When making regulatory decisions against an individual we, or the Solicitors Disciplinary Tribunal, may decide that a qualified or non-qualified individual can only work for firms that we regulate with our permission or under certain conditions such as being closely supervised or in a role where they are not allowed to handle client money. These decisions are made for the protection of clients and in the public interest.
Approval of employment (section 41)
If a qualified solicitor has
- been struck off the roll of solicitors,
- been suspended from practice, or
- had their practising certificate suspended while being an undischarged bankrupt,
If a registered European lawyer or registered foreign lawyer is struck from the register or suspended from registration, we may, following an application to us, make an order permitting a particular firm to employ or remunerate the individual concerned. We may publish this decision.
When we make this decision, we may attach conditions to the employment restricting the type of work the solicitor is allowed to do and the way they do it, for example
- they may not be allowed to handle client money
- they may have to be closely supervised with regular meetings to review their work, or
- their employers have to give us regular reports on the individual's work and conduct.
Control of non-qualified staff (section 43)
If a non-solicitor has, for example, either been convicted of a criminal offence or been involved in a breach of our our Standards and Regulations in connection with their involvement in a legal practice, this regulatory decision can be taken by us or the Solicitors Disciplinary Tribunal to control where and how they work. It means that if a firm regulated by us wants to employ or remunerate this person, they must first get our written permission. We may publish this decision.
Approval of employment (S43)
If a non-solicitor is subject to a "control of non-qualified staff (section 43)" order, they need our prior written permission before they can be employed or remunerated by a firm regulated by us. If we give this permission, we may publish an "approval of employment (section 43)" regulatory decision on their record.
Not all regulatory decisions are published—read more about our approach to publication.
Only decisions made since early 2008 are published on this site. Most decisions remain on the site for three years.
For the most up-to-date and complete picture of an individual's regulatory record,
please contact us.
Read more about how we regulate.