suspended from practice as a solicitor. (2) On being satisfied by the solicitor that he or, as the case may be, by the incorporated practice authorised legal business that it is able and willing to comply with the applicable provisions, the Council, unless they are of opinion that the solicitor or, as the case may be, the incorporated practice is liable to disciplinary proceedings under Part IV, shall terminate the suspension from practice of the solicitor or solicitors concerned and shall restore to him or them any practicing certificate or certificates held by him or them for the practice year then current. (3) Within 21 days after receiving written notice of a decision of the Council under this section to withdraw his practising certificate, or to refuse to terminate his suspension from practice, the solicitor may appeal to the Court against a decision; and on any such appeal the Court may give such directions in the matter, including directions as to the expenses of the proceedings before the Court, as it may think fit; and the order of the Court shall be final. (4) Any withdrawal of a solicitor’s practising certificate by the Council in exercise of the power conferred by subsection (1) shall be without prejudice to the operation of section 34(4ZA), section 35(3) or section 37(8). (5) The Council shall notify the Commission of any case— (a) where any of the following things occur— (i) they withdraw a practising certificate under subsection (1); (ii) they terminate a suspension from practice and restore a practising certificate under subsection (2); (iii) the Court makes an order under subsection (3); and (b) which does not involve a complaint remitted to the Council under section 6(2)(a) or 15(5)(a) of the 2007 Act.
Propose a changeWhere the Council, in exercise of any power conferred on them by rules made by virtue of section 34(1D) or the accounts rules, have caused an investigation to be made of the books, accounts and other documents of a solicitor or an incorporated practice authorised legal business, and, on consideration of the report of the investigation, the Council are satisfied— (a) that the solicitor or, as the case may be, the incorporated practice authorised legal business has failed. . . to comply with the provisions of those rules, and (b) that, , in the case of a solicitor, in connection with his practice as such, either— (i) his liabilities exceed his assets in the business, or (ii) his books, accounts and other documents are in such a condition that it is not reasonably practicable to ascertain definitely whether his liabilities exceed his assets, or (iii) there is reasonable ground for apprehending that a claim on the Guarantee Fund may arise ; or (c) that, in the case of an incorporated practice authorised legal business, either— (i) its liabilities exceed its assets, or (ii) its books, accounts and other documents are in such a condition that it is not reasonably practicable to ascertain definitely whether its liabilities exceed its assets, or (iii) there is reasonable ground for apprehending that a claim on the guarantee fund may arise. the Council may apply to the Court for the appointment of a judicial factor on the estate of the solicitor or, as the case may be, of the incorporated practice authorised legal business; and the Court, on consideration of the said report and after giving the solicitor or, as the case may be, the incorporated practice authorised legal business an opportunity of being heard, may appoint a judicial factor on such estate, or do otherwise as seems proper to it.
Propose a change(1) Subject to the provisions of this section, where, in any of the events mentioned in subsection (2) or (2A), the sum at the credit of any client account kept by a solicitor or an incorporated practice authorised legal business (or where several such accounts are kept by him or, as the case may be, by it the total of the sums at the credit of those accounts) is less than the total of the sums received by him in the course of his practice on behalf of his clients or, as the case may be, by it on behalf of its clients and remaining due by him or, as the case may be, by it to them, then, notwithstanding any rule of law to the contrary, the sum at the credit of the client account (or where several such accounts are kept, the total of the sums at the credit of those accounts) shall be divisible proportionately among the clients of the solicitor or, as the case may be, the incorporated practice authorised legal business according to the respective sums received by him in the course of his practice on their behalf or, as the case may be, by it on their behalf and remaining due by him or, as the case may be, by it to them. (2) The events to which subsection (1) applies are in relation to any solicitor— (a) the sequestration of his estate; (b) the granting by him of a trust deed for behoof the benefit of creditors; (c) the appointment of a judicial factor on his estate. (d) the entering by the solicitor into a debt arrangement scheme within the meaning of Part 1 of the Debt Arrangement and Attachment (Scotland) Act 2002. (2A) The events to which subsection (1) applies are in relation to any incorporated practice authorised legal business— (za) the sequestration of its estate, (zb) the granting by it of a trust deed for the benefit of creditors, (zc) the entering by it into a debt arrangement scheme within the meaning of Part 1 of the Debt Arrangement and Attachment (Scotland) Act 2002, (a) the making of an administration or winding up order or the appointment of a provisional liquidator, liquidator, receiver or judicial factor; or (b) the passing of a resolution for voluntary winding-up (other than one passed solely for the purposes of reconstruction or amalgamation with another incorporated practice authorised legal business) (3) Where a solicitor or an incorporated practice authorised legal business keeps an account at a bank in his or, as the case may be, its own name or, as the case may be, by the incorporated practice authorised legal business in its own name for a specified client no regard shall be had for the purposes of this section to the sum at the credit of that account or to any sums received by the solicitor in the course of his practice on behalf of that client or, as the case may be, by the incorporated practice authorised legal business on that behalf and remaining due by him or, as the case may be, by it to that client, so far as these are represented by the sum at the credit of that bank account ; nor shall any regard be had for such purposes to any— (a) deposit or share account with a. . . building society; or (b) account showing sums on loan to a local authority, being in either case an account kept by the solicitor in his own name or, as the case may be, by the incorporated practice authorised legal business in its own name for a specified client. (4) For the purposes of this section any reference to an account at a bank includes a reference to a deposit receipt at a bank.
