(1) The Council may make rules with the concurrence of the Lord President concerning indemnity for solicitors and former solicitors and incorporated practicesauthorised legal businesses against any class of professional liability, and the rules may for the purpose of providing such indemnity do all or any of the following things, namely—
(a) authorise or require the Society to establish and maintain a fund or funds;
(b) authorise or require the Society to take out and maintain insurance with an authorised insurer;
(c) require solicitors or any specified class of solicitors and incorporated practices authorised legal businesses or any specified class thereof to take out and maintain insurance with an authorised insurer.
(2) The Society shall have power, without prejudice to any of its other powers, to carry into effect any arrangements which it considers necessary or expedient for the purpose of the rules.
(3) Without prejudice to the generality of subsections (1) and (2) rules made under this section—
(a) may specify the terms and conditions on which indemnity is to be available, and any circumstances in which the right to it is to be excluded or modified;
(b) may provide for the management, administration and protection of any fund maintained by virtue of subsection (1)(a) and require solicitors or any class of solicitors and incorporated practices or any class of incorporated practices authorised legal businesses or any type of authorised legal business to make payments to any such fund;
(c) may require solicitors or any class of solicitors and incorporated practices or any class of incorporated practices authorised legal businesses or any type of authorised legal business to make payments by way of premium on any insurance policy maintained by the Society by virtue of subsection (1)(b);
(d) may prescribe the conditions which an insurance policy must satisfy for the purpose of subsection (1)(c);
(e) may authorise the Society to determine the amount of any payments required by the rules subject to such limits, or in accordance with such provisions, as may be prescribed by the rules;
(f) may specify circumstances in which, where a solicitor or incorporated practice authorised legal business for whom indemnity is provided has failed to comply with the rules, proceedings in respect of sums paid by way of indemnity in connection with a matter in relation to which he or, as the case may be, it has failed to comply may be taken against him or, as the case may be, it by the Society or by insurers;
(g) may specify circumstances in which solicitors and incorporated practices authorised legal businesses are exempt from the rules;
(h) may empower the Council to take such steps as they consider necessary or expedient to ascertain whether or not the rules are being complied with; and
(i) may contain incidental, procedural or supplementary provisions.
(4) Failure to comply with rules made under this section may be treated as professional misconduct or unsatisfactory professional conduct.
(5) In this section an “authorised insurer” is—
(a) a person who has permission under Part 4 of the Financial Services and Markets Act 2000 to effect or carry out contracts of general liability insurance;
(b) a person who has permission under Part 4 of that Act to effect or carry out contracts of insurance relating to accident, sickness, credit, suretyship, miscellaneous financial loss and legal expenses;
(c) an EEA firm of the kind mentioned in paragraph 5(d) of Schedule 3 to that Act, which has permission under paragraph 15 of that Schedule (as a result of qualifying for authorisation under paragraph 12 of that Schedule) to effect or carry out contracts of general liability insurance; or
(d) an EEA firm of the kind mentioned in paragraph 5(d) of Schedule 3 to that Act, which has permission under paragraph 15 of that Schedule (as a result of qualifying for authorisation under paragraph 12 of that Schedule) to effect or carry out contracts relating to accident, sickness, credit, suretyship, miscellaneous financial loss and legal expenses;
“professional liability” means any civil liability incurred by a solicitor or former solicitor in connection with his practice or in connection with any trust of which he is or formerly was a trustee and, as respects incorporated practices authorised legal businesses, means any liability incurred by it which if it had been incurred by a solicitor would constitute such civil liability.
(6) The definition of “authorised insurer” in subsection (5) 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.
45 Safeguarding interests of clients of solicitor struck off or suspended.
(1) The following provisions of this section (except subsection (4A)) shall have effect in relation to the practice of a solicitor whose name is struck off the roll or who is suspended from practice as a solicitor under any provision of this Act and, in relation to any incorporated practice, the recognition under section 34(1A) of which is revoked.
(2) In the case of a solicitor, the solicitor shall within 21 days of the material date satisfy the Council that he has made suitable arrangements for making available to his clients or to some other solicitor or solicitors or incorporated practice instructed by his clients or by himself—
(a) all deeds, wills, securities, papers, books of accounts, records, vouchers and other documents in his or his firm’s possession or control which are held on behalf of his clients or which relate to any trust of which he is sole trustee or co-trustee only with one or more of his partners or employees, and
(b) all sums of money due from him or his firm or held by
him or his firm on behalf of his clients or subject to any such trust as aforesaid.
(2A) In the case of an incorporated practice, it shall within 21 days of the material date satisfy the Council that it has made suitable arrangements for making available to its clients or to some other solicitor or solicitors or incorporated practice instructed by its clients or itself—
(a) all deeds, wills, securities, papers, books of accounts, records, vouchers and other documents in its possession or control which are held on behalf of its clients or which relate to any trust of which it is sole trustee or co-trustee only with one or more of its employees; and
(b) all sums of money due from it or held by it on behalf of its clients or subject to any trust as aforesaid.
(3A) If the solicitor or, as the case may be, the incorporated practice fails so to satisfy the Council, the Council may—
(a) require the production or delivery to any person appointed by them at a time and place fixed by them of the documents mentioned in subsection (3B);
(b) take possession of all such documents; and
(c) apply to the Court for an order that no payment be made by any banker, building society or other body named in the order out of any banking account or any sum deposited in the name of the solicitor or his firm or, as the case may be, the incorporated practice without the leave of the Court and the Court may make such order.
(3B) The documents are—
(a) all books, accounts, deeds, securities, papers and other documents in the possession or control of the solicitor or his firm or, as the case may be, the incorporated practice;
(b) all books, accounts, deeds, securities, papers and other documents relating to any trust of which the solicitor is a sole trustee or is a co-trustee only with one or more of his partners or employees or, as the case may be, 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) If the solicitor, immediately before the striking off or, as the case may be, the suspension,was a sole solicitor, the right to operate on, or otherwise deal with, any client account in the name of the solicitor or his firm shall on the occurrence of that event vest in the Society (notwithstanding any enactment or rule of law to the contrary) to the exclusion of any other person.
(4A) Where—
(a) a solicitor is restricted from acting as a principal; and
(b) immediately before the restriction the solicitor was a sole solicitor,
the right to operate on, or otherwise deal with, any client account in the name of the solicitor or the solicitor's firm shall on the occurrence of those circumstances vest in the Society (notwithstanding any enactment or rule of law to the contrary) to the exclusion of any other person until such time as the Council have approved acceptable other arrangements in respect of the client account.
(4B) Part II of Schedule 3 has effect in relation to the powers of the Council under subsection (3A).
(5) In this section—
“material date” means whichever is the latest of—
the date when the order of the Tribunal or Court by or in pursuance of which the solicitor is struck off the roll or suspended from practice or, as the case may be, the recognition under section 34(1A) is revoked. is to take effect;
the last date on which—
an appeal against that order may be lodged or an application may be made to the Court under section 54(2), or
an appeal against a decision of the Council under section 40 may be lodged;
the date on which any such appeal is dismissed or abandoned; . . .
“principal” means a solicitor who is a sole practitioner or is a partner in a firm of two or more solicitors or is a director of an incorporated practice which is a company or a solicitor who is a member of a multi-national practice having its principal place of business in Scotland;
“sole solicitor” means a solicitor practising under his own name or as a single solicitor under a firm name.
