Register of waivers

This is a list of our waiver decisions, including both those that have been approved and those that have been refused.

Exemption details

M Young Limited of 2 Kayes Walk Stoney Street, The Lace Market, Nottingham, NG1 1PZ, has been granted a waiver from COLP and COFA

This waiver is valid from 15 July 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

M Young Limited is not required to appoint a Compliance Officer for Legal Practice (COLP) or a Compliance Officer for Finance and Administration (COFA).

Reason

M Young Limited will not be a trading body and exists purely to be a manager and owner of the trading firm, Rothera Sharp. A COLP and COFA is required in a firm to ensure compliance with our regulations. As it does not intend to trade or provide any services to clients, there are few regulatory breaches, if any, that could occur. Waiving the requirements for M Young Limited to have a COLP and COFA raises a risk to the regulatory objectives of protection of the public and consumer interest and maintaining adherence to the professional principles. Those risks have been mitigated by restricting the operation of M Young Limited so that it cannot trade or provide services to the public. If it wishes to do so in the future, the waiver will be revoked, and it will need to appoint a COLP and COFA. We are satisfied that adequate protection for consumers is maintained under this waiver due to the conditions, and that it does nothing to impede support of the rule of law and administration of justice. The waiver, therefore, does not undermine our public interest purpose. By granting the waiver subject to the specified conditions, we are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

(a) M Young Limited is appointed as, and remains, a partner in the authorised body, Rothera Sharp (SRA number 54574). (b) M Young Limited does not provide legal services except as a partner of Rothera Sharp. (c) M Young Limited does not hold client money except as a partner of, and in the client account of, Rothera Sharp. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

Shelagh Hayes Limited of 71 Saltergate, Chesterfield, Derbyshire S40 1JS, has been granted a waiver from COLP and COFA

This waiver is valid from 27 June 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Shelagh Hayes Limited will not require a Compliance Officer for Legal Practice (COLP) or a Compliance Officer for Finance and Administration (COFA) in order to be authorised as a recognised body.

Reason

Shelagh Hayes Limited will not be a trading body and exists purely for the purpose of acting as a partner in the connected firm of Anderson Partnership Solicitors. A COLP and COFA is required in a firm to ensure compliance with our regulations. As it does not intend to trade or serve clients in any way, there are few, if any, breaches that could occur. Waiving the requirement for Shelagh Hayes Limited to have a COLP and COFA raises a risk to the regulatory objectives of protection of the public and consumer interests and maintaining adherence to the professional principles. Those risks have been mitigated by restricting the operation of Shelagh Hayes Limited so it cannot trade or provide services to the public. If it wishes to do so in the future, the waiver will cease to apply, and it will need to appoint a COLP and COFA. We are satisfied that adequate protection for consumers is maintained under this waiver due to the conditions, and that it does nothing to impede support of the rule of law and administration of justice. The waiver therefore does not undermine our public interest purpose. By granting the waiver subject to the specified conditions, we are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

(a) Shelagh Hayes Limited is appointed as, and remains, a partner in the authorised body Anderson Partnership Solicitors (SRA number 75688). (b) Shelagh Hayes Limited does not provide legal services except as a partner of Anderson Partnership Solicitors. (c) Shelagh Hayes Limited does not hold client money except as a partner of, and in the client account of, Anderson Partnership Solicitors. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation Team within 14 days.

Exemption details

Kingston Smith LLP of Devonshire House, 60 Goswell Road, London EC1M 7AD, has been granted a waiver from Managers of an authorised body

This waiver is valid from 27 June 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.6(a)(i) and 8.7(c) of the Authorisation Rules, and Rule 18.2(c) of the PFRs.

Decision details

This waiver was granted.

Outcome

Only those members that are involved in the day-to-day management and/or compliance of Kingston Smith LLP's legal services business will require approval as managers.

Reason

Kingston Smith LLP (Kingston Smith) is an SRA-licensed body which is also regulated by the Institute of Chartered Accountants in England and Wales (ICAEW). It is regulated by us as a multi-disciplinary practice and we only regulate the small percentage of its business that provides legal services. Kingston Smith has 57 members. Under our regulations, all those members require approval as managers of the firm. Since being licensed, Kingston Smith has had a waiver limiting the members that require approval to only those who are involved in, or have control over, the legal services business. This new waiver updates the previous waiver granted in line with a recent change to Kingston Smith's governance structure. Granting this waiver enables the firm to continue to be authorised as a licensed body without requiring approval of a disproportionate number of its members. That is compatible with the regulatory objective of promoting competition in the provision of legal services. Imposing the conditions on the waiver ensures it only applies to those members who are not involved with the legal services business, and also places an obligation on Kingston Smith to inform us of any changes to its governance structure. We are satisfied that these conditions provide adequate protection for consumers. We are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

(a) This waiver does not extend to the current or future members of the LLP who fall into one or more of the following groups or categories: (i) Managing Partner of Kingston Smith LLP (ii) Partner Governance Board (iii) Head of Legal (iv) members within the Legal Services team (v) Compliance Officer for Legal Practice (COLP) (vi) Compliance Officer for Finance and Administration (COFA) (b) This waiver is granted on the basis of the governance structure information provided as part of Kingston Smith LLP's initial licensing application in 2015 and as updated in May 2019. Any changes to that structure, insofar as they relate to members or other persons who have influence, control or input in relation to the running or management of Kingston Smith LLP's legal service business, must be notified to the SRA Firm-Based Authorisation team within 14 days of those changes taking place.

Exemption details

KPMG LLP of 15 Canada Square, London, E14 5GL, has been granted a waiver from Managers of an authorised body

This waiver is valid from 27 June 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.6(a)(i) and 8.7(c) of the Authorisation Rules, and Rule 18.2(c) of the PFRs.

Decision details

This waiver was granted.

Outcome

Only those members that are involved in the day-to-day management and/or compliance of KPMG LLP's legal services business will require approval as managers.

