RF1 notes part C
C. Head office details for RELs and RFLs
3.1 Renewing REL's registration
RELs will be listed according to their status within the organisation. In a partnership, partners are listed first followed by assistants, associates and consultants. In an LLP, members are listed first and in a company, directors are listed first.
If any REL has been omitted from the form, enter his/her details in the "new RELs" section for the office with which the REL is most closely associated (either section 4.2 or 5.7 of the form). Please ensure that you provide the exact start date (e.g. 10/03/2009).
Every REL has a unique SRA number, which should be quoted when contacting us.
A person's status in the organisation should be listed here. See glossary of these notes for a full list of statuses. Include any dates when changes to status took effect in "Additional information". Use a separate sheet if necessary.
For guidance on completing this section please refer to section 2.1 "client money" of these notes.
Please note, reference to a solicitor should be interpreted as reference to a REL, and references to practise as an REL should be interpreted as reference to the provision of legal services in the UK under, or in reliance upon, a REL's professional title.
Work categories
The directory holds information on the types of work undertaken by RELs. The online directory is Find a solicitor. The form is pre-printed with details from our current records.
Please check the details and amend them if necessary, referring to our list of work categories. Our records hold a maximum of six categories.
Languages
The directory holds information on languages (other than English) spoken by REL s. The online directory is Find a solicitor. The form is pre-printed with details from our current records.
Please check the details and amend them if necessary, referring to our list of languages. Our records hold a maximum of six languages.
Reduced registration fee
If an REL qualifies for a reduced registration fee, please note this in "Additional information". If a reduced registration fee applies, list the RELs and their respective categories in section I.
Additional information
You should use this section to detail the effective dates of changes that have been made. Examples include the following:
- Changes in positions in your organisation should be noted. If there is not enough space, use another sheet and attach it to the form.
- If an REL has moved permanently to another of your offices, give the details under "Additional information". Please provide the SRA number and name of the office to which he/she has moved and the exact date of the move. You do not need to include his/her details under the new office if this office is included in the same form.
- If an REL has left your organisation, please cross out their details and give the exact date they left, together with a forwarding address, if known. You should also cross out their fees from the fee calculation page.
- If admitted in another EU jurisdiction.
3.2 Renewing RFLs registration
If any RFL has been omitted from the form you should enter his or her details to the "New RFLs" section for the office with which the RFL is most closely associated (either section 4.3 or 5.8). Please ensure you provide his or her exact start date (e.g. 10/03/2009).
From 31 March 2009 there is a new definition of "client money".
For practice in England and Wales, "client money" is defined in rule 13 of the Solicitors' Accounts Rules 1998 as follows:
- "All money held or received in the course of practice falls into one or other of the following categories:
- "client money" money held or received for a client or as trustee, and all other money which is not office money; or
- "office money" money which belongs to the solicitor or the practice."
For practice outside England and Wales, client money is defined in rule 24 of the Code as:
"…money you receive or hold for or on behalf of a client or trust"
Client money or controlled trust money held before 31 March 2009
In respect of the period before 31 March 2009 the questions relate to the holding of client money or controlled trust money as set out in the previous versions of the Solicitors Accounts Rules 1998 and rules 15.27 and 23.01 of the Solicitors' Code of Conduct 2007.
- All the questions below relate to the practising year 1 November 2008 to 31 October 2009. They apply to all English and Welsh offices of
- Change the answer to any question if it is printed incorrectly on the form.
- Change the relevant fee calculation if changing an answer means the Compensation Fund contribution payable is different. For example, if an RFL partner who is shown on the form as practising mainly from an office in England and Wales went to work from an office outside England and Wales before the beginning of the practising year 2008/2009, you should change his/her Compensation Fund contribution on the fee calculation page.
Questions A to D
- Answer all four questions, even though some of them, at first sight, may appear to be covering the same ground.
- Change the answer to any question if it is printed incorrectly on the form.
- If you change the answer to A, B or C, you may also need to change the fee calculation because the Compensation Fund contribution for this RFL may have changed.
- The answers to questions A, B and D should cover all office(s) of your organisation from which the RFL's relevant practise is carried on, and any other recognised body through which the RFL practises. For example:
- a) If the RFL is a partner, the answer should cover all English and Welsh offices of the recognised body partnership.
- b) If the RFL is a member of an LLP or a director of a company, the answer should cover all English and Welsh offices of the LLP or company.
- c) If the RFL is a partner in another recognised body as well as being a partner in your firm, the answer should cover all English and Welsh offices of both recognised bodies.