Propose a change(1) Where a conduct complaint suggesting unsatisfactory professional conduct by a practitioner who is a solicitor is remitted to the Council under section 6(2)(a) or 15(5)(a) of the 2007 Act, the Council must having— (a) investigated the complaint under section 47(1) of that Act and made a written report under section 47(2) of that Act; (b) given the solicitor an opportunity to make representations, determine the complaint. (2) Where a complaint is remitted to the Council under section 53ZA, the Council— (a) must— (i) notify the solicitor specified in it and the complainer of that fact and that the Council are required to investigate the complaint as a complaint of unsatisfactory professional conduct; (ii) so investigate the complaint; (iii) having so investigated the complaint and given the solicitor an opportunity to make representations, determine the complaint; (b) may rely, in their investigation, on any findings in fact which the Tribunal makes available to them under section 53ZA(2) as respects the complaint. (3) Where the Council make a determination under subsection (1) or (2) upholding the complaint, they— (a) shall censure the solicitor; (b) may take any of the steps mentioned in subsection (4) which they consider appropriate. (4) The steps are— (a) where the Council consider that the solicitor does not have sufficient competence in relation to any aspect of the law or legal practice, to direct the solicitor to undertake such education or training as regards the law or legal practice as the Council consider appropriate in that respect; (b) subject to subsection (6), to direct the solicitor to pay a fine not exceeding £2,000; (c) where the Council consider that the complainer has been directly affected by the conduct, to direct the solicitor to pay compensation of such amount, not exceeding £5,000, as they may specify to the complainer for loss, inconvenience or distress resulting from the conduct. (5) The Council may, in considering the complaint, take account of any previous determination by them, the Tribunal or the Court upholding a complaint against the solicitor of unsatisfactory professional conduct or professional misconduct (but not a complaint in respect of which an appeal is pending or which has been quashed ultimately on appeal). (6) The Council shall not direct the solicitor to pay a fine under subsection (4)(b) where, in relation to the subject matter of the complaint, the solicitor has been convicted by any court of an act involving dishonesty and sentenced to a term of imprisonment of not less than 2 years. (7) Any fine directed to be paid under subsection (4)(b) above shall be treated for the purposes of section 211(5) of the Criminal Procedure (Scotland) Act 1995 (fines payable to HM Exchequer) as if it were a fine imposed in the High Court. (8) The Council shall intimate— (a) a determination under subsection (1) or (2); (b) any censure under subsection (3)(a); (c) any direction under subsection (4), to the complainer and the solicitor specified in it by sending to each of them a copy of the determination, censure or, as the case may be, the direction and by specifying the reasons for the determination. (9) A solicitor in respect of whom a determination upholding a conduct complaint has been made under subsection (1) or (2), or a direction has been made under subsection (4) may, before the expiry of the period of 21 days beginning with the day on which the determination or, as the case may be, the direction is intimated to him, appeal to the Tribunal against the— (a) determination; (b) direction (whether or not he is appealing against the determination). (10) A complainer may, before the expiry of the period of 21 days beginning with the day on which a determination under subsection (1) or (2) not upholding the conduct complaint is intimated to him, appeal to the Tribunal against the determination. (11) Where the Council have upheld the conduct complaint but have not directed the solicitor under subsection (4)(c) to pay compensation, the complainer may, before the expiry of the period of 21 days beginning with the day on which the determination upholding the complaint is intimated to him, appeal to the Tribunal against the Council's decision not to make a direction under that subsection. (12) A complainer to whom the Council have directed a solicitor under subsection (4)(c) to pay compensation may, before the expiry of the period of 21 days beginning with the day on which the direction under that subsection is intimated to him, appeal to the Tribunal against the amount of the compensation directed to be paid. (13) The Scottish Ministers may by order made by statutory instrument— (a) amend subsection (4)(b) by substituting for the amount for the time being specified in that subsection such other amount as appears to them to be justified by a change in the value of money; (b) after consulting the Council and such groups of persons representing consumer interests as they consider appropriate, amend subsection (4)(c) by substituting for the amount for the time being specified in that subsection such other amount as they consider appropriate. (14) A statutory instrument containing an order under— (a) subsection (13)(a) is subject to annulment in pursuance of a resolution of the Scottish Parliament; (b) subsection (13)(b) is not to be made unless a draft of the instrument has been laid before, and approved by resolution of, the Scottish Parliament. (15) In this section, “complainer” means the person who made the complaint and, where the complaint was made by the person on behalf of another person, includes that other person.