Reason

KPMG LLP (KPMG) is an SRA-licensed body which is also regulated by the Institute of Chartered Accountants in England and Wales (ICAEW). It is regulated by us as a multi-disciplinary practice and we only regulate the small percentage of its business that provides legal services. KPMG has over 600 members. Under our regulations, all those members require approval as managers of the firm. Since being licensed, KPMG has had a waiver limiting the members that require approval to only those who are involved in, or have control over, the legal services business. This new waiver updates the previous waiver granted in line with a recent change to KPMGs governance structure. Granting this waiver enables the firm to continue to be authorised as a licensed body without requiring approval of a disproportionate number of its members. That is compatible with the regulatory objective of promoting competition in the provision of legal services. Imposing the conditions on the waiver ensures it only applies to those members who are not involved with the legal services business, and also places an obligation on KPMG to inform us of any changes to its governance structure. We are satisfied that these conditions provide adequate protection for consumers. We are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

(a) This waiver does not extend to the current or future members of the LLP who fall into one or more of the following groups or categories: (i) Chairman and Senior Partner (ii) Chief Operating Officer (iii) Chief Risk Officer (iv) Chief Financial Officer (v) General Counsel (vi) Chair of the Client and Markets Executive Group (vii) Chair of the Risk Executive Group (viii) Compliance Officer for Legal Practice (COLP) (ix) Compliance Officer for Finance and Administration (COFA) (x) Coverage Group Leaders for: - Financial Services - Corporate - National Markets (xi) Capability Group Leader for Tax, Pensions and Legal (TPL) (xii) Performance Group Leaders for: - TPL Financial Services - TPL Corporate - TPL National Markets (xiii) Head of TPL Professional Practice Group (xiv) TPL Head of Risk (xv) Head of Legal Services (xvi) Members within the legal services team(s) (b) This waiver is granted on the basis of the governance structure information provided to the Solicitors Regulation Authority (SRA) on 22 May 2019. Any changes to that structure, insofar as they relate to members or other persons who have influence, control or input in relation to the running or management of KPMG LLPs legal service business, must be notified to the SRA in writing within 14 days of those changes taking place.

Exemption details

Robert Barber Holdings Limited of 46 Bridgford Road, West Bridgford, Nottingham NG2 6AP, has been granted a waiver from COLP and COFA

This waiver is valid from 21 June 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Robert Barber Holdings Limited is not required to appoint a Compliance Office for Legal Practice (COLP) or a Compliance Officer for Finance and Administration (COFA).

Reason

Robert Barber Holdings Limited will not be a trading body and exists purely to be a manager and owner of the connected firm of Robert Barber and Sons Solicitors. A COLP and COFA is required in a firm to ensure compliance. As it does not intend to trade or provide any services to clients, there are few, if any, regulatory breaches that could occur. Waiving the requirement for Robert Barber Holdings Limited to have a COLP and COFA raises a risk to the regulatory objectives of protection of the public and consumer interests and maintaining adherence to the professional principles. Those risks have been mitigated by restricting the operation of Robert Barber Holdings Limited so it cannot trade or provide services to the public. If it wishes to do so in the future, the waiver will be revoked, and it will need to appoint a COLP and COFA. We are satisfied that adequate protection for consumers is maintained under this waiver due to the conditions, and that it does nothing to impede support of the rule of law and administration of justice. The waiver therefore does not undermine our public interest purpose. By granting the waiver subject to the specified conditions, we are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

(a) Robert Barber Holdings Limited is appointed as, and remains, a partner in the authorised body, Robert Barber and Sons Solicitors (SRA number 46538). (b) Robert Barber Holdings Limited does not provide legal services except as a partner of Robert Barber and Sons Solicitors. (c) Robert Barber Holdings Limited does not hold client money, except as a partner of, and in the client account of, Robert Barber and Sons Solicitors. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

Cleggs Limited of Apex Court, Ruddington Lane, Wilford, Nottinghamshire NG11 7DD, has been granted a waiver from COLP and COFA

This waiver is valid from 21 June 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Cleggs Limited is not required to appoint a Compliance Office for Legal Practice (COLP) or a Compliance Officer for Finance and Administration (COFA).

Reason

Cleggs Limited will not be a trading body and exists purely to be a manager and owner of the connected firm of Cleggs Solicitors. A COLP and COFA is required in a firm to ensure compliance with our regulations. As it does not intend to trade or provide any services to clients, there are few, if any, regulatory breaches that could occur. Waiving the requirement for Cleggs Limited to have a COLP and COFA raises a risk to the regulatory objectives of protection of the public and consumer interests and maintaining adherence to the professional principles. Those risks have been mitigated by restricting the operation of Cleggs Limited so it cannot trade or provide services to the public. If it wishes to do so in the future, the waiver will be revoked, and it will need to appoint a COLP and COFA. We are satisfied that adequate protection for consumers is maintained under this waiver due to the conditions, and that it does nothing to impede support of the rule of law and administration of justice. The waiver therefore does not undermine our public interest purpose. By granting the waiver subject to the specified conditions, we are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

(a) Cleggs Limited is appointed as, and remains, a partner in the authorised body, Cleggs Solicitors (SRA number 46538). (b) Cleggs Limited does not provide legal services except as a partner of Cleggs Solicitors. (c) Cleggs Limited does not hold client money, except as a partner of, and in the client account of, Cleggs Solicitors. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

Sephora Amsellem of 52A Patshull Road London NW5 2LD, has been granted a waiver from Professional Indemnity Insurance requirements

This waiver is valid from 14 June 2019 until 14 June 2022.

Details of rules applied for

Details of rules applied for Rule 1.3 and 4.1 of the SRA Indemnity Insurance Rules 2013 (SIIR).

Decision details

This waiver was granted.

Outcome

Exemption form requirement to have qualifying insurance as the applicant has equivalent French insurance

Reason

The exemption does not conflict with any of our regulatory objectives as set out in the waiver criteria. There are no competing objectives and a waiver would best serve our public interest purpose: namely providing consumers with appropriate protection and supporting the rule of law and administration of justice. A waiver would not undermine our public interest purpose, and it is reasonable in these circumstances to allow the applicant to have this exemption as her home insurance provides equivalent cover to that required by the SRA Indemnity Insurance Rules.