45A Safeguarding interests of clients of an authorised legal business where authorisation suspended or withdrawn
(1) This section has effect in relation to any authorised legal business whose authorisation to provide legal services is suspended or withdrawn (such business being referred to in this section as a “former authorised legal business”).
(2) The right to operate on or otherwise deal with any client account in the name of the former authorised legal business vests in the Society (notwithstanding any enactment or rule of law to the contrary) to the exclusion of any other person and is exercisable from the date of suspension or withdrawal of the relevant authorisation (as applicable).
(3) Any sum of money held by or in the name of the former authorised legal business on behalf of, or in relation to—
(a) the clients of the former authorised legal business, or
(b) any trust of the kind mentioned in subsection (5)(b),
vests in the Society (notwithstanding any enactment or rule of law to the contrary) to the exclusion of any other person with effect from the date of suspension or withdrawal of the relevant authorisation (as applicable).
(4) The Council may direct any former authorised legal business or any other person to take any specified action (or to refrain from doing something) if the Council considers that to be necessary or expedient for safeguarding the interests of the clients of the former authorised legal business.
(5) Directions given under subsection (4) may in particular (but without prejudice to the generality of subsection (4)) require the former authorised legal business or any other person to make available to a relevant person or body any document or information (of whatever kind) held or previously held in the possession or control of the former authorised legal business which—
(a) relates to, or is held on behalf of, a client of the former authorised legal business, or
(b) relates to any trust of which the former authorised legal business (or any of its members, owners, partners or directors or any entity owned by the former authorised legal business or its members, owners, partners or directors (or any of them) for the purposes of being a trustee) is sole trustee or co-trustee only with one or more of the members, owners, partners, directors or employees of the former authorised legal business.
(6) For the purposes of subsection (5), a relevant person or body is—
(a) the particular client,
(b) the Society,
(c) an authorised legal business or licensed legal services provider that is instructed by the particular client, the former authorised legal business or the Council to act in place of the former authorised legal business.
(7) The former authorised legal business or other person to whom a direction is given under subsection (4) may appeal to the Court against the direction within 14 days beginning with the day of being notified of the direction.
(8) On an appeal under subsection (7)—
(a) the Court may—
(i) vary the direction,
(ii) impose such conditions in relation to the direction as it considers appropriate in all the circumstances, or
(iii) revoke the direction,
(b) the Court’s decision is final.
(9) The Court may, on application by the Council, make an order—
(a) requiring the former authorised legal business or any other person to comply with a direction given under subsection (4),
(b) varying the direction or imposing such conditions as the Court considers appropriate in all the circumstances,
(c) providing that, without the leave of the Court, no payment may be made by any bank, building society or other body named in the order out of any account (or any sum otherwise deposited) in the name of the former authorised legal business,
(d) providing otherwise as it may see fit.
(10) Before making an order under subsection (9), the Court must—
(a) except where the Court considers it an appropriate course of action in all the circumstances of the case to dispense with this requirement, give the former authorised legal business and any other person with an interest an opportunity to be heard,
(b) be satisfied that the order represents an appropriate course of action in all the circumstances of the case.
(11) Part II of Schedule 3 has effect in relation to the powers of the Council under this section.
46 Safeguarding interests of clients in certain other cases.
(1) Where the Council are satisfied that a sole solicitor is incapacitated by illness or accident to such an extent as to be unable to operate on, or otherwise deal with, any client account in the name of the solicitor, or his firm, and that no other arrangements acceptable to the Council have been made, the right to operate on, or otherwise deal with, that account shall vest in the Society (notwithstanding any enactment or rule of law to the contrary) to the exclusion of any other person so long, but only so long, as the Council are satisfied that such incapacity and absence of other acceptable arrangements continues.
(2) Where a sole solicitor ceases to practise for any reason other than that his name has been struck off the roll or that he has been suspended from practice, and the Council are not satisfied that suitable arrangements have been made for making available to his clients or to some other solicitor or solicitors instructed by his clients or on their behalf—
(a) all deed, wills, securities, papers, books of accounts, records, vouchers and other documents in his or his firm’s possession or control which are held on behalf of his clients or which relate to any trust of which he is the sole trustee, or a co-trustee only with one or more of his employees, and
(b) all sums of money due from him or his firm or held by him or his firm on behalf of his clients or subject to any such trust as aforesaid,
the Council may do any of the things mentioned in subsection (3A).
(3) Where the sole solicitor dies—
(a) the right to operate on or otherwise deal with any client account in the name of the solicitor or his firm shall vest in the Society (notwithstanding any enactment or rule of law to the contrary) to the exclusion of any personal representatives of the solicitor, and shall be exercisable as from the death of the solicitor; and
(b) if the Council are not satisfied that suitable arangements have been made for making available to the solicitor’s clients or to some other solicitor or solicitors instructed by his clients or on their behalf—
(i) all deeds, wills, securities, papers, books of accounts, records, vouchers and other documents which were in his or his firm’s possession or control which were held on behalf of his clients or which relate to any trust of which he was the sole trustee, or a co-trustee only with one or more of his employees, and
(ii) all sums of money which were due from him or his firm or were held by him or his firm on behalf of his clients or subject to any such trust as aforesaid,
the Council may do any of the things mentioned in subsection (3A).
(3A) The things are to—
(a) require the production or delivery to any person appointed by the Council at a time and a place fixed by them of the documents mentioned in subsection (3B);
(b) take possession of all such documents; and
(c) apply to the Court for an order that no payment be made by any banker, building society or other body named in the order out of any banking account or any sum deposited in the name of the solicitor or his firm without the leave of the Court and the Court may make such order.
(3B) The documents are—
(a) all books, accounts, deeds, securities, papers and other documents in the possession or control of the solicitor or his firm;
(b) all books, accounts, deeds, securities, papers and other documents relating to any trust of which he is a sole trustee or is a co-trustee only with one or more of his employees.
(4) In a case where the Society have operated on or otherwise dealt with a client account by virtue of subsection (3) the Society shall be entitled to recover from the estate of the solicitor who has died such reasonable expenses as the Society have thereby incurred.
(4A) Part II of Schedule 3 has effect in relation to the powers of the Council under subsection (2) or (3).
(5) In this section “sole solicitor” has the same meaning as in section 45.
46A Safeguarding interests of clients in certain other cases
(1) This section applies in relation to an authorised legal business comprised of a sole solicitor who—
(a) has died,
(b) is incapacitated by illness or accident to such an extent as to be unable to operate and manage the relevant authorised legal business,
(c) is disqualified from operating or managing the relevant authorised legal business (whether as a result of the suspension or withdrawal of the practising certificate of the sole solicitor or the imposition of conditions on that certificate or otherwise), or
(d) has ceased to practise for any other reason.
(2) The right to operate on or otherwise deal with any client account in the name of the solicitor or the relevant authorised legal business vests in the Society (notwithstanding any enactment or rule of law to the contrary) to the exclusion of any personal representatives of the solicitor or any other person, and is exercisable from the date of the death, incapacity or disqualification of the solicitor.