Propose a change(1) The Council shall, by notice in writing, require every solicitor who is specified in— (a) a direction made under section 42ZA(4); or (b) such a direction as confirmed or varied on appeal by— (i) the Tribunal; or (ii) the Court, to give, before the expiry of such period being not less than 21 days as the notice specifies, an explanation of the steps which he has taken to comply with the direction. (2) Where an appeal is made under section 42ZA(9) or (12) or 54A(1) or (2) against a direction made under section 42ZA(4), any notice under subsection (1)(a) above relating to the direction shall cease to have effect pending the outcome of the appeal.
Propose a change(1) Where the Council receive a report from the Commission under section 10(2)(e) of the 2007 Act as respects a practitioner who is a solicitor, they may direct him to undertake such education or training as regards the law or legal practice as the Council consider appropriate in the circumstances. (2) The Council shall by notice in writing— (a) intimate a direction under subsection (1) to the solicitor; (b) require the solicitor to give, before the expiry of such period being not less than 21 days as the notice specifies, an explanation of the steps which he has taken to comply with the direction. (3) Where an appeal is made under section 42ZD(1) or (3) against a direction under subsection (1), any notice under subsection (2)(b) relating to the direction shall cease to have effect pending the outcome of the appeal.
Propose a change(1) A solicitor in respect of whom a direction has been made under section 42ZC(1) may, before the expiry of the period of 21 days beginning with the day on which it is intimated to him, appeal to the Tribunal against the direction. (2) On an appeal to the Tribunal under subsection (1), the Tribunal may quash, confirm or vary the direction being appealed against. (3) The solicitor may, before the expiry of the period of 21 days beginning with the day on which the Tribunal's decision under subsection (2) is intimated to him, appeal to the Court against the decision. (4) On an appeal to the Court under subsection (3), the Court may give such directions in the matter as it thinks fit, including directions as to the expenses of the proceedings before the Court and as to any order by the Tribunal relating to expenses. (5) A decision of the Court on an appeal under subsection (3) shall be final.
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Propose a change(1) Where the Council are satisfied that it is necessary for them to do so for the purpose of investigating a complaint made to them or remitted to them by the Tribunal alleging— (a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (b) the failure of an incorporated practice to comply with any provision of this Act or of rules made under this Act applicable to that practice; or (c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . the Council may give notice in writing in accordance with subsection (2) . . . to the incorporated practice . . . . (2) A notice under subsection (1) may require— (a) the production or delivery to any person appointed by the Council, at a time and place specified in the notice, of all documents to which this section applies which are in the possession or control of the . . . incorporated practice and relate to the matters to which the complaint relates (whether or not they relate also to other matters); and (b) an explanation, within such period, not being less than 21 days, as the notice may specify, from the . . . incorporated practice regarding the matters to which the complaint relates. (3) This section applies to the following documents— (a) all books, accounts, deeds, securities, papers and other documents in the possession or control of . . . the incorporated practice; (b) all books, accounts, deeds, securities, papers and other documents relating to any trust . . . of which the incorporated practice or one of its employees is a sole trustee or of which the practice is a co-trustee only with one or more of its employees. . (4) Part II of Schedule 3 shall have effect in relation to the powers conferred by subsection (1) to require the production or delivery of documents as it has effect in relation to the powers conferred by sections . . . , 45 and 46, but with the following modifications— (a) for the references in that Part to sections . . . , 45 and 46 there shall be substituted references to this section; and (b) for the reference in paragraph 5(1) in that Part to a person failing to produce or deliver documents immediately on being required by the Council to do so there shall be substituted a reference to a person failing to produce or deliver the documents within the time specified in the notice under subsection (1) of this section. (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Propose a change(1) There shall be a fund to be called “The Scottish Solicitors Guarantee Fund” (in this Act referred to as “the Guarantee Fund”, which shall be vested in the Society and shall be under the control and management of the Council. (2) Subject to the provisions of this section and of Schedule 3 the Guarantee Fund shall be held by the Society for the purpose of making grants in order to compensate persons who in the opinion of the Council suffer pecuniary loss by reason of dishonesty on the part of (a) any solicitor , registered foreign lawyeror registered European lawyer in practice in the United Kingdom, or any employee of such a solicitor , registered foreign lawyeror registered European lawyer in connection with the practice of the solicitor , registered foreign lawyeror registered European lawyer, whether or not he had