Conditions

(1) the firm continues to have at least one principal (as defined in the rules) who is a registered European lawyer; (2) no more than 25% of the firm's principals (as defined in the rules) are solicitors of England and Wales and this continues to be the case; (3) the firm continues to have professional indemnity cover in all respects equivalent in its conditions and extent to that under the Solicitors Regulation Authority's Minimum Terms and Conditions; and (4) the firm notifies the Solicitors Regulation Authority forthwith if the firm's professional indemnity insurance is placed with any insurer other than MMA IARD Assurances Mutuelles.

Exemption details

Andrew J Newton Limited of 71 Saltergate, Chesterfield, S40 1JS, has been granted a waiver from COLP and COFA

This waiver is valid from 17 June 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Andrew J Newton Limited is not required to appoint a Compliance Office for Legal Practice (COLP) or a Compliance Officer for Finance and Administration (COFA).

Reason

Andrew J Newton Limited is not a trading body, and it exists purely to be a manager and owner of the trading firm Anderson Partnership Solicitors. As it does not intend to trade or provide any services to clients, there are few, if any, regulatory breaches that could occur. Waiving the requirement for Andrew J Newton Limited to have a COLP and COFA raises a risk to the regulatory objectives of protection of the public and consumer interest, and maintaining adherence to the professional principles. Those risks have been mitigated by restricting the operation of Andrew J Newton Limited so that it cannot trade or provide services to the public. If it wishes to do so in the future, the waiver will be revoked, and it will need to appoint a COLP and COFA. We are satisfied that adequate protection for consumers is maintained under this waiver due to the conditions, and that it does nothing to impede support of the rule of law and administration of justice. The waiver therefore does not undermine our public interest purpose. By granting the waiver subject to the specified conditions, we are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

(a) Andrew J Newton Limited is appointed as, and remains, a partner in the authorised body, Anderson Partnership Solicitors (SRA number 75688). (b) Andrew J Newton Limited does not provide legal services except as a partner of Anderson Partnership Solicitors. (c) Andrew J Newton Limited does not hold client money except as a partner of, and in the client account of, Anderson Partnership Solicitors. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

Fraser Brown Nottingham Limited of 84 Friar Lane, Nottingham, Nottinghamshire NG1 6ED, has been granted a waiver from COLP and COFA

This waiver is valid from 23 May 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Fraser Brown Nottingham Limited will not require a Compliance Officer for Legal Practice (COLP) and a Compliance Officer for Finance and Administration (COFA) in order to be authorised as a recognised body.

Reason

Fraser Brown Nottingham Limited will not be a trading body and exists purely to be a partner in the connected firm of Fraser Brown. As it does not intend to trade or provide any services to clients, there are few, if any, regulatory breaches that could occur. Waiving the requirement for Fraser Brown Nottingham Limited to have a COLP and COFA raises a risk to the regulatory objectives of protection of the public and consumer interest and maintaining adherence to the professional principles. Those risks have been mitigated by restricting the operation of Fraser Brown Nottingham Limited so it cannot trade or provide services to the public. If it wishes to do so in future, the waiver will be revoked, and it will need to appoint a COLP and COFA. We are satisfied that adequate protection for consumers is maintained under this waiver due to the conditions, and that it does nothing to impede support of the rule of law and administration of justice. The waiver therefore does not undermine our public interest purpose. By granting the waiver subject to the specified conditions, we are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

(a) Fraser Brown Nottingham Limited is appointed as, and remains, a partner in the authorised body, Fraser Brown (SRA number 48586). (b) Fraser Brown Nottingham Limited does not provide legal services except as a partner of Fraser Brown. (c) Fraser Brown Nottingham Limited does not hold client money except as a partner of, and in the client account of, Fraser Brown. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

Leslie George Saunders Limited of 71 Saltergate, Chesterfield, Derbyshire S40 1JS, has been granted a waiver from COLP and COFA

This waiver is valid from 20 May 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Leslie George Saunders Limited is not required to appoint a Compliance Office for Legal Practice (COLP) or a Compliance Officer for Finance and Administration (COFA).

Reason

Leslie George Saunders Limited is not a trading body, and it exists purely to be a manager and owner of the trading firm Anderson Partnership Solicitors. As it does not intend to trade or provide any services to clients, there are few regulatory breaches, if any, that could occur. Waiving the requirement for Leslie George Saunders Limited to have a COLP and COFA raises a risk to the regulatory objectives of protection of the public and consumer interests and maintaining adherence to the professional principles. Those risks have been mitigated by restricting the operation of Leslie George Saunders Limited so that it cannot trade or provide services to the public. If it wishes to do so in the future, the waiver will cease to apply and it will need to appoint a COLP and COFA. We are satisfied that adequate protection for consumers is maintained under this waiver due to the conditions, and that it does nothing to impede support of the rule of law and administration of justice. The waiver therefore does not undermine our public interest purpose. By granting the waiver subject to the specified conditions, we are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

(a) Leslie George Saunders Limited is appointed as, and remains, a partner in the authorised body, Andersons Partnership Solicitors (SRA number 75688). (b) Leslie George Saunders Limited does not provide legal services except as a partner of Andersons Partnership Solicitors. (c) Leslie George Saunders Limited does not hold client money except as a partner of, and in the client account of, Andersons Partnership Solicitors. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

Daniel Milligan Limited of 71 Saltergate, Chesterfield, Derbyshire S40 1JS, has been granted a waiver from COLP and COFA

This waiver is valid from 13 May 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Daniel Milligan Limited is not required to appoint a Compliance Office for Legal Practice (COLP) or a Compliance Officer for Finance and Administration (COFA).