(3) Any sum of money held by, or in the name of, the solicitor or the relevant authorised legal business on behalf of, or in relation to—
(a) the clients of the solicitor or the relevant authorised legal business, or
(b) any trust of the kind mentioned in subsection (4)(b),
vests in the Society (notwithstanding any enactment or rule of law to the contrary) to the exclusion of any personal representatives of the solicitor or any other person with effect from the date of the death, incapacity or disqualification of the solicitor (as applicable).
(4) The Council may issue a direction requiring that any document or information (of whatever kind) held or previously held in the possession or control of the solicitor or relevant authorised legal business which—
(a) relates to, or is held on behalf of, a client of the solicitor or relevant authorised legal business, or
(b) relates to any trust of which the solicitor or relevant authorised legal business or any entity owned by the solicitor or relevant authorised legal business formed for the purposes of being a trustee is sole trustee or co-trustee only with one or more of its employees is made available to—
(i) the particular client,
(ii) the Society,
(iii) an authorised legal business or licensed legal services provider that is instructed by the particular client or the Council to act in place of the solicitor or the relevant authorised legal business.
(5) The Court may, on an application by the Council, make an order—
(a) requiring any party with possession or control of the relevant document or information to comply with a direction given under subsection (4) within such time as the Court may order,
(b) varying the direction or imposing such conditions as the Court considers appropriate in all the circumstances,
(c) providing that, without the leave of the Court, no payment may be made by any bank, building society or other body named in the order out of any account (or any sum otherwise deposited) in the name of the solicitor or the relevant authorised legal business,
(d) providing otherwise as it may see fit.
(6) Before making an order under subsection (5), the Court must—
(a) except where the Court considers it an appropriate course of action in all the circumstances of the case to dispense with this requirement, give any person with an interest an opportunity to be heard,
(b) be satisfied that the order represents an appropriate course of action in all the circumstances of the case.
(7) Part II of Schedule 3 has effect in relation to the powers of the Council under this section.
(8) In this section, an authorised legal business is “comprised of a sole solicitor” if it—
(a) consists of a solicitor practising under the solicitor’s own name or as a single solicitor under a firm or business name, or
(b) is wholly owned by a single solicitor.
(9) For the purpose of subsection (8)(b), an authorised legal business may be wholly owned by a single solicitor—
(a) directly or through one or more other bodies,
(b) partly directly and partly through one or more other bodies.
47 Restriction on employing solicitor struck off or suspended.
(1) Unless he has the written permission of the Council to do so, a solicitor shall not, in connection with his or, as the case may be, its practice as a solicitor, employ or remunerate any person who to his knowledge is disqualified from practising as a solicitor and, unless it has such permission, an incorporated practice shall not by reason of the fact that his name has been struck off the roll or that he is suspended from practice as a solicitor.
(1) An authorised legal business must not, without the prior written permission of the Council, employ or remunerate a person (“A”) in connection with the authorised legal business’s practice at a time when A is disqualified from practising as a solicitor by reason of A being struck off the roll or suspended from practice as a solicitor.
(2) Any permission given by the Council for the purposes of subsection (1) may be given for such period and subject to such conditions as the Council think fit.
(3) A solicitor or, as the case may be, incorporated practice An authorised legal business aggrieved by the refusal of the Council to grant any such permission as aforesaid, or by any conditions attached by the Council to the grant thereof, may appeal to the Court; and on any such appeal the Court may give such directions in the matter as it thinks fit.
(4) If any solicitor acts in contravention of this section or of any condition subject to which any permission has been given thereunder, his name shall be struck off the roll or he shall be suspended from practice as a solicitor for such period as the Tribunal, or, in the case of an appeal, the Court, may think fit and if any incorporated practice so acts its recognition under section 34(1A) shall be revoked.
(4) If an authorised legal business contravenes this section or a condition attached to the grant of permission under this section, the Tribunal or, in the case of an appeal, the Court may impose conditions or restrictions in relation to the authorised legal business’s authorisation to provide legal services.
(1) For the purposes of this Part of this Act and sections 16 to 23 (which relate to the provision of conveyancing and executry services) of the 1990 Act there shall be a tribunal, which shall be known as the Scottish Solicitors’ Discipline Tribunal and is in this Act referred to as “the Tribunal”.
(2) Part I of Schedule 4 shall have effect in relation to the constitution of the Tribunal.
(1) A complaint may be made to the Tribunal by the Council; and, for the purpose of investigating and prosecuting complaints, the Council may appoint a solicitor to act as fiscal.
(1A) In subsection (1) above, without prejudice to the generality of that subsection, the reference to a complaint includes a complaint in respect of conveyancing and executry practitioners and the provision by them of conveyancing and executry services (those expressions having the meanings given in section 23 of the 1990 Act).
(2) The persons mentioned in subsection (3) may report to the Tribunal any case where it appears that . . . an incorporated practiceauthorised legal business may have failed to comply with any provision of this Act or of rules made under this Act applicable to it. . . , and any such report shall be treated by the Tribunal as a complain under subsection (1).
(2A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3) The persons referred to in subsection (2) are—
(a) the Lord Advocate;
(aa) the Advocate General for Scotland
(b) any judge;
(ba) the Dean of the Faculty of Advocates;
(c) the Auditor of the Court of Session;
(ca) the auditor of the Sheriff Appeal Court,
(d) the Auditor of any sheriff court.
(e) the Scottish Legal Aid Board.
(f) the Scottish legal services ombudsman.
(4) Where a report is made to the Tribunal under subsection (2) the Tribunal may, if it thinks fit, appoint a solicitor to prosecute the complaint and the expenses of the solicitor, so far as not recoverable from the solicitor or authorised legal business complained against, shall be paid out of the funds of the Tribunal.
52 Procedure on complaints and appeals to Tribunal.
(1) Part II of Schedule 4, shall have effect in relation to the procedure and powers of the Tribunal in relation to any complaint or appeal concerning a solicitor or an incorporated practice authorised legal business.
(2) Subject to the other provisions of this Part , the provisions of sections 16 to 23 of the 1990 Act, and of any rules of court made under this Act, the Tribunal, with the concurrence of the Lord President, may make rules—
(a) for regulating the making, hearing and determining of complaints made to it under this Act; and
(aa) for regulating the making, hearing and determining of appeals made to it under section . . . 42ZA(9), (10), (11) or (12), 42ZD(1) or 53D(1);
(ab) for regulating the making, hearing and determining of—
(i) inquiries under subsection (2A) of section 20 of the 1990 Act; and
(ii) appeals under subsection (8A)(b), (11)(b) or (11ZC) of that section.
(iii) appeals under section 20ZB(9), (10), (11) or (12) or 20ZE(1) of that Act;
(b) generally as to the procedure of the Tribunal (including provision for hearings taking place in public or wholly or partly in private).
(3) Rules made by the Tribunal under subsection (2) for regulating the making, hearing or determining of appeals referred to in paragraph (aa) or (ab)(ii) of that subsection may include provision as to persons being entitled, or required by the Tribunal, to appear or be represented at the appeal.