- Questions A, B and D relate to the activities of all English and Welsh offices of
- a) any recognised body partnership in which the RFL is a partner,
- b) any recognised body company of which the RFL is a director, and
- c) any recognised body of which the RFL is a member; including recognised bodies which are not part of your own organisation.
- The answers to questions A, B and C determine whether the RFL must pay the higher rate of compensation fund contribution, a reduced rate or a nil contribution. The answer to question D determines whether or not the RFL must deliver an accountant's report.
Question A
- The answer to question A is "yes" even if the RFL was only held out as a partner.
- If a cheque was made out to the RFL or to the and was signed over to a client or beneficiary, then the answer to question A is "yes", because the money has been "received" by the , even though it was not banked in the 's account.
- If money was held or received only in relation to an office or offices of the outside England and Wales, the answer to question A is "no".
- If the RFL was a partner in the but became a consultant before the beginning of the practising year 2008/2009, the answer to question A is "no", unless the RFL was a partner in another which held or received client money.
Question B
If the answer to question B is "yes", the RFL must pay a compensation fund contribution (which will be the full RFL contribution unless the answer to question C is "yes").
- The RFL will have held or received client money through an LLP or company if the RFL was a director, member or shareowner of
- a) an LLP or company which held or received client money in respect of practice in England and Wales; or
- b) a body corporate which directly or indirectly owned the whole or any part of an LLP or company, which held or received client money in respect of practice in England and Wales.
Rule 14.03(1)(b) and (c) of the Code states
- "(b) A recognised body which is an LLP must be incorporated in England and Wales or in Scotland under the Limited Liability Partnerships Act 2000.
- (c) A company recognised body must be:
- (i) incorporated and registered in England and Wales or in Scotland under Part I of the Companies Act 1985;
- (ii) incorporated in an Establishment Directive state and registered as an overseas company under Part I of the Companies Act 1985; or
- (iii) incorporated and registered in an Establishment Directive state as a societas Europaea."
Question C
The answer to question C determines whether an RFL's compensation fund contribution (if payable) will be the full RFL contribution or the reduced RFL contribution.
- If the RFL spent more than half his or her time at an office or offices outside England and Wales, the answer to question C is "yes".
Question D
If you have answered "yes" to question A, the answer to question D is also "yes".
If you have answered "no" to question A, the answer to question D will not necessarily be the same.
- The answer to question D is "yes"if, in respect of practice in England and Wales in the 12 months to 31 October 2009, the RFL
Please note that whilst "client money" now means both client money and controlled trust money, both terms have been set apart in the explanations below for clarity.
- An RFL will always have held or received client money as a partner of a recognised body partnership (whether or not the RFL was a signatory to the client account) if the RFL was a partner, or was held out as a partner, in a recognised body partnership which held or received client money in connection with the practise of its English or Welsh office(s).
- A recognised body partnership has received money (but has not held it) where a cheque has been received and signed over to a client or beneficiary without being banked in the recognised body partnership's account.
- An RFL who ceases to be a partner and becomes a consultant may remain a trustee of one or more controlled trusts, and thus continues to hold controlled trust money.
- A client's own account means an account in the name of a client (not a recognised body's separate designated client account). An RFL may be a signatory of a client's own account, either under a power of attorney or, for example, as signatory for a company or charity.
- If the RFL is required to deliver one or more accountant's reports in respect of practice in England and Wales, but not in respect of the practice of your firm, please answer "yes", but add a note "not through this firm". This is to make sure that the RFL is not asked to send an accountant's report in respect of your firm. It would also be helpful if you give the name of the other firm.
Work categories
The directory holds information on the types of work undertaken by RFLs. The online directory is Find a solicitor. The form is pre-printed with details from our current records. Please check the details and amend them if necessary, referring to our list of work categories. Please note that our records hold a maximum of six categories.
Languages
The directory holds information on languages (other than English) spoken by RFLs. The online directory is Find a solicitor. The form is pre-printed with details from our current records.
Please check the details and amend them if necessary, referring to our list of languages. Please note that our records hold a maximum of six languages.
Reduced registration fee
If an RFL qualifies for a reduced registration fee, please note this in "Additional information". If a reduced registration fee applies, list the RFLs and their respective categories in section I.
Additional information
You should use this section to give full details of
- any changes you need to make on the form about the RFL,
- any office or offices in England and Wales from which he/she has practised plus his/her main practising address if outside England and Wales,
- the date of any changes or the event reported, and