Reason

Daniel Milligan Limited is not a trading body, and it exists purely to be a manager and owner of the trading firm Anderson Partnership Solicitors. As it does not intend to trade or provide any services to clients, there are few regulatory breaches, if any, that could occur. Waiving the requirement for Daniel Milligan Limited to have a COLP and COFA raises a risk to the regulatory objectives of protection of the public and consumer interests and maintaining adherence to the professional principles. Those risks have been mitigated by restricting the operation of Daniel Milligan Limited so that it cannot trade or provide services to the public. If it wishes to do so in the future, the waiver will cease to apply, and it will need to appoint a COLP and COFA. We are satisfied that adequate protection for consumers is maintained under this waiver due to the conditions, and that it does nothing to impede support of the rule of law and administration of justice. The waiver therefore does not undermine our public interest purpose. By granting the waiver subject to the specified conditions, we are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

(a) Daniel Milligan Limited is appointed as, and remains, a partner in the authorised body, Andersons Partnership Solicitors (SRA number 75688). (b) Daniel Milligan Limited does not provide legal services except as a partner of Andersons Partnership Solicitors. (c) Daniel Milligan Limited does not hold client money except as a partner of, and in the client account of, Andersons Partnership Solicitors. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

A J Paterson Solicitor of 76 Lonsdale Road, London SW13 9JS, has been granted a waiver from Accountants Report Obtaining and Delivery

This waiver is valid from 08 May 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 32A.1 of the Accounts rules.

Decision details

This waiver was granted.

Outcome

The Applicant is not required to obtain an accountant's report for the accounting period 1 June 2017 to 31 May 2018.

Reason

Waiving the requirement to obtain an accountants report raises a risk to the regulatory objectives of protection of public interest, protection of consumer interests and maintaining adherence to the professional principles. Those risks have been mitigated by our review of the information provided that took the firm out of the exemption provisions. We are satisfied that adequate protection for consumers is maintained under this waiver, and that it does nothing to impede support for the rule of law and administration of justice. The waiver therefore does not undermine our public interest purpose. We are satisfied the waiver meets all requirements of our waiver policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

T G Baynes Limited of 208 Broadway, Bexleyheath, Kent DA6 7BG, has been granted a waiver from COLP and COFA

This waiver is valid from 30 April 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

T G Baynes Limited is not required to appoint a Compliance Officer for Legal Practice (COLP) or a Compliance Officer for Finance and Administration (COFA).

Reason

T G Baynes Limited is not a trading body and exists purely for the purpose of acting as a partner in the connected firm of T G Baynes Solicitors. As it does not intend to trade or provide any services to clients, there are few regulatory breaches, if any, that could occur. Waiving the requirement for T G Baynes Limited to have a COLP and COFA raises a risk to the regulatory objectives of protection of the public and consumer interests, and maintaining adherence to the professional principles. Those risks have been mitigated by restricting the operation of T G Baynes Limited so it cannot trade or provide services to the public. If it wishes to do so in the future, the waiver will cease to apply, and it will need to appoint a COLP and COFA. We are satisfied that adequate protection for consumers is maintained under this waiver due to the conditions, and that it does nothing to impede support of the rule of law and administration of justice. The waiver therefore does not undermine our public interest purpose. By granting the waiver subject to the specified conditions, we are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

(a) T G Baynes Limited is appointed as, and remains, a partner in the authorised body, T G Baynes Solicitors (SRA number 46768). (b) T G Baynes Limited does not provide legal services except as a partner of T G Baynes Solicitors. (c) T G Baynes Limited does not hold client money except as a partner of, and in the client account of, T G Baynes Solicitors. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

The Wordley Partnership of 73 Cornhill, London EC3V 3QQ, has been granted a waiver from Individual authorised manager

This waiver is valid from 01 April 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 14.2 of the SRA Practice Framework Rules.

Decision details

This waiver was granted.

Outcome

The Wordley Partnership can be authorised as a licensed body without having an authorised individual manager.

Reason

The Wordley partnership is a partnership consisting only of corporate partners. Granting this waiver enables the firm to be authorised as a licensed body while continuing to trade under this structure. This is compatible with the regulatory objectives of improving access to justice, promoting competition in the provision of services, and encouraging a diverse and effective legal profession. Imposing the condition on the waiver has mitigated the risk of the firm distancing an individual solicitor or registered European lawyer further from the management than is permissible for recognised bodies. We are satisfied that the condition imposed on the waiver provides adequate protection for consumers, and that it is not contrary to our obligation to support of the rule of law and administration of justice. We are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

One of the partners in The Wordley Partnership must be an SRA recognised body with at least one manager who is a solicitor with a current practising certificate or a registered European lawyer.

Exemption details

Ashton Bond Gigg Limited of Pearl Assurance House, Friar Lane, Nottingham NG1 6BX, has been granted a waiver from COLP and COFA

This waiver is valid from 08 March 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Ashton Bond Gigg Limited will not require a Compliance Officer for Legal Practice (COLP) and a Compliance Officer for Finance and Administration (COFA) in order to be authorised as a recognised body.

Reason

Ashton Bond Gigg Limited will not be a trading body and exists purely for the purpose of acting as a partner in the connected firm of Ashton Bond Gigg. As it does not intend to trade or provide any services to clients, there are few regulatory breaches, if any, that could occur. Waiving the requirement for Ashton Bond Gigg Limited to have a COLP and COFA raises a risk to the regulatory objectives of protection of the public and consumer interests and maintaining adherence to the professional principles. Those risks have been mitigated by restricting the operation of Ashton Bond Gigg Limited so it cannot trade or provide services to the public. If it wishes to do so in the future, the waiver will cease to apply, and it will need to appoint a COLP and COFA. We are satisfied that adequate protection for consumers is maintained under this waiver due to the conditions, and that it does nothing to impede support of the rule of law and administration of justice. The waiver therefore does not undermine our public interest purpose. By granting the waiver subject to the specified conditions, we are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

(a) Ashton Bond Gigg Limited is appointed as, and remains, a partner in the authorised body, Ashton Bond Gigg (SRA number 69727). (b) Ashton Bond Gigg Limited does not trade or provide legal services, except through Ashton Bond Gigg. (c) Ashton Bond Gigg Limited does not hold client money, except as a partner of, and in the client account of Ashton Bond Gigg. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

Regent Street Law Limited of 20 Regent Street, Nottingham, Nottinghamshire NG1 5BQ, has been granted a waiver from COLP and COFA

This waiver is valid from 13 February 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Regent Street Law Limited is not required to appoint a Compliance Officer for Legal Practice (COLP) or a Compliance Officer for Finance and Administration (COFA).