(1) Subject to the other provisions of this Part, the powers exercisable by the Tribunal under subsection (2) shall be exercisable if—
(a) after holding an inquiry into a complaint against a solicitor the Tribunal is satisfied that he has been guilty of professional misconduct, or
(b) a solicitor has (whether before or after enrolment as a solicitor), been convicted by any court of an act involving dishonesty (other than a conviction for an economic crime offence) or has (other than in relation to a conviction for an economic crime offence) been fined an amount equivalent to level 4 on the standard scale or more (whether on summary or solemn conviction) or sentenced to imprisonment for a term of 12 months or more , or
(ba) a solicitor has (whether before or after enrolment as a solicitor) been convicted by any court of an economic crime offence, or
(c) an incorporated practice has been convicted by any court of an offence (other than a conviction for an economic crime offence), which conviction the Tribunal is satisfied renders it unsuitable to continue to be recognised under section 34(1A); or
(c) an authorised legal business has been convicted by a court of an offence, which conviction the Tribunal is satisfied renders it unsuitable to continue—
(i) in a case where the business is an incorporated practice, to be recognised under section 34(1A), or
(ii) in any case, to be authorised to provide legal services, or
(ca) an incorporated practice has been convicted by any court of an economic crime offence, which conviction the Tribunal is satisfied renders it unsuitable to continue to be recognised under section 34(1A), or
(d) after holding an inquiry into a complaint, the Tribunal is satisfied that an incorporated practice authorised legal business has failed to comply with any provision of this Act or of rules made under this Act applicable to it.
(2) Subject to subsection (1), the Tribunal may—
(a) order that the name of the solicitor be struck off the roll; ...
(aa) if the solicitor's name has been removed from the roll under section 9, by order prohibit the restoration of the solicitor's name to the roll;
(b) order that the solicitor be suspended from practice as a solicitor for such time as it may determine; ...
(ba) order that any right of audience held by the solicitor by virtue of section 25A be suspended or revoked;
(bb) where the solicitor has been guilty of professional misconduct, and where the Tribunal consider that the complainer has been directly affected by the misconduct, direct the solicitor to pay compensation of such amount, not exceeding £5,000, as the Tribunal may specify to the complainer for loss, inconvenience or distress resulting from the misconduct;
(bc) where—
(i) an incorporated practice has been convicted, or has been found to have failed, as referred to in subsection (1)(c) or (d), and
(ii) the Tribunal consider that the complainer has been directly affected by any misconduct by the practice to which the conviction or failure is (to any extent) attributable,
direct the practice to pay to the complainer compensation (for loss, inconvenience or distress resulting from the misconduct) of such amount not exceeding £5,000 as the Tribunal may specify;
(c) subject to subsection (3ZA), impose on the solicitor or, as the case may be, the incorporated practice authorised legal business a fine not exceeding £10,000; ...
(ca) where the Tribunal is proceeding on the ground in subsection (1)(ba) or (1)(ca), or where subsection (2A) or (2B) applies, impose on the solicitor or, as the case may be, the incorporated practice, a fine of any amount;
(d) censure the solicitor or, as the case may be, the incorporated practice authorised legal business; ...
(e) impose such fine and censure him or, as the case may be, it...
(f) order that the recognition under section 34(1A) of the incorporated practice be revoked; or
(fa) order that the authorisation of a legal business to provide legal services be withdrawn, or
(g) order that an investment business certificate issued to a solicitor, a firm of solicitors or an incorporated practice be—
(i) suspended for such time as they may determine; or
(ii) subject to such terms and conditions as it may direct; or
(iii) revoked.
(2A) This subsection applies where the Tribunal is proceeding on the ground referred to in subsection (1)(a) and—
(a) the solicitor has, in relation to the subject matter of the Tribunal’s inquiry, been convicted by any court of an economic crime offence, or
(b) the misconduct referred to in subsection (1)(a) consisted of an act or omission which had the effect of inhibiting the prevention or detection of an economic crime offence.
(2B) This subsection applies where the Tribunal is proceeding on the ground referred to in subsection (1)(d) and the incorporated practice has—
(a) in relation to the subject matter of the Tribunal’s inquiry, been convicted by any court of an economic crime offence, or
(b) failed to comply with a provision or rule as referred to in subsection (1)(d) and—
(i) the failure consisted of an act or omission which had the effect of inhibiting the prevention or detection of an economic crime offence, or
(ii) the provision or rule applies only for purposes relating to the prevention or detection of an economic crime offence.
(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3ZA) The Tribunal shall not impose a fine under subsection (2)(c)—
(a) where the Tribunal is proceeding on the ground referred to in subsection (1)(a) and the solicitor, in relation to the subject matter of the Tribunal's inquiry, has been convicted by any court of an act involving dishonesty (not being an economic crime offence) and sentenced to a term of imprisonment of not less than 2 years;
(b) where the Tribunal is proceeding on the ground referred to in subsection (1)(b) , (1)(ba) or (1)(ca);
(c) where subsection (2A) or (3A) applies.
(3A) The powers conferred by subsection (2)(bb) to (e) may be exercised by the Tribunal—
(a) in relation to a former solicitor, notwithstanding that his name has been struck off the roll or that he has, since the date of the misconduct, conviction or sentence referred to in subsection (1)(a), (b) or (ba), ceased to practise as a solicitor or been suspended from practice;
(b) in relation to a body corporate which was formerly an incorporated practice authorised legal business, notwithstanding that the body has, since the date of the conviction or failure referred to in subsection (1)(c), (ca) or (d), ceased to be recognised as an incorporated practice by virtue of section 34(1A) or had its authorisation to provide legal services withdrawn.
(3B) The power conferred by subsection (2)(ba) may be exercised by the Tribunal either independently of, or in conjunction with, any other power conferred by that subsection.
(4) Any fine imposed by the Tribunal under subsection (2) shall be forfeit to Her Majesty.
(5) Where the Tribunal have exercised the power conferred by subsection (2) to censure, or impose a fine on, a solicitor, or both to censure and impose a fine, the Tribunal may order that the solicitor’s practising certificate shall be subject to such terms and conditions as the Tribunal may direct; and the Council shall give effect to any such order of the Tribunal.
(5A) Where the Tribunal have exercised the power conferred by subsection (2) to censure, or impose a fine on, an authorised legal business, or to both censure and impose a fine—
(a) the Tribunal may order that the business’s authorisation is to be subject to such conditions as the Tribunal may direct, and
(b) the Council must give effect to such an order.
(6) Where the Tribunal order that the name of a solicitor be struck off the roll, or that the solicitor be suspended from practice as a solicitor or that any right of audience held by the solicitor by virtue of section 25A be suspended or revoked, the Tribunal may direct that the order shall take effect on the date on which it is intimated to the solicitor; and if any such direction is given the order shall take effect accordingly.
(6A) Where the Tribunal order that the recognition under section 34(1A) of an incorporated practice be revoked, the Tribunal shall direct that the order shall take effect on such date as the Tribunal specifies, being a date not earlier than 60 days after its order is intimated to the incorporated practice, and such an order shall take effect accordingly.
(6AA) Where the Tribunal order that the authorisation of a legal business to provide legal services be withdrawn, the Tribunal must direct that the order is to take effect on such date as the Tribunal specifies, being a date not earlier than 60 days after its order is intimated to the authorised legal business, and such an order is to take effect accordingly.
(6B) Where the Tribunal make an order under subsection (2)(g), they may direct that the order shall take effect on the date on which it is intimated to the solicitor, firm or incorporated practice; and if any such direction is given the order shall take effect accordingly.
(6C) The Council shall give effect to any order of the Tribunal under subsection (2)(g).
