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A decision to close a practice

We can, in effect, close a practice. We call this an "intervention". An intervention has the effect of ending the practice.

An intervention is a step taken to protect clients' interests and money. It is a protective measure, and does not necessarily mean we have made any findings against a regulated person or firm. A prosecution before the Solicitors Disciplinary Tribunal is likely to follow.

Effects of an intervention

  • We take possession of the practice documents, including client papers.
  • We take possession of any money held by the practice—the money is held by us for the benefit of those entitled to it.

When do we intervene?

Legislation gives us a range of reasons for intervention. These are known as "grounds".

We can intervene if

  • there are grounds to intervene, and
  • an intervention is needed to protect the public.

A regulated person or firm can appeal to the High Court against our decision to close their practice.

Reasons for an intervention

Legislation gives us a range of reasons for closing a practice. These are known as "grounds" for intervention. An example is when we have reason to suspect dishonesty by a regulated person.

Other examples of grounds for intervention

  • A recognised sole practitioner has been adjudged bankrupt.
  • A recognised sole practitioner has been committed to prison.
  • There has been a serious breach of the Accounts Rules.
  • The firm has been abandoned.

More information about grounds for intervention