Reason

Regent Street Law Limited is not a trading body, and it exists purely to be a manager of the connected firm Actons. A COLP and COFA is required in a firm to ensure compliance with our regulations. As the firm does not intend to trade or provide any services to clients, there are few regulatory breaches, if any, that could occur. Waiving the requirement for Regent Street Law Limited to have a COLP and COFA raises a risk to the regulatory objectives of protection of the public and consumer interests, and maintaining adherence to the professional principles. Those risks have been mitigated by restricting the operation of Regent Street Law Limited so that it cannot trade or provide services to the public. If it wishes to do so in the future, the waiver will cease to apply and it will need to appoint a COLP and COFA. We are satisfied that adequate protection for consumers is maintained under this waiver due to the conditions, and that it does nothing to impede support of the rule of law and administration of justice. The waiver therefore does not undermine our public interest purpose. By granting the waiver subject to the specified conditions, we are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

(a) Regent Street Law Limited is appointed as, and remains, a partner of the authorised body Actons (SRA number 62882). (b) Regent Street Law Limited does not provide legal services except as a partner of Actons. (c) Regent Street Law Limited does not hold client money, except as a partner of, and in the client account of, Actons. (d) Any change in circumstances is to be in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

Actons of 20 Regent Street, Nottingham, Nottinghamshire NG1 5BQ, has been granted a waiver from Individual authorised manager

This waiver is valid from 01 March 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 14.2 of the SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Actons can be authorised as a licensed body without having to have an authorised individual manager.

Reason

Actons is a partnership consisting only of corporate partners. Granting this waiver enables the firm to be authorised as a licensed body while continuing to trade under this structure. This is compatible with the regulatory objectives of improving access to justice, promoting competition in the provision of services, and encouraging a diverse and effective legal profession. Imposing the condition on the waiver has mitigated the risk of the firm distancing an individual solicitor or registered European lawyer further from the management than is permissible for recognised bodies. We are satisfied that the condition imposed on the waiver provides adequate protection for consumers, and that it is not contrary to our obligation to support of the rule of law and administration of justice. We are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

One of the partners in Actons must be an SRA recognised body with at least one manager who is a solicitor with a current practising certificate or a registered European lawyer.

Exemption details

David Newton Limited of Unit 316, The Frames, 1 Phipp Street, London EC2A 4PS, has been granted a waiver from COLP and COFA

This waiver is valid from 21 February 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

David Newton Limited is not required to appoint a Compliance Officer for Legal Practice (COLP) or a Compliance Officer for Finance and Administration (COFA).

Reason

David Newton Limited is not a trading body, and it exists purely to be a manager and owner of the connected firm Wordsmith Law LLP. As it does not intend to trade or provide any services to clients, there are few regulatory breaches, if any, that could occur. Waiving the requirement for David Newton Limited to have a COLP and COFA raises a risk to the regulatory objectives of protection of the public and consumer interests, and maintaining adherence to the professional principles. Those risks have been mitigated by restricting the operation of David Newton Limited so that it cannot trade or provide services to the public. If it wishes to do so in the future, the waiver will cease to apply and it will need to appoint a COLP and COFA. We are satisfied that adequate protection for consumers is maintained under this waiver due to the conditions, and that it does nothing to impede support of the rule of law and administration of justice. The waiver therefore does not undermine our public interest purpose. By granting the waiver subject to the specified conditions, we are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

(a) David Newton Limited is appointed as, and remains, a member of the authorised body Wordsmith Law LLP (SRA number 656018). (b) David Newton Limited does not provide legal services except as a member of Wordsmith Law LLP. (c) David Newton Limited does not hold client money, except as a member of, and in the client account of, Wordsmith Law LLP. (d) Any change in circumstances is to be in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

Richard Chapman Limited of Unit 316, The Frames, 1 Phipp Street, London EC2A 4PS, has been granted a waiver from COLP and COFA

This waiver is valid from 21 February 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Richard Chapman Limited is not required to appoint a Compliance Officer for Legal Practice (COLP) or a Compliance Officer for Finance and Administration (COFA).

Reason

Richard Chapman Limited is not a trading body, and it exists purely to be a manager and owner of the connected firm Wordsmith Law LLP. As it does not intend to trade or provide any services to clients, there are few regulatory breaches, if any, that could occur. Waiving the requirement for Richard Chapman Limited to have a COLP and COFA raises a risk to the regulatory objectives of protection of the public and consumer interests, and maintaining adherence to the professional principles. Those risks have been mitigated by restricting the operation of Richard Chapman Limited so that it cannot trade or provide services to the public. If it wishes to do so in the future, the waiver will cease to apply and it will need to appoint a COLP and COFA. We are satisfied that adequate protection for consumers is maintained under this waiver due to the conditions, and that it does nothing to impede support of the rule of law and administration of justice. The waiver therefore does not undermine our public interest purpose. By granting the waiver subject to the specified conditions, we are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

(a) Richard Chapman Limited is appointed as, and remains, a member of the authorised body Wordsmith Law LLP (SRA number 656018). (b) Richard Chapman Limited does not provide legal services except as a member of Wordsmith Law LLP. (c) Richard Chapman Limited does not hold client money, except as a member of, and in the client account of, Wordsmith Law LLP. (d) Any change in circumstances is to be in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

Mayfair Rise Limited of 50 Grosvenor Hill, Mayfair, London W1K 3QT, has been granted a waiver from Registered office and practising address criteria

This waiver is valid from 04 February 2019 until 04 February 2020.

Details of rules applied for

Details of rules applied for Rule 15 of the SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

The waiver of rule 15.5 permits the recognised body company to have its registered office at an address that is not a practising address

Reason

The waiver advances the objectives of promoting competition in the provision of legal services and encouraging a diverse and effective legal profession. There are no competing objectives, and a waiver would best serve our public interest purpose. The Applicant firm practises in a novel way, whereby it largely practises from the offices of its client, as well as from a central serviced office address in London. It is not possible for these offices to act as the registered office address of the company, and so this must necessarily be located elsewhere. Allowing this does not present a risk to our public interest purpose in the specific circumstances of this application

Conditions

a) the Applicant must notify Professional Ethics of any material change of circumstances within 14 days; b) the grant is without prejudice to any other application; and c) the grant is time limited for one year, and in any event revocable upon reasonable notice.