(7) Where in relation to any such order as is mentioned in subsection (6) ,(6A) , (6AA) or (6B) the Tribunal give a direction under subsection (6) or, as the case may be, subsection (6A) , (6AA) or (6B), and an appeal against the order is taken to the Court under section 54, the order shall continue to have effect pending the determination or abandonment of the appeal unless, on an application under subsection (2) of section 54, the Court, otherwise directs.
(7A) In subsection (2)(g), section 53D(1) and paragraph 16(h) of Schedule 4, “ investment business certificate ” means a certificate issued by the Council under Rule 2.2 of the Solicitors (Scotland) (Conduct of Investment Business) Practice Rules 1988.
(7B) A direction of the Tribunal under this section is enforceable in like manner as an extract registered decree arbitral in its favour bearing a warrant for execution issued by the sheriff court of any sheriffdom in Scotland.
(7C) The Scottish Ministers may by order made by statutory instrument, after consulting the Council and such groups of persons representing consumer interests as they consider appropriate, amend paragraph (bb) or (bc) of subsection (2) by substituting for the amount for the time being specified in that paragraph such other amount as they consider appropriate.
(7D) A statutory instrument containing an order under subsection (7C) is not to be made unless a draft of the instrument has been laid before, and approved by resolution of, the Scottish Parliament.
(8) The Secretary of State may, by order made by statutory instrument subject to annullment in pursuance of a resolution of either House of Parliament, amend —
(a) paragraph ( c ) of subsection (2) by substituting for the amount for the time being specified in that paragraph such other amount as appears to him to be justified by a change in the value of money.
(b) the definition of “ investment business certificate ” in subsection (7A) by substituting for the reference to Rule 2.2 of the Solicitors (Scotland) (Conduct of Investment Business) Practice Rules 1988, or such reference replacing that reference as may for the time being be specified in that subsection, a reference to such Practice Rule as may from time to time replace Rule 2.2.
(9) In subsection (2)(bb) and (bc) , “ complainer ” has the same meaning as in section 42ZA.
(9A) In this section, an economic crime offence means an economic crime within the meaning given by section 193(1) of the Economic Crime and Corporate Transparency Act 2023.
(10) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(11) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
53ZA Remission of complaint by Tribunal to Council
(1) Where, after holding an inquiry under section 53(1) into a complaint of professional misconduct against a solicitor, the Tribunal—
(a) is not satisfied that he has been guilty of professional misconduct;
(b) considers that he may be guilty of unsatisfactory professional conduct,
it must remit the complaint to the Council.
(2) Where the Tribunal remits a complaint to the Council under subsection (1), it may make available to the Council any of its findings in fact in its inquiry into the complaint under section 53(1).
53ZB Powers of Tribunal on appeal: unsatisfactory professional conduct
(1) On an appeal to the Tribunal under section 42ZA(9) the Tribunal—
(a) may quash or confirm the determination being appealed against;
(b) if it quashes the determination, shall quash the censure accompanying the determination;
(c) may quash, confirm or vary the direction being appealed against;
(d) may, where it considers that the solicitor does not have sufficient competence in relation to any aspect of the law or legal practice, direct the solicitor to undertake such education or training as regards the law or legal practice as the Tribunal considers appropriate in that respect;
(e) may, subject to subsection (5), fine the solicitor an amount not exceeding £2000;
(f) may, where it considers that the complainer has been directly affected by the conduct, direct the solicitor to pay compensation of such amount, not exceeding £5,000, as it may specify to the complainer for loss, inconvenience or distress resulting from the conduct.
(2) On an appeal to the Tribunal under section 42ZA(10) the Tribunal—
(a) may quash the determination being appealed against and make a determination upholding the complaint;
(b) if it does so, may, where it considers that the complainer has been directly affected by the conduct, direct the solicitor to pay compensation of such amount, not exceeding £5,000, as it may specify to the complainer for loss, inconvenience or distress resulting from the conduct;
(c) may confirm the determination.
(3) On an appeal to the Tribunal under section 42ZA(11) the Tribunal may, where it considers that the complainer has been directly affected by the conduct, direct the solicitor to pay compensation of such amount, not exceeding £5,000, as it may specify to the complainer for loss, inconvenience or distress resulting from the conduct.
(4) On an appeal under section 42ZA(12) the Tribunal may quash, confirm or vary the direction being appealed against.
(5) The Tribunal shall not direct the solicitor to pay a fine under subsection (1)(e) 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.
(6) Any fine directed to be paid under subsection (1)(e) 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.
(7) A direction of the Tribunal under this section is enforceable in like manner as an extract registered decree arbitral in favour of the Council bearing a warrant for execution issued by the sheriff court of any sheriffdom in Scotland.
(8) The Scottish Ministers may by order made by statutory instrument—
(a) amend subsection (1)(e) 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 (1)(f) by substituting for the amount for the time being specified in that subsection such other amount as they consider appropriate.
(9) A statutory instrument containing an order under—
(a) subsection (8)(a) is subject to annulment in pursuance of a resolution of the Scottish Parliament;
(b) subsection (8)(b) is not to be made unless a draft of the instrument has been laid before, and approved by resolution of, the Scottish Parliament.
(10) In this section, “complainer” has the same meaning as in section 42ZA.
53ZC Enforcement of Council direction: unsatisfactory professional conduct
Where a solicitor fails to comply with a direction given by the Council under section 42ZA(4) (including such a direction as confirmed or varied on appeal by the Tribunal or, as the case may be, the Court) before the expiry of the period specified in the notice relating to that direction given to him under section 42ZB(1), or such longer period as the Council may allow, the direction shall be enforceable in like manner as an extract registered decree arbitral in favour of the Council bearing a warrant for execution issued by the sheriff court of any sheriffdom in Scotland.
53D Suspension etc. of investment business certificates: appeal to Tribunal.
(1) Where, in accordance with rules made under this Act, the Council suspend or withdraw an investment business certificate or impose conditions or restrictions on it the solicitor, firm of solicitors or incorporated practice to whom it was issued may, within 21 days of the date of intimation of the decision of the Council, appeal to the Tribunal against that decision.
(2) On an appeal to the Tribunal under subsection (1) the Tribunal may quash, confirm or vary the decision being appealed against.
(2A) The solicitor, firm of solicitors or, as the case may be, the incorporated practice may, before the expiry of the period of 21 days beginning with the day on which the decision of the Tribunal under subsection (2) is intimated to him or, as the case may be, it, appeal to the Court against the decision.
(2B) The Council may, before the expiry of the period of 21 days beginning with the day on which the decision of the Tribunal under subsection (2) is intimated to them, appeal to the Court against the decision.
(2C) On an appeal under subsection (2A), 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.
(2D) A decision of the Court under subsection (2C) shall be final.
(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(1A) A solicitor or an incorporated practice authorised legal business may, before the expiry of the period of 21 days beginning with the day on which any decision by the Tribunal mentioned in subsection (1B) is intimated to him or, as the case may be, it appeal to the Court against the decision.
(1B) The decision is—
(a) where the Tribunal was satisfied as mentioned in section 53(1)(a), the finding that the solicitor has been guilty of professional misconduct;
(b) where the Tribunal was satisfied as mentioned in section 53(1)(d), the finding that the incorporated practice authorised legal business has failed to comply with any provision of this Act or of any rule made under this Act applicable to the practice;
(c) in any case falling within paragraph (a) or (b), or where the decision was made because of the circumstances mentioned in section 53(1)(b) or (c), any decision under section 53(2) or (5).
