Application following certain events

Version 11 of the Handbook was published on 1 October 2014. For more information, please click "History" above.

Regulation 3: Application following certain events

3.1

Regulation 3 applies 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, subject to the exceptions set out in 3.3 below, relating for example to a previously declared event.

(a)

The applicant has been:

(i)

reprimanded, made the subject of disciplinary sanction or made the subject of an order under section 43 of the SA, ordered to pay costs or made the subject of a recommendation to the Society or the SRA to consider imposing a condition, by the Tribunal, or struck off or suspended by the court;

(ii)

made the subject of an order under section 43 of the SA by the Society or the SRA or rebuked or fined under section 44D of that Act by the SRA;

(iii)

made the subject of an intervention by the Society, the SRA or by any other approved regulator, or been:

(A)

a manager, interest holder or compliance officer, of a recognised body;

(B)

a compliance officer of a sole practitioner firm;

(C)

a manager, owner or compliance officer of a licensed body;

(D)

a manager or interest holder of an authorised non-SRA firm which is not licensed under Part 5 of the LSA; or

(E)

a manager, material interest holder, HOLP or HOFA of an authorised non-SRA firm licensed under Part 5 of the LSA;

which has been the subject of an intervention by the Society, the SRA or by any other approved regulator;

(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;

(v)

disqualified from acting as a HOLP or a HOFA or from being a manager of, or being employed by, a licensed body or an authorised non-SRA firm;

(vi)

refused authorisation as a recognised sole practitioner or approval as a compliance officer of such a firm or had such authorisation revoked under regulation 10.2(b)(i), (iii), (iv) or (vi);

(vii)

refused approval to be a manager, owner or compliance officer of an authorised body or had such approval withdrawn;

(viii)

refused approval to be a manager, material interest holder, HOLP or HOFA of an authorised non-SRA firm or had such approval withdrawn;

(ix)

a manager, owner or compliance officer of an authorised body the authorisation of which has been suspended or revoked by the SRA under Rule 22 of the SRA Authorisation Rules, except under 22.1(a)(vii);

(x)

a manager, material interest holder, HOLP or HOFA of an authorised non-SRA firm the authorisation of which has been suspended or revoked by another approved regulator; or

(xi)

made subject to a revocation of his or her practising certificate or registration under regulation 10.2(a)(i) or (v) or of his or her authorisation as a recognised sole practitioner under regulation 10.2(b)(i), (iv) or (vi).

(b)

The SRA (or previously the Society) has requested an explanation from the applicant in respect of a matter relating to the applicant's conduct and has notified the applicant in writing that it does not regard the applicant's response, or lack of response, as satisfactory.

(c)

The applicant has failed to deliver within the period allowed an accountant's report required by rules made under section 34 of the SA.

(d)

The applicant's practising certificate or registration has been suspended and the suspension:

(i)

has come to an end;

(ii)

was continuing when the applicant's last practising certificate or previous registration expired or was revoked; or

(iii)

is continuing.

(e)

The applicant has been suspended from practice (or suspended from the register, if the applicant is a European lawyer), and the suspension has come to an end.

(f)

The applicant's last practising certificate or previous registration expired or was revoked whilst subject to a condition.

(g)

The applicant's practising certificate or registration is currently subject to a condition.

(h)

The applicant's 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)

The applicant has been restored to the roll or register, having previously been struck off.

(j)

The applicant is an undischarged bankrupt.

(k)

The applicant:

(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 at any time during the last 36 months of trading of a recognised body, a licensed body or an authorised non-SRA firm which has entered into a voluntary arrangement under the Insolvency Act 1986, been a manager of that recognised body, licensed body or authorised non-SRA firm;

(iv)

has at any time during the last 36 months of trading of a company or 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, been a director of that company or a member of that LLP.

(l)

The applicant 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 the applicant.

(m)

The applicant has been committed to prison in civil or criminal proceedings and:

(i)

has been released; or

(ii)

has not been released.

(n)

The applicant 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 (or previously to the Society).

(o)

The applicant is currently charged with an indictable offence.

(p)

The applicant has been convicted of an indictable offence or any offence under the SA, the Financial Services and Markets Act 2000, the Immigration and Asylum Act 1999 or the Compensation Act 2006.

(q)

The applicant has been disqualified from being a company director.

(r)

The applicant 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)

The applicant has been the subject in another jurisdiction of any circumstance equivalent to those listed in (j) to (r).

3.2

If regulation 3 applies, the SRA:

(a)

has no discretion under regulation 3 to grant the application if the applicant does not meet the conditions in regulation 2.2(a) to (c) or 2.3(a)(i) to (vi);

(b)

has discretion to impose a condition or conditions in accordance with regulation 7; and

(c)

has discretion to refuse the application.

3.3

The provisions of 3.1 and 3.2 above are subject to the following exceptions.

(a)

Regulation 3 does not apply by virtue of 3.1(a), (b), (c), (d)(i), (e), (j), (k), (m)(i), (n), (o), (p), (q), (r) or (s) if the applicant has previously applied for and obtained a practising certificate or registration, provided that:

(i)

the applicant's practising certificate or registration is not subject to a condition relating to any of those provisions;

(ii)

the SRA (or previously the Society) was aware, when granting that application, of all the relevant facts; and

(iii)

no new circumstances have arisen which would bring the application within any of those provisions.

(b)

If regulation 3 applies only by virtue of 3.1(j), (m), (n) or (p) and an appeal has been made to the appropriate court against the order or judgment in question, the following provisions apply.

(i)

The application must not be refused before the determination of that appeal, unless in the opinion of the SRA the proceedings on that appeal have been unduly protracted by the appellant or are unlikely to be successful.

(ii)

The SRA may in the meantime postpone a decision on the application and may impose a condition on the applicant's practising certificate or registration.

(c)

If regulation 3 applies only by virtue of 3.1(o), the application may not be refused unless the applicant is convicted, but the SRA may postpone a decision on the application and may impose a condition on the applicant's practising certificate or registration.

Guidance notes

(i)

"In writing" includes any form of written electronic communication normally used for business purposes, such as emails.

(ii)

Exceptions to the application of Regulation 3 are set out at 3.3. An applicant is not, for example, subject to Regulation 3 in respect of a previously declared event where the SRA was aware of all the relevant facts and issued a practising certificate or registered the applicant as a European lawyer free from conditions, and where no new circumstances have arisen to bring the application within Regulation 3.