Exemption details

Peter W Martin Limited of Unit 316, The Frames, 1 Phipp Street, London EC2A 4PS, has been granted a waiver from COLP and COFA

This waiver is valid from 21 February 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Peter W Martin Limited is not required to appoint a Compliance Officer for Legal Practice (COLP) or a Compliance Officer for Finance and Administration (COFA).

Reason

Peter W Martin Limited is not a trading body and it exists purely to be a manager and owner of the connected firm, Wordsmith Law LLP. As it does not intend to trade or provide any services to clients, there are few regulatory breaches, if any, that could occur. Waiving the requirement for Peter W Martin Limited to have a COLP and COFA raises a risk to the regulatory objectives of protection of the public and consumer interests and maintaining adherence to the professional principles. Those risks have been mitigated by restricting the operation of Peter W Martin Limited so that it cannot trade or provide services to the public. If it wishes to do so in the future, the waiver will cease to apply and it will need to appoint a COLP and COFA. We are satisfied that adequate protection for consumers is maintained under this waiver due to the conditions and that it does nothing to impede support of the rule of law and administration of justice. The waiver therefore does not undermine our public interest purpose. By granting the waiver subject to the specified conditions, we are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

(a) Peter W Martin Limited is appointed as, and remains, a member of the authorised body Wordsmith Law LLP (SRA number 656018). (b) Peter W Martin Limited does not provide legal services except as a member of Wordsmith Law LLP. (c) Peter W Martin Limited does not hold client money except as a member of, and in the client account of, Wordsmith Law LLP. (d) Any change in circumstances is to be in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

North of England Protecting and Indemnity Association Ltd, has been granted a waiver from Framework of practice: in-house

This waiver is valid from 19 January 2018 until 19 January 2021.

Details of rules applied for

Details of rules applied for Rule 1.1(e) and 4.1(a) of the SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

The in-house solicitors may provide legal services to policyholder members of North and North EU

Reason

The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. There are no competing objectives. A waiver would not undermine our public interest purpose, and it is reasonable in these circumstances to allow the applicant's in-house solicitors to act for the Group's policyholder members as they would otherwise be able to do within rule 4.13 and 4.24. The interests of consumers are protected due to the very limited nature of the waiver. Save for this information, it is considered to not be in the public interest to publish any further information regarding this decision for reasons of confidentiality

Conditions

1.there is compliance with the SRA Handbook; 2.there is compliance with all other provisions in Rule 4 PFR 3.there is compliance with any applicable local law; 4.we are notified in writing of any material change of circumstances within 14 days; 5.The grant is without prejudice to any other application.

Exemption details

Hansford Bell Law Ltd of Culver House, 13 West Street, Tavistock, Devon PL19 8AN, has been granted a waiver from Accountants Report final report

This waiver is valid from 21 January 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 33.5 of the Accounts Rules .

Decision details

This waiver was granted.

Outcome

The outcome is that Hansford Bell Law Limited will not be required to obtain and deliver a cease to hold accountant's report for the period ending 3 January 2018. That report would have been due in respect of client monies held by the law firm before it closed.

Reason

Hansford Bell Law Ltd chose to stop offering legal services at the end of 2017 and has satisfied us that it has closed in an orderly fashion. All client matters have been completed or transferred in accordance with the instructions of clients. Hansford Bell Law Ltd has provided all client account bank statements for the period concerned showing all client account transactions down to a nil balance. We have granted this waiver as we are satisfied the interests of clients are protected and the professional principles have been adhered to. We are also satisfied granting the waiver does not pose a risk to our public interest purpose. We are satisfied that this waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

Family Law in Cornwall of 19 Carlyon Road, St. Austell, Cornwall PL25 4LG, has been granted a waiver from Accountants Report Obtaining and Delivery

This waiver is valid from 16 January 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 32A.1 of the Accounts rules.

Decision details

This waiver was granted.

Outcome

Family Law in Cornwall will not be required to obtain a report from an accountant for the period ending 5 April 2018.

Reason

We are satisfied that the interests of the clients are protected and the professional principles have been adhered to. We are also satisfied that granting the waiver does not pose a risk to our public interest purpose.

Conditions

Exemption details

Peach Law Limited, has been granted a waiver from Framework of practice: in-house

This waiver is valid from 14 January 2019 until 14 January 2021.

Details of rules applied for

Details of rules applied for Rule 1.1(e) and 4.1(a) of the SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

To enable the solicitors employed by Peach Law Limited (an unregulated entity) to act for Peach Law's clients in respect of unreserved legal activities while describing themselves as solicitors.

Reason

This is an application made under SRA Innovate. The applicant wanted its employed solicitors to be able to provide employment law services and HR advice to the businesses clients. Without a waiver the applicant would have to outsource some legal services resulting in a fragmented customer service and additional costs. We are satisfied that a waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal services Act. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest.

Conditions

The solicitors employed by Peach Law do not undertake any reserved legal activities or immigration work; Peach Law has in place professional indemnity insurance which is reasonably equivalent to that required under the SRA Professional Indemnity Insurance Rules; There is compliance with the relevant provisions in the SRA Handbook, including having systems and procedures in place to identify conflicts of interest and to ensure client confidentiality; To ensure all staff receive training on client confidentiality; To ensure that the clients of Peach Law are aware of the way the services provided to them are regulated and the protections available to them; Peach Law provide progress updates to us when requested; The waiver is limited to a period of 24 months but is revocable upon reasonable notice; That we are notified of any material change of circumstances within 14 days; The grant is without prejudice to any other application

Exemption details

LawWorks Clinics, has been granted a waiver from Professional Indemnity Insurance requirements

This waiver is valid from 14 January 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 1.3 and 4.1 of the SRA Indemnity Insurance Rules 2013 (SIIR).

Decision details

This waiver was granted.