(1C) The Council may, before the expiry of the period of 21 days beginning with the day on which a decision by the Tribunal under section 53(2) or (5) is intimated to them, appeal to the Court against the decision; but the Council may not appeal to the Court against a decision of the Tribunal under section 53(2)(bb) or (bc) .
(1D) Where the Tribunal has found that a solicitor has been guilty of professional misconduct but has not directed him under section 53(2)(bb) or (bc) to pay compensation, the complainer may, before the expiry of the period of 21 days beginning with the day on which the Tribunal's finding is intimated to him, appeal to the Court against the decision of the Tribunal not to make a direction under that subsection.
(1E) A complainer to whom the Tribunal has directed a solicitor under section 53(2)(bb) or (bc) 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 Court against the amount of the compensation directed to be paid.
(1F) On an appeal under any of subsections (1A) to (1E), 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.
(1G) A decision of the Court under subsection (1A), (1B), (1C), (1D), (1E) or (1F) shall be final.
(2) Where
(a) the Tribunal has exercised the power conferred by section 53(6) to direct that its decision shall take effect on the date on which it is intimated to the solicitor concerned, the solicitor may, within 21 days of that date, apply to the Court for an order varying or quashing the direction in so far as it relates to the date of taking effect ;
(b) the Tribunal has ordered the revocation of the recognition under section 34(1A) of an incorporated practice, the incorporated practice may within 21 days of the date when the order is intimated to it apply to the court for an order varying (subject to the limit of 60 days referred to in subsection (6A) of section 53) the direction under that subsection;
(ba) the Tribunal has ordered that the authorisation of a legal business to provide legal services be withdrawn, the authorised legal business may within 21 days of the date when the order is intimated to it apply to the court for an order varying (subject to the limit of 60 days referred to in subsection (6AA) of section 53) the direction under that subsection,
(c) the Tribunal has exercised the power conferred by section 53(6B) to direct that its order shall take effect on the day on which it is intimated to the solicitor, firm of solicitors or incorporated practice concerned, the solicitor, firm of solicitors or incorporated practice may, before the expiry of the period of 21 days beginning with that day, apply to the court for an order varying or quashing the direction in so far as it relates to the day on which the order takes effect;
and on any such application the Court may make the order applied for or such other order with respect to the matter as it thinks fit.
(2A) In subsections (1D) and (1E), “complainer” has the same meaning as in section 42ZA.
(2B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
54A Appeals from decisions of Tribunal: unsatisfactory professional conduct
(1) A solicitor in respect of whom a decision has been made by the Tribunal under section 53ZB(1), (2), (3) or (4) may, before the expiry of the period of 21 days beginning with the day on which the decision is intimated to him, appeal to the Court against the decision.
(2) A complainer may, before the expiry of the period of 21 days beginning with the day on which a decision by the Tribunal under section 53ZB to which this subsection applies is intimated to him, appeal to the Court against the decision.
(3) Subsection (2) applies to the following decisions of the Tribunal under section 53ZB—
(a) a decision under subsection (1)(a) quashing the Council's determination upholding the complaint;
(b) a decision under subsection (1)(c) quashing or varying a direction by the Council that the solicitor pay compensation;
(c) a decision under subsection (1)(f) directing the solicitor to pay compensation;
(d) a decision under subsection (2)(b) not to direct the solicitor to pay compensation;
(e) a decision under subsection (2)(c) confirming the Council's decision not to uphold the complaint;
(f) a decision under subsection (3) confirming the Council's decision not to direct the solicitor to pay compensation;
(g) a decision under subsection (4) quashing the Council's direction that the solicitor pay compensation or varying the amount of compensation directed to be paid.
(4) On an appeal under subsection (1) or (2), 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 under subsection (4) shall be final.
(6) In this section, “complainer” has the same meaning as in section 42ZA.
(1) In the case of professional misconduct by any solicitor the Court may—
(a) cause the name of that solicitor to be struck off the roll; or
(b) suspend the solicitor from practice as a solicitor for such period as the Court may determine; or
(ba) suspend the solicitor from exercising any right of audience held by him by virtue of section 25A for such period as the court may determine; or
(bb) revoke any right of audience so acquired by him; or
(bc) where the Court considers that the complainer has been directly affected by the misconduct, direct the solicitor to pay compensation of such amount, not exceeding £5,000, as it may specify to the complainer for loss, inconvenience or distress resulting from the misconduct; or
(c) fine the solicitor an amount not exceeding £10,000; or
(d) censure him; and in any of those events,
(e) find him liable in any expenses which may be involved in the proceedings before the Court.
(2) Subject to subsection (3), a decision of the Court under this section shall be final.
(3) A solicitor whose name has been struck off the roll in pursuance of an order made by the Court under subsection (1), may apply to the Court for an order directing his name to be restored to the roll and the Court may make such order.
(3A) A solicitor whose rights of audience under section 25A have been revoked in pursuance of an order made by the court under subsection (1) may apply to the court for an order restoring those rights, and the court may make such order.
(4) An application under subsection (3) shall be by way of petition and intimation of any such petition shall be made to the Tribunal who shall be entitled to appear and to be heard in respect of the application.
(5) The Scottish Ministers may by order made by statutory instrument—
(a) after consulting the Council and such groups of persons representing consumer interests as they consider appropriate, amend paragraph (bc) of subsection (1) by substituting for the amount for the time being specified in that paragraph such other amount as they consider appropriate;
(b) amend paragraph (c) of subsection (1) 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.
(6) A statutory instrument containing an order under—
(a) subsection (5)(a) is not to be made unless a draft of the instrument has been laid before, and approved by resolution of, the Scottish Parliament;
(b) subsection (5)(b) is subject to annulment in pursuance of a resolution of the Scottish Parliament.
(7) In this section, “complainer” has the same meaning as in section 42ZA.
(8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
55A Powers of Court: unsatisfactory professional conduct
(1) In the case of unsatisfactory professional conduct by a solicitor the Court may—
(a) fine the solicitor an amount not exceeding £2000;
(b) where it considers that the complainer has been directly affected by the conduct, direct the solicitor to pay compensation of such amount, not exceeding £5,000, as it may specify to the complainer for loss, inconvenience or distress resulting from the conduct;
(c) find the solicitor liable in any expenses which may be involved in the proceedings before it.
(2) A decision of the Court under subsection (1) shall be final.
(3) The Scottish Ministers may by order made by statutory instrument—
(a) amend subsection (1)(a) 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 (1)(b) by substituting for the amount for the time being specified in that subsection such other amount as they consider appropriate.
(4) A statutory instrument containing an order under—
(a) subsection (3)(a) is subject to annulment in pursuance of a resolution of the Scottish Parliament;
(b) subsection (3)(b) is not to be made unless a draft of the instrument has been laid before, and approved by resolution of, the Scottish Parliament.
(5) In this section, “complainer” has the same meaning as in section 42ZA.
Except as otherwise expressly provided, nothing in this Part shall affect the jurisdiction exercisable by the Court, or by any inferior court, over solicitors.
57 Admission and enrolment of solicitors as notaries public.
(1) The offices and functions of—
(a) the clerk to the admission of notaries public; and
(b) the keeper of the register of notaries public,
are hereby transferred to the Council.
