Last updated 7 September 2009
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REG3 notes
It is important to refer to these notes to complete form REG3. Click Quick links to content above to navigate to the relevant section. To return to the top of the page, use your browser's Back button; if you have a recent browser, click the arrow icon on the right of the screen.
About Form REG3
On 1 July 2009, the SRA Practising Regulations 2009 came into force as a result of the changes under the Legal Services Act 2007. Regulation 3.1 of the Practising Regulations replaced section 12(1) of the Solicitors Act 1974.
Form REG3 is to notify the SRA of your intention to apply for a practising certificate (PC) or registration to be a registered European lawyer (REL) if regulation 3 of the SRA Practising Regulations 2009 applies to you.
You may also fill in Form REG3 to tell us that you do not want to renew your PC/registration.
You will need to complete Form REG3 in addition to an application for a practising certificate (PC) or registration (including a renewal) if regulation 3 of the SRA Practising Regulations 2009 applies to you.
Please be advised that in these notes:
How to use form REG3
Please answer all questions and complete all the relevant sections.
If there is a need to submit any additional documents, please ensure that these have been referenced on an enclosure list. Please ensure that you have marked each document clearly with the section of the form to which it relates.
If you make an error during completion of the form, please put a line through any deletions. Do not use liquid paper.
The declaration must be signed before submitting the form.
If you require an application for a practising certificate (RF3 form), please go to Form RF3 individual application.
Introduction
This form is to notify the SRA of your intention to apply for a practising certificate or registration to be a registered European Lawyer (REL) if regulation 3 of the SRA Practising Regulations 2009 applies to you.
You need to complete this in addition to an application for a practising certificate (PC) or registration (including a renewal).
Note that, in these notes,
Who needs to fill in this form
You must fill in this form if
- you wish to apply for/renew a practising certificate/registration, and
- any of the paragraphs in regulation 3.1 apply to you.
You may also fill in this form to tell us you do not want to renew your practising certificate/registration, or you can contact us.
Frequently asked questions
Do I need to send original documents?
No, unless we specify that we need originals, please send copies of all documents. We cannot return any documents.
If documents that you need to submit are not available, you may send in your application but please provide details in your covering letter of the documents, why they are outstanding, and when you expect to be able to send them to us.
What if I have changed my name?
If you have changed your name, you will need to send us a copy of the documentation, for example your marriage certificate, deed of name change etc.
What do I do if any information on the form is incorrect?
We may include on the form details that we already hold about you. If this information is wrong, please put a line through it and write the correct information and the date that any changes came about.
If there isn't enough space on the form to add new information, please use a separate piece of paper and indicate which question you are referring to.
Please do not use liquid paper or obscure the original pre-printed information.
What if I need further help to fill in the form?
If you need help, please contact us.
Section 1 – Personal details
Please state your full name as recorded in SRA records.
If your name has changed
Please ensure that you have attached to your application a signed copy of evidence for example, a photocopy of your marriage certificate or a certified copy of a deed of name change.
SRA number
You can find your SRA number on your certificate of admission and on your practising certificate/registration.
Contact details
Please state your main practising address or the address you would prefer us to use for correspondence.
Please give us your email address and the telephone number you would prefer us to use when contacting you.
Section 2 – PC/registration
You can use this form to tell us that you do not wish to renew your PC/registration but you may also tell us by email or telephone (see contact details in Frequently asked questions above).
2.1 Please say if you want to apply for a PC/registration.
If you don't wish to apply then please provide the exact date you ceased to practise in order for us to update our records accurately. If you have ceased to practise, please go straight to section 7 once you have completed section 2.1.
If you do want to apply for PC/registration please complete all remaining sections of the form.
2.2 Commencement date
Your practising certificate/registration can only commence on or after the date on which a decision is made to grant your application.
2.3 Conditions on your PC/registration
If you have condition(s) on your practising certificate/registration and you would like us to consider removing the conditions; this question gives you the opportunity to explain your reasons why.
We do not guarantee that we will remove the conditions.
Section 3 – Character and suitability to act as a solicitor/REL
You must answer this in full please do not leave any questions blank or this may delay your application.
There may be some duplication of information in later sections of the form but this section is included to provide a fuller picture to help us assess character and suitability to practise. For example, you do need to declare matters even though they may already be listed in Section 4 of the form.
If you answer "Yes" to any of the questions in this section, please provide a full statement of events and attach securely to the application form.
Honesty, integrity or respect for law (Q 14) You need to provide details as to whether you have ever been involved in "other conduct" which calls these matters into question. We expect you to interpret this question broadly. You must provide information about matters which are not the subject of another question on the form, but are or may be relevant to the consideration of your character and suitability for example:
- a caution,
- a warning,
- an Anti-Social Behaviour Order,
- a charge/conviction relating to an offence which is not indictable
- an investigation or any disciplinary action by a professional/regulatory body since you were last issued with a practising certificate/registration.
You will need to provide all documentation relating to such matter(s).
Spent convictions please note that convictions which are "spent" under the Rehabilitation of Offenders Act 1974 must be disclosed by virtue of the Rehabilitation of Offenders Act 1974 (Exceptions) (Amendment) (England and Wales) Order 2008.