Outcome

Solicitors and RELs can continue to participate in the LawWorks Clinics project without having to meet the requirements of the SRA's compulsory insurance scheme

Reason

The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. There are no competing objectives and a waiver would best serve our public interest purpose, including access to justice while providing consumers with appropriate protection and supporting the rule of law and administration of justice. A waiver would not undermine our public interest purpose, and it is reasonable in these circumstances.

Conditions

(a) where the solicitors or registered European lawyers are not covered by qualifying insurance, the administrators of the project are to effect adequate and appropriate indemnity insurance cover; (b) where the solicitors or registered European lawyers are not covered by qualifying insurance, the administrators of the project are to ensure that clients receive written notification that the Solicitors Regulation Authority's compulsory insurance scheme will not apply and appropriate information as to the arrangements in place for indemnity insurance cover; (c) no fees are to be charged; (d) no work is to be done for persons or in situations in relation to which there is a significant risk of a conflict of interest arising; (e) the administrators of the project are to ensure that a complaints procedure is in place to cover the work, and that contact details are given to all clients; (f) the administrators of the project are to put in place arrangements for overall supervision of clients' matters by suitable experienced solicitors or registered European lawyers or suitably qualified and experienced members of other legal professions; (g) clients are to be given the name and professional status of the person advising them or dealing with their case; (h) clients must be advised as to any liability the client may have for the payment of another party's costs; (i) the administrators of the project are to ensure that all solicitors and registered European lawyers participating in the project are given a copy of this waiver; (j) the administrators of the project are to notify the Solicitors Regulation Authority's Professional Ethics department in writing within 14 days of any change in the circumstances of the application; (k) that the waiver is expressly granted on the basis that it is without prejudice to any future decision on this or any similar or related matter. (l) Any change of circumstances to be notified (m) The grant to be without prejudice to any other application.

Exemption details

LawWorks Clinics, has been granted a waiver from Complaints handling

This waiver is valid from 14 January 2019 until 14 January 2021.

Details of rules applied for

Details of rules applied for SRA Code of Conduct 2011, Outcomes 1.9,1.10, 1.11 and 1.13.

Decision details

This waiver was granted.

Outcome

Solicitors and RELs can continue to participate in the LawWorks Clinics project without having to achieve the Outcomes in the SRA Code of Conduct relating to complaints handling

Reason

The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. There are no competing objectives and a waiver would best serve our public interest purpose, including access to justice while providing consumers with appropriate protection and supporting the rule of law and administration of justice. A waiver would not undermine our public interest purpose, and it is reasonable in these circumstances.

Conditions

(a) where the solicitors or registered European lawyers are not covered by qualifying insurance, the administrators of the project are to effect adequate and appropriate indemnity insurance cover; (b) where the solicitors or registered European lawyers are not covered by qualifying insurance, the administrators of the project are to ensure that clients receive written notification that the Solicitors Regulation Authority's compulsory insurance scheme will not apply and appropriate information as to the arrangements in place for indemnity insurance cover; (c) no fees are to be charged; (d) no work is to be done for persons or in situations in relation to which there is a significant risk of a conflict of interest arising; (e) the administrators of the project are to ensure that a complaints procedure is in place to cover the work, and that contact details are given to all clients; (f) the administrators of the project are to put in place arrangements for overall supervision of clients' matters by suitable experienced solicitors or registered European lawyers or suitably qualified and experienced members of other legal professions; (g) clients are to be given the name and professional status of the person advising them or dealing with their case; (h) clients must be advised as to any liability the client may have for the payment of another party's costs; (i) the administrators of the project are to ensure that all solicitors and registered European lawyers participating in the project are given a copy of this waiver; (j) the administrators of the project are to notify the Solicitors Regulation Authority's Professional Ethics department in writing within 14 days of any change in the circumstances of the application; (k) that the waiver is expressly granted on the basis that it is without prejudice to any future decision on this or any similar or related matter. (l) Any change of circumstances to be notified (m) The grant to be without prejudice to any other application.

Exemption details

Derek Bernardi of Camden Community Law Centre, 2 Prince of Wales Road, London, NW5 3LQ, has been granted a waiver from Experience required to set up a firm

This waiver is valid from 14 January 2019 until 16 November 2019.

Details of rules applied for

Details of rules applied for Rule 12.2(b) of the SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

the Applicant is qualified to supervise at Camden Community Law Centre, notwithstanding that he has not been entitled to practise as a solicitor for 36 months in the last 10 years

Reason

The waiver is compatible with our regulatory objectives as set out in the waiver criteria. There are no competing objectives and a waiver would best serve our public interest purpose: namely providing consumers with appropriate protection and supporting the rule of law and administration of justice. Based on the experience of the applicant in legal practice prior to qualifying as a solicitor, there are nominal risks to consumer protection or adherence to professional principles that we expect from regulated individuals.

Conditions

a) We are notified of any material change in circumstances within 14 days b) That the grant is without prejudice to any other application c) The waiver is valid until 16 November 2019 but is revocable upon reasonable notice.

Exemption details

Adeel Abrar who is a Solicitor has been denied a waiver from our requirement about Experience required to set up a firm.

Details of rules applied for

Details of rules applied for Rule 12.2(b) of the SRA Practice Framework Rules 2011.

Decision details

This waiver was denied.

Outcome

The Applicant is not 'qualified to supervise' for the purposes of setting up his own SRA authorised firm

Reason

The circumstances are not compatible with the SRA's regulatory objectives in section 1 of the Legal Services Act 2007. A waiver would not best serve our public interest purpose by providing consumers with appropriate protection. The Applicant's lack of management in the context of running, and being responsible for, a legal firm presents a risk to compliance and so undermines the public interest provision is intended to safeguard.

Exemption details

Springhouse Solicitors Ltd of First Floor, Chichester Enterprise Centre, Terminus Road, Chichester PO19 8TX, has been granted a waiver from Accountants Report Obtaining and Delivery

This waiver is valid from 09 January 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rules 32A.1 of the Accounts rules.

Decision details

This waiver was granted.

Outcome

The outcome the Applicant will achieve is that they will not be required to obtain an accountant's report for the accounting period 23 August 2016 to 22 February 2018.