(2) Any solicitor qualified to practise in accordance with section 4 may apply to the Court to be admitted as a notary public; and on any such application the Court may so admit the applicant and may direct the Council to register him in the register of notaries public.
(2A) A petition by the Council under section 6(3A) for the admission of a person as a solicitor may, if the person so requests, include an application for the person’s admission as a notary public; and an order on any such petition admitting that person as a solicitor may admit him as a notary public and direct the Council to register him in the register of notaries public.
(2B) A petition by a person under section 6(2) for his admission as a solicitor may include an application for his admission as a notary public; and an order on any such petition admitting that person as a solicitor may admit him as a notary public and direct the Council to register him in the register of notaries public.
(3) It shall not be necessary for any person to find caution on his admission as a notary public.
(4) The procedure to be followed. . . on any application by a person to be admitted a notary public may be prescribed by rules of court.
(5) The Council may charge such reasonable fees as they consider appropriate in respect of the admission of any person as a notary public.
58 Removal from and restoration to register of names of notaries public.
(1) In the case of any person who is both a solicitor and a notary public, if his name is struck off the roll of solicitors or is removed from that roll in pursuance of an order under any provision of this Act, the Council shall forthwith strike off or, as the case may be, remove his name from the register of notaries public.
(2) If the name of any such person, having been struck off or removed from the roll as aforesaid, is subsequently restored thereto in pursuance of an order under any provision of this Act, the Council shall forthwith restore the name to the register of notaries public.
(3) Where a person who is both a solicitor and a notary public is suspended from practising as a solicitor under this Act the Council shall forthwith remove the person’s name from the register of notaries public.
(4) If the suspension of such a person as is mentioned in subsection (3) is terminated or otherwise comes to an end the Council shall restore the person’s name to the register.
(5) Where a person who is a solicitor and a notary public no longer has in force a practising certificate, the Council shall forthwith remove the person's name from the register of notaries public.
(6) If the person mentioned in subsection (5) becomes qualified to practise as a solicitor in accordance with section 4, the Council shall restore the person's name to the register of notaries public.
59 Authority of notaries public to administer oaths, etc.
(1) Subject to subsection (2), in any case where the administration of an oath, or the receipt of an affidavit or solemn affirmation, is authorised by or under any enactment, it shall be lawful for the oath to be administered, or, as the case may be, for the affidavit or affirmation to be received, by a notary public.
(2) Nothing in this section applies to an oath or affirmation relating to any matter or thing relating to the preservation of the peace or to the prosecution, trial or punishment of an offence, or to any proceedings before either House of Parliament or any committee thereof or before the Scottish Parliament or any committee thereof.
(3) This section is without prejudice to any other statutory provision relating to the administration of oaths by notaries public.
(1) Subject to subsections (2) and (3), the Council may, if they think fit, make rules for regulating in respect of any matter the admission, enrolment and professional practice of notaries public.
(2) The Council shall, before making any rules under this section—
(a) send to each notary public a draft of the rules; and
(b) take into consideration any representations made by any notary public on the draft.
(3) Rules made under this section shall not have effect unless the Lord President, after considering any representations the Lord President thinks relevant, has approved the rules so made.
(4) If a notary public fails to comply with any rule made under this section that failure may be treated as professional misconduct or unsatisfactory professional conduct on the part of the solicitor who is the notary public.
(1) Subject to the provisions of this section, solicitors and incorporated practices may enter into multi-national practices with registered foreign lawyers.
(2) The Council shall maintain a register of foreign lawyers, and may make rules with regard to registration; and, without prejudice to the generality of the foregoing, such rules may include provision as to—
(a) the manner in which applications for registration are to be made;
(aa) the information which shall accompany such applications;
(b) the fees payable in respect of such applications;
(c) conditions which may be imposed in respect of registration; and
(d) the period for which any such registration is to run.
(3) Section 34(2) and (3) apply to rules made under subsection (2) as they apply to rules made under that section.
(4) A foreign lawyer may apply to the Council to be registered as such for the purposes of—
(a) subsection (1); or
(b) having an interest in a licensed legal services provider as a solicitor investor within the meaning given by section 67(6) of the 2010 Act.
(4ZA) Where an application is made under subsection (4), the Council are to enter the lawyer’s name on the register of foreign lawyers if they are satisfied that the legal profession of which the applicant is a member is so regulated as to make it appropriate for the applicant to be registered for those purposes.
(4A) Any person may inspect the register of foreign lawyers during office hours without payment.
(4B) A registered foreign lawyer who wishes his name to be removed from the register of foreign lawyers may make an application to the Council in that behalf, and the Council shall, if the registered foreign lawyer satisfies the Council that he has made adequate arrangements with respect to the business that he has then in hand, remove the name of that foreign lawyer from the register of foreign lawyers.
(4C) On an application to the Council by a foreign lawyer whose name has been removed from the register of foreign lawyers under subsection (4B), the Council may, after such inquiry as they think proper, restore the name of the foreign lawyer to the register of foreign lawyers.
(4D) A foreign lawyer whose name has been removed (other than pursuant to an application made under subsection (4B)) from the register of foreign lawyers shall have his name restored to that register only if, on an application in that behalf made by him to the Tribunal and after such inquiry as the Tribunal thinks proper, the Tribunal so orders.
(4E) Rules made by the Tribunal under section 52 (procedure on complaints to the Tribunal) may–
(a) regulate the making, hearing and determining of applications under subsection (4D); and
(b) provide for payment by the applicant to the Council of such fee in respect of restoration to the register of foreign lawyers as the rules may specify.
(4F) Where, following an application under subsection (4), the Council decide not to enter the name of a foreign lawyer in the register of foreign lawyers the applicant may, within three months of the notification to him of the Council’s decision (or later with the permission of the court), appeal to the court against the decision and, on such an appeal, the court may–
(a) order the Council to register the foreign lawyer;
(b) refuse the appeal; or
(c) remit the matter to the Council with such directions as it sees fit.
(4G) Sections 24A to 24G (registration certificates for registered European lawyers) shall apply to registered foreign lawyers as they apply to registered European lawyers and any reference in those sections (as so applied) to a registration certificate shall be construed as a reference to a registration certificate for a registered foreign lawyer.
(5) Subject to subsection (6), the Secretary of State may by order made by statutory instrument provide that any enactment or instrument—
(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b) having effect in relation to solicitors; and
(c) specified in the order,
shall have effect with respect to registered foreign lawyers as it has effect with respect to solicitors.
(6) Before making any order under subsection (5), the Secretary of State shall consult the Council.
(7) An order under subsection (5) may provide for an enactment or instrument to have effect with respect to registered foreign lawyers subject to such additions, omissions or other modifications as the Secretary of State specifies in the order.
(8) No order shall be made under subsection (5) unless a draft of the order has been approved by both Houses of Parliament.
(1) Subject to the provisions of this section, no bank or building society shall, in connection with any transaction on any account of a solicitor or an incorporated practice authorised legal business kept with it or with any other bank or building society—
(a) incur any liability, or
(b) be under any obligation to make any enquiry, or
(c) be deemed to have any knowledge of any right of any person to any money paid or credited to the account,
which it would not incur, or be under, or be deemed to have (as the case may be) in the case of an account kept by a person entitled absolutely to all money paid or credited to it; but nothing in this subsection shall relieve a bank or building society from any liability or obligation under which it would be apart from this Act.