Section 4 – Regulation 3.1 of the Practising Regulations 2009
To complete this section, please refer to regulation 3.1 of the Practising Regulations as set out below.
We may already have listed some matters in this section. If so, please check that they are correct and, if not, amend the details. If no matters, or not all relevant matters, are listed please add the details of these. You should specify the relevant paragraph of regulation 3.1 and indicate the nature of the matter, for example:
- 3.1(g) Condition on my PC
- 3.1(b) Did not give a satisfactory explanation (January 2005)
- 3.1(k)(ii) Entered a PVA for my separate business.
Note An application for replacement of a PC or for renewal of registration must be made at least six weeks before the replacement or renewal date (see regulation 3.2(a)).
Regulation 3.1
Regulation 3 applies (subject to 3.3) to an initial application for a practising certificate, an application for replacement of a practising certificate, an initial application for registration in the register of European lawyers and an application for renewal of registration in the register of European lawyers, in any of the following circumstances in regulation 3.1
Section 5 – Applications where regulation 3.1(j) and/or (k) apply.
Please send copies, not originals, of your documents. We cannot return any documents.
If you are the subject of more than one matter mentioned in regulation 3.1(j) and/or (k) please photocopy this section before completion.
In this section we ask about the nature of your financial difficulties to help us assess the risk involved in granting you a practising certificate, and whether, if granted, it is appropriate to attach conditions. Please note that, if we consider it to be in the public interest, we may attach conditions to a PC/registration and/or to the recognition of a recognised body.
5.1 Please provide the date of the bankruptcy, insolvency matter or voluntary arrangement together with copies of supporting documents. The dates and examples of the types of relevant documents are as follows:
- Bankruptcy the date of the bankruptcy order. Please provide a copy of the order.
- Voluntary arrangement the date you or the organisation entered the arrangement. Please provide a copy of the arrangement.
- Winding up order the date of the order. Please provide a copy of the order.
- Administration order the date of the order. Please provide a copy of the order.
- Administrative receivership the date the receiver was appointed. Please provide a copy of the appointment.
- Voluntary winding up the date of the appointment of the liquidator. Please provide a copy of the appointment.
5.2 to 5.4 If the insolvency matter or voluntary arrangement relates to an organisation e.g. a partnership, LLP or company (whatever the nature of the business), please provide the details requested so that we can identify whether the issue concerns a legal practice or an unrelated type of business.
Where we ask for the registration number of a body, please provide the Companies House number.
5.5 Please indicate what the total amount of the liabilities in the bankruptcy was or, if the insolvency matter or voluntary arrangement relates to an organisation, indicate what were the liabilities of the organisation on the date specified in 5.1.
5.6 If there were liabilities to clients, we need to know if all money has been repaid from client account or whether money is still owed. If clients have not received all funds due to them, please prepare and submit a schedule showing in respect of each client the original liability and what amount of this has been paid so far.
5.7 If there has been a distribution of funds to reduce the liabilities to creditors, or you expect that there will be, please indicate the level of this. If there has not been a distribution and you do not expect there to be one, please write N/A.
5.8 Please give a brief summary of the background of the bankruptcy, insolvency matter or voluntary arrangement, including whether it was related in any way to your practice as a lawyer. Please also refer to any additional documents that you provide as background.
5.9 If the voluntary arrangement has been fulfilled please let us know the date that this was completed. If the arrangement is continuing please say if you are complying with the terms of the arrangement or, if not, please give details.
5.10 If your bankruptcy has been discharged, please provide a copy of the discharge.
5.11 If applicable, please provide details of why you are subject to a bankruptcy restriction order as we may wish to take this into account your bankruptcy
5.12 Please provide a summary of the present position.
Section 6 – Solicitors/RELs who do not hold a current PC or have a current registration
Please state whether you have practised or been held out as a solicitor/REL since you last held a PC or were registered in the register of European lawyers. Rule 20.02 of the Code (see here) makes clear that you may have been practising even in circumstances where for example you were not working in a solicitor's practice or you did not hold yourself out as a solicitor/REL.
If you have practised without a PC or being registered please provide a full explanation of the work carried out and the specific time period(s) it relates to as we will need to take this into account when considering your application and whether any other action may be appropriate.
Section 7 – Applicant's Declaration
Your full name must be given and must be legible, and you must sign and date the declaration if you don't, it will be returned to you. In signing the declaration you give consent to the SRA to make any further enquiries necessary in order to assess your application. The declaration relates to the entire form and any supplementary sheets you provide.
Section 8 – Fees
A fee of £200 is only payable for applications made under Regulation 3.1(c).
Section 9 – Returning the form
Please make sure you complete all the relevant boxes on the form and have supplied all additional information required.
If you make an error during completion of the form please put a line through any deletions. Do not use liquid paper.
Please list details of all additional pages, other supporting documents and information on an enclosure list. Please mark each document clearly with the section of the form to which it relates.
Please send your form and all supporting documents to:
Operations Unit
Solicitors Regulation Authority
Ipsley Court
Berrington Place
Redditch
B98 0TD
or DX 19114 Redditch
Please contact us at operations@sra.org.uk or call 0870 606 2555.