a practising certificate in force when the act of dishonesty was committed, and notwithstanding that subsequent to the commission of that act he may have died or had his name removed from or struck off the roll or may have ceased to practise or been suspended from practice ; ... (aa) any conveyancing or executry practitioner or an employee of the practitioner in connection with the practitioner's practice as such, even if subsequent to the act concerned the practitioner has ceased to provide conveyancing or executry services; (b) any incorporated practice or any authorised legal business or any owner, partner, director, member, manager, secretary or other employee of an incorporated practice authorised legal business, notwithstanding that subsequent to the commission of that act it may have ceased to be recognised under section 34(1A) authorised or have been wound up; or (c) any licensed legal services provider or person within it in connection with its provision of legal services (with the same meaning as for Part 2 of the 2010 Act), even if— (i) the Society is not its approved regulator, or (ii) subsequent to the act concerned it has ceased to operate. (3) No grant may be made under this section— (a) in respect of a loss made good otherwise; (b) in respect of a loss which in the opinion of the Council has arisen while the solicitor was suspended from practice; (c) to a solicitor or his representatives in respect of a loss suffered by him or them in connection with his practice as a solicitor by reason of dishonesty on the part of a partner or employee of his; (ca) to a conveyancing or executry practitioner in respect of a loss suffered by reason of dishonesty on the part of a partner or employee of the practitioner in connection with the practitioner's practice as such; (cc) to an incorporated practice or any authorised legal business or any owner, partner, director or member thereof in respect of a loss suffered by it or him by reason of dishonesty on the part of any director , member , manager, secretary or other employee of the incorporated practice in connection with the practice; . . . owner, partner, director, member, manager, secretary or other employee of the authorised legal business in connection with the business (cd) to a licensed provider or any investor or person who owns, manages or controls or is within the licensed provider in respect of a loss suffered by it or any such person in connection with the licensed provider's provision of legal services by reason of dishonesty on the part of any such persons; (d) unless an application for a grant is made to the Society in such manner, and within such period after the date on which the loss first came to the knowledge of the applicant, as may be prescribed by rules made under Schedule 3 ; . . . (e) in respect of any default of a registered European lawyer, or any of his employees or partners, where such act or default takes place outside Scotland, unless the Council is satisfied that the act or default is closely connected with the registered European lawyer’s practice in Scotland.; (f) in respect of any act or default of a registered foreign lawyer, or any of his employees or partners, where such act or default takes place outside Scotland, unless the Council is satisfied that the act or default is closely connected with the registered foreign lawyer’s practice, or any of his partners' practice, in Scotland; or (g) in respect of any act or default of any owner, partner, member, director, manager, secretary or other employee of an incorporated practice authorised legal business which is a multi-national practice, where such act or default takes place outside Scotland, unless the Council is satisfied that the act or default is closely connected with the incorporated practice’s authorised legal business’s practice in Scotland. (4) The decision of the Council with respect to any application for a grant shall be final. (5) The Council may refuse to make a grant, or may make a grant only to a limited extent, if they are of opinion that there has been negligence on the part of the applicant or of any person for whom he is responsible which has contributed to the loss in question. (6) The Council or any committee appointed by them may administer oaths for the purpose of inquiry into any matters which affect the making or refusal of a grant from the Guarantee Fund. (7) Part I of Schedule 3 shall have effect with respect to the Guarantee Fund, including the making of contributions thereto by solicitors and the administration and management of the Fund by the Council; but nothing in that Schedule shall apply to or in the case of a solicitor— (a) who is not in practice as a solicitor; or (b) who is suspended from practice as a solicitor during suspension; or (c) who is in any such employment as is specified in section 35(4) or in the employment of an incorporated practice authorised legal business or a licensed provider; but where any solicitor in any such employment as is mentioned in paragraph (c) engages in private practice as a solicitor, the said Schedule and the other provisions of this Act relating to the Guarantee Fund shall apply to him and in his case so far as regards such private practice. (8) In the case of licensed providers, this section and Part I of Schedule 3 apply in relation to (and only to) such licensed providers as are regulated by an approved regulator that in furtherance of section 24(4) of the 2010 Act does not maintain its own compensation fund as referred to in that section. (9) In this section and paragraph 1 of Schedule 3— “approved regulator”, “investor”, are to be construed in accordance with Part 2 of the 2010 Act.
Propose a change