(2) In subsection (1) “account” does not include an account kept by a solicitor or an incorporated practice authorised legal business as trustee for a specified beneficiary.
(3) Notwithstanding anything in the preceding provisions of this section a bank or building society at which a solicitor or an incorporated practice authorised legal business keeps a special account for clients’ money shall not, in respect of any liability of the solicitor or, as the case may be, the incorporated practice authorised legal business to the bank or building society (not being a liability in connection with that account) have or obtain any recourse or right, whether by way of set-off, counter-claim, charge or otherwise, against money standing to the credit of that account.
(1) Subject to the provisions of this section, and without prejudice to—
(a) section 32(1)(i) of the Sheriff Courts (Scotland) Act 1971; or
(b) section 5(h) of the Court of Session Act 1988,
where a solicitor and his client have reached an agreement in writing as to the solicitor’s fees in respect of any work done or to be done by him for his client it shall not be competent, in any litigation arising out of any dispute as to the amount due to be paid under any such agreement, for the court to remit the solicitor’s account for taxation.
(2) Subsection (1) is without prejudice to the court’s power to remit a solicitor’s account for taxation in a case where there has been no written agreement as to the fees to be charged.
(3) A solicitor and his client may agree, in relation to a litigation undertaken on a speculative basis, that, in the event of the litigation being successful, the solicitor’s fee shall be increased by such a percentage as may, subject to subsection (4), be agreed.
(4) The percentage increase which may be agreed under subsection (3) shall not exceed such limit as the court may, after consultation with the Council, prescribe by act of sederunt.
(1) Where a solicitor has been employed by a client to pursue or defend any action or proceeding, the court before which the action or proceeding has been heard or is depending may declare the solicitor entitled, in respect of the taxed expenses of or in reference to the action or proceeding, to a charge upon, and a right to payment out of, any property (of whatsoever nature, tenure or kind it may be) which has been recovered or preserved on behalf of the client by the solicitor in the action or proceeding; and the court may make such order for the taxation of, and for the raising and payment of, those expenses out of the said property as the court thinks just.
(2) Where a declaration has been made under subsection (1) any act done or deed granted by the client after the date of the declaration except an act or deed in favour of a bona fide purchaser or lender, shall be absolutely void as against the charge or right.
62A Council’s power to recover expenses incurred under section. . . 45 or 46.
(1) Without prejudice to the Society’s entitlement under section 46(4) to recover expenses, the Council shall be entitled to recover from a solicitor (or from the estate of a solicitor who has died) or incorporated practice authorised legal business in respect of whom it has taken action under section . . . 45, or 46 45A or 46A (including, but not limited to, giving directions under section 45A(4) or 46A(4), any expenditure reasonably incurred by it in so doing.
(2) Expenditure incurred in taking action under section . . . 45 or 46 is recoverable under subsection (1) above only where notice has been served under paragraph 5(2) of Schedule 3 in connection with that action and—
(a) no application has been made in consequence under paragraph 5(4) of that Schedule; or
(b) the Court, on such an application, has made a direction under paragraph 5(5) of that Schedule.
(3) The Court, on the application of the Council, may order a current or former partner, owner, director or member (as the case may be) of a solicitor or an authorised legal business in respect of whom the Council has taken any action under sections 45A or 46A (including, but not limited to, making directions under section 45A(4) or 46A(4)) to pay a specified proportion of the expenditure mentioned in subsection (1).
(4) The Court may make an order under subsection (3) only if it is satisfied that the conduct (or any part of the conduct) by reason of which the powers conferred by sections 45A or 46A were exercisable in relation to the solicitor or authorised legal business was conduct carried on with the consent or connivance of, or was attributable to any neglect on the part of, the current or former partner, owner, director or member.
(5) In subsection (3), “specified” means specified in the order made by the Court.
63 Penalties and time limit for prosecution of offences
(1) Any person guilty of an offence under this Act shall be liable on summary conviction to a fine not exceeding level 4 on the standard scale . . ..
(2) Notwithstanding any provision of the Criminal Procedure (Scotland) Act 1975, the prosecution of any offence under this Act shall be commenced within 6 months of its first discovery by the prosecutor or in any event within 2 years after the commission of that offence.
(3) Where an offence under this Act is committed by a body corporate and is proved to have been committed with the consent or connivance of or to be attributable to any neglect on the part of—
(a) any director, secretary or other similar officer of the body corporate; or
(b) any person who was purporting to act in any such capacity,
he (as well as the body corporate) shall be guilty of the offence and shall be liable to be proceeded against and punished accordingly.
(4) Where an offence under this Act is committed by a partnership or by an unincorporated association (other than a partnership) and is proved to have been committed with the consent or connivance of a partner in the partnership or, as the case may be, a person concerned in the management or control of the association, he (as well as the partnership or association) shall be guilty of the offence and shall be liable to be proceeded against and punished accordingly.
Any notice or other document which is required or authorised under this Act to be given to, or served on, any person shall be taken to be duly given or served if it is delivered to him or left at, or sent by post to, his last-known place of business or residence or, in the case of an incorporated practice authorised legal business, it is left at, or delivered or sent by post to, its registered office or last intimated address.
64A Advisory and supervisory functions of the Competition and Markets Authority .
(1) Before considering any rule—
(a) made under section 25A(4) or (5)...
(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
the Secretary of State shall send a copy of the proposed rule in question to the CMA .
(2) The CMA shall consider whether the rule in question would have, or would be likely to have, the effect of restricting, distorting or preventing competition to any significant extent.
(3) When the CMA has completed its consideration, the CMA shall give such advice to the Secretary of State as it thinks fit.
(4) The CMA may publish advice given under subsection (3).
(5) The CMA shall, so far as practicable, exclude from anything published under subsection (4) any matter—
(a) which relates to the affairs of a particular person; and
(b) the publication of which would, or might in the CMA's opinion, seriously and prejudicially affect the interests of that person.
(6) For the purposes of the law of defamation, the publication of any advice or report by the CMA under this section shall be absolutely privileged.
When he has received advice under section 64A(3) in relation to a rule made under section 25A(4) or (5) ..., the Secretary of State may, having considered—
(a) that advice;
(b) whether the interests of justice require that there should be such a rule; and
(c) in relation to a rule made under section 25A(5), any relevant practice obtaining in the sheriff court,
approve or refuse to approve the rule.
64C Investigatory powers of the Competition and Markets Authority .
(1) For the purpose of investigating any matter under section 64A, the CMA may by notice in writing—
(a) require any person to produce to the CMA or to any person appointed by the CMA for the purpose, at a time and place specified in the notice, any documents which are specified or described in the notice and which—
(i) are in that person’s custody or under that person’s control; and
(ii) relate to any matter relevant to the investigation; or
(b) require any person carrying on any business to furnish to the CMA (within such time and in such manner and form as the notice may specify) such information as may be specified or described in the notice.
(2) A person shall not be required under this section to produce any document or disclose any information which he would be entitled to refuse to produce or disclose on the grounds of confidentiality between a client and his professional legal adviser in any civil proceedings.
(2A) A notice under this section may be issued on the CMA's behalf by any member of the CMA Board.
(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .