RF1 notes part G

G. Regulation 3

7.1 Solicitors and RELs

This section applies to solicitors and RELs who are applying for renewal of a practising certificate or registration who are subject to any of the events listed under Regulation 3 of the Practising Regulations.

This section contains information about any solicitor to whom Regulation 3 of the Practising Regulations applies, according to our records. Please check that the pre-printed information is correct and make any changes necessary.

If a solicitor or REL is subject to Regulation 3, he/she also needs to complete a form REG3. Please note that until we have received and considered the REG3 application, the practising certificate or registration will not be granted.

If any of the paragraphs in Regulation 3 apply to you, i.e. paragraphs (a) to (s), apply to any solicitors or RELs in your organisation then they are required to complete the REG3 form.

If a solicitor or REL has not already received form REG3, please contact us immediately. If they are subject to Regulation 3, we require six weeks notice of intention to apply for a practising certificate or registration.

Practising Regulation 3.1 lists the following matters:

"3.1 (a) […] has been:

• (i) reprimanded, fined made the subject of disciplinary sanction or made the subject of an order under section 43 of the Solicitors Act 1974, ordered to pay costs or made the subject of a recommendation to the SRA to consider imposing a condition, by the Solicitors Disciplinary Tribunal, or struck off or suspended by the Court;
• (ii) made the subject of an order under section 43 of the Solicitors Act 1974 by the Law Society or the SRA or rebuked or fined under section 44D of that Act by SRA;
• (iii) made the subject of, or been a manager of a recognised body which has been the subject of, an intervention by the SRA; or
• (iv) made the subject of a disciplinary sanction by, or refused registration with or authorisation by, another approved regulator, professional or regulatory tribunal, or regulatory authority, whether in England and Wales or elsewhere.
• (b) The SRA has requested an explanation in respect of a matter relating to his or her conduct and has notified him or her in writing that it does not regard his or her response, or lack of response, as satisfactory.
• (c) […] has failed to deliver within the period allowed an accountant's report required by rules made under section 34 of the Solicitors Act 1974.
• (d) […] his or her practising certificate or registration has been suspended and the suspension:
  • (i) has come to an end;
  • (ii) was continuing when his or her last practising certificate or previous registration expired or was revoked; or
  • (iii) is continuing.
• (e) has been suspended from practice (or suspended from practice in the UK, if the applicant is a European lawyer), and the suspension has come to an end.
• (f) […] his or her last practising certificate or previous registration expired or was revoked whilst subject to a condition.
• (g) […] his or her practising certificate or registration is currently subject to a condition.
• (h) […] his or her right to practise as a lawyer of another jurisdiction or as a lawyer of England and Wales (other than as a solicitor) is subject to a condition or restriction.
• (i) […] has been restored to the roll or register, having previously been struck off.
• (j) […] is an undischarged bankrupt.
• (k) […]
  • (i) has been adjudged bankrupt and discharged;
  • (ii) has entered into an individual voluntary arrangement or a partnership voluntary arrangement under the Insolvency Act 1986;
  • (iii) has been a manager of a recognised body which has entered into a voluntary arrangement under the Insolvency Act 1986;
  • (iv) has been a director of a company or a member of an LLP which has been the subject of a winding up order, an administration order or administrative receivership; or has entered into a voluntary arrangement under the Insolvency Act 1986; or has been voluntarily wound up in circumstances of insolvency.
• (l) […] he or she lacks capacity (within the meaning of the Mental Capacity Act 2005) and powers under sections 15 to 20 or section 48 of that Act are exercisable in relation to him or her.
  • (m) […] has been committed to prison in civil or criminal proceedings and:
  • (i) has been released; or
  • (ii) has not been released.
  • (n) […] has been made subject to a judgment which involves the payment of money, other than one:
  • (i) which is limited to the payment of costs; or
  • (ii) in respect of which the applicant is entitled to indemnity or relief from another person as to the whole sum; or
  • (iii) which the applicant has paid, and supplied evidence of payment to the SRA.
• (o) […] is currently charged with an indictable offence.
• (p) […] has been convicted of an indictable offence or any offence under the Solicitors Act 1974, the Financial Services and Markets Act 2000, the Immigration and Asylum Act 1999 or the Compensation Act 2006.
• (q) […] has been disqualified from being a company director.
• (r) […] has been removed from the office of charity trustee or trustee for a charity by an order within the terms of section 72(1)(d) of the Charities Act 1993.
• (s) […] has been the subject in another jurisdiction of any circumstance equivalent to those listed in (j) to (r)."

7.2 Notice that Regulation 3 applies

You should give details in this section of any solicitor or REL to whom Regulation 3.1 applies, if these details are not printed in section 7.1. Firms should check with solicitors and RELs if Regulation 3.1 applies to them before filling this in. For example, a solicitor or REL may

• have an outstanding money judgement against him/her, or
• have entered into a composition with his/her creditors.

If you are providing details of a solicitor and/or REL who has become subject to Regulation 3.1 for the first time, you must tell us about any matters listed in Regulation 3.1. These solicitors and/or RELs should contact us to obtain the REG3 form, or they can download the REG3 form (PDF 174K). When completed, the REG3 form should be returned to

7.3 RFLs applying for renewal of their registration where any of the events listed in Regulation 3 of the SRA Practising Regulations apply

You should give details in this section of any RFL where any of the events listed in Regulation 3.1 of the Practising Regulations apply to them. Firms should check with RFLs if Regulation 3.1 applies to them before filling this in. For example, a RFL may

• have an outstanding money judgement against him/her, or
• have entered into a composition with his/her creditors.

If you are providing details of a RFL where any of the events listed in Regulation 3.1 apply for the first time, you must tell us about any matters listed in Regulation 3.1.

RFLs are required to provide this information under Regulation 6.2 of the Practising Regulations.

"6.2 Without prejudice to the powers of the SRA under paragraph 2, 12 or 13 of Schedule 14 to the Courts and Legal Services Act 1990, the SRA may when granting an application under regulation 2.1(c) or at any time's during the currency of a registration, impose such conditions on a foreign lawyer's registration as it sees fit:

(a) If any event listed in Regulation 3.1 applies to the individual concerned".