SRA Handbook

Conditions

Version 19 of the Handbook was published on 1 October 2017. For more information, please click "History" above.

Regulation 7: Conditions

7.1

The SRA may impose one or more conditions on a practising certificate or on the registration of a European lawyer when granting an application under regulation 3 to 6, or at any time during the practising year, for the following purposes.

(a)

The SRA considers the individual concerned unsuitable to undertake certain activities in relation to a legal practice, either at all or save as specified in the condition, and that imposing the condition will, in the public interest, limit, restrict, halt or prevent the involvement of the individual concerned in those activities.

(b)

The SRA considers that the individual concerned is putting or is likely to put at risk the interests of clients, third parties or the public by taking certain steps in relation to a legal practice, and that imposing the condition will, in the public interest, limit, restrict, halt or prevent the taking of such steps by the individual concerned.

(c)

The SRA considers the individual concerned unsuitable to engage in certain business agreements, business associations or practising arrangements and that imposing a condition requiring the applicant to obtain the SRA's written approval before taking certain steps will, in the public interest, limit, halt or prevent a risk to clients, third parties or the public.

(d)

The SRA considers that imposing the condition will, in the public interest, require the individual concerned to take specified steps conducive to the carrying on of efficient practice by the individual concerned.

(e)

The SRA considers that imposing the condition will, in the public interest, facilitate closer monitoring by the SRA of compliance by the individual concerned with rules and regulations.

(f)

The SRA considers that it would be in the public interest to impose the condition in any other case during the currency of a practising certificate or registration.

7.2

Without prejudice to the powers of the SRA under paragraph 2A, 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 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;

(b)

for a purpose within regulation 7.1(a) to (f); or

(c)

where the SRA considers in any other case that imposing the condition would be in the public interest.

7.3

When the SRA decides, on an initial application for a practising certificate or registration or on an application for replacement of a practising certificate or renewal of registration, to grant the application subject to a condition:

(a)

the SRA may postpone the issue of the certificate or the registration pending determination or discontinuance of any appeal; but

(b)

the postponement may be rescinded if in the SRA's opinion proceedings on appeal have been unduly protracted by an appellant or are unlikely to be successful.

7.4

Notice and effective date of conditions

(a)

The SRA must, subject to (b) below, give 28 days written notice, with reasons, to the individual concerned, when the SRA decides to impose a condition on a practising certificate or registration, except when conditions are imposed in the following applications:

(i)

initial application for a practising certificate;

(ii)

initial application for registration in the register of European lawyers or in the register of foreign lawyers;

(iii)

application for replacement of a practising certificate;

(iv)

application for renewal of registration in the register of European lawyers or in the register of foreign lawyers;

(v)

application for reinstatement under regulation 6.

(b)

The SRA may shorten or dispense with the 28 day period under (a) if it is satisfied on reasonable grounds that it is in the public interest to do so.

(c)

A condition is effective from the date on which the condition is imposed unless a later date is specified in the condition.

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