Reason

Waiving the requirement to obtain an accountant's report raises a risk to the regulatory objectives of protection of public interest, protection of consumer interests and maintaining adherence to the professional principles. Those risks have been mitigated by our review of the information provided that took the firm out of the exemption provisions. We are satisfied that adequate protection for consumers is maintained under this waiver, and that it does nothing to impede support of the rule of law and administration of justice. The waiver therefore does not undermine our public interest purpose. We are satisfied the waiver meets all requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

Abayomi Alemoru who is a Solicitor has been denied a waiver from our requirement about Experience required to set up a firm.

Details of rules applied for

Details of rules applied for Rule 12.2(b) of the SRA Practice Framework Rules 2011.

Decision details

This waiver was denied.

Outcome

the applicant is not 'qualified to supervise' for the purposes of being the sole lawyer manager in a practice.

Reason

The applicant has insufficient experience as a solicitor in the context of running, and being solely responsible for, a law firm. A waiver would conflict with our regulatory objectives as set out in the waiver criteria and would undermine our public interest purpose.

Exemption details

Reiss Edwards of First Floor, Holborn Gate, 330 High Holborn, London, WC1V 7QT, , has been granted a waiver from Contributions to Compensation Fund

This waiver is valid from 20 December 2018 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.3 of the SRA Compensation Fund Rules 2011.

Decision details

This waiver was granted.

Outcome

The firm does not have to make a payment to the Compensation Fund for the practising year 01 November 2018 to 31 October 2019, despite having held client money in the period 01 November 2017 to 31 October 2018.

Reason

The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. There are no competing objectives and a waiver would best serve our public interest purpose: namely providing consumers with appropriate protection and supporting the rule of law and administration of justice. A waiver would not undermine our public interest purpose, as there was only one transaction and the money was held in client account for a short period. It is reasonable in these circumstances to allow the applicant a waiver from the requirement to pay into the Compensation Fund for the period 01 November 2018 to 31 October 2019.

Conditions

The waiver is granted without prejudice to any future decision on this or any related matter.

Exemption details

PCB Direct Limited of 70 Baker Street, London, W1U 7DL, has been granted a waiver from Contributions to Compensation Fund

This waiver is valid from 20 December 2018 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.3 of the SRA Compensation Fund Rules 2011.

Decision details

This waiver was granted.

Outcome

The firm is not required to make a contribution to the Compensation Fund in respect of the 2018/2019 practising year, despite having held client money during the 2017/2018 practising year.

Reason

The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. A waiver will not undermine our public interest purpose. It is reasonable in these specific circumstances to waive the Compensation Fund contribution. The Applicant firm is dormant and does not trade. There is a sister firm with the same owners and managers that still actively practises, and which has paid its own contribution. During the 2017/2018 period the Applicant firm held only a single residual balance of GBP57.50, which related to one historic matter. This has now been paid out. The risk of a claim on the Compensation Fund is nominal only.

Conditions

a. Professional Ethics must be notified in writing within 14 days of any change in the circumstances of the application; and b. the waiver is expressly granted on the basis that it is without prejudice to any other application.

Exemption details

Holy Trinity Brompton, has been granted a waiver from Framework of practice: in-house

This waiver is valid from 19 December 2018 until 19 December 2021.

Details of rules applied for

Details of rules applied for Rule 1.1(e) and 4.1(a) of the SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

To allow solicitors employed by Holy Trinity Brompton to act for Alpha International, St Paul's Theological Centre, the Church Renewal Trust, and the Church Revitalisation Trust.

Reason

The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. There are no competing objectives and a waiver would best serve our public interest purpose: namely providing consumers with appropriate protection and supporting the rule of law and administration of justice. The waiver is very limited in nature, allowing the Applicant to act for other members of the Holy Trinity Brompton Group, a small group of five Christian charities that all share a common purpose and background, operate common policies, rely on central HR, IT, Finance (etc), and share the same premises.

Conditions

a) the Applicant must notify Professional Ethics of any material change of circumstances within 14 days; b) the grant is without prejudice to any other application; and c) the grant is time limited for three years, but revocable upon reasonable notice.

Exemption details

Helena Grady, has been granted a waiver from Experience required to set up a firm

This waiver is valid from 07 December 2018 until 08 November 2021.

Details of rules applied for

Details of rules applied for Rule 12.2(b) of the SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

The Applicant is 'qualified to supervise', notwithstanding she has not been entitled to practise as a solicitor for the required 36 months within the last ten years

Reason

The waiver is compatible with our regulatory objectives as set out in the waiver criteria. There are no competing objectives and a waiver would best serve our public interest purpose, namely providing consumers with appropriate protection and supporting the rule of law and administration of justice. Based on the experience of the applicant as a practising solicitor, there are only nominal risks to consumer protection or adherence to professional standards that we expect from regulated individuals and entities.

Conditions

a) We are notified of any material change of circumstances within 14 days; b) The grant is without prejudice to any other application; c) The waiver is granted until 8 May 2021 but is revocable upon reasonable notice.

Exemption details

Miriam Bailey Parkyns who is a Solicitor has been denied a waiver from our requirement about Experience required to set up a firm.

Details of rules applied for

Details of rules applied for Rule 12.2(b) of the SRA Practice Framework Rules 2011.

Decision details

This waiver was denied.

Outcome

The Applicant is not permitted to be the sole lawyer manager of a practice

Reason

We are not satisfied that the waiver meets the requirements of our waivers policy. Allowing a waiver would not be compatible with the regulatory objective of promoting and protecting the public interest in section 1 of the Legal Services Act. A waiver would undermine our public interest purpose, and on balance it is not reasonable to allow the applicant a waiver from the requirement to be the qualified to supervise where she has not yet gained sufficient experience in legal practice

Exemption details

Jolyon Berry Limited of Stable 6 Stable Road, Colchester, Essex CO2 7GL, has been granted a waiver from COLP and COFA

This waiver is valid from 06 December 2018 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Jolyon Berry Limited does not require a Compliance Officer for Legal Practice (COLP) and Compliance Officer for Finance and Administration (COFA) in order to be authorised as a recognised body.

Reason

Jolyon Berry Limited will not be a trading body and exists purely to be a manager and owner of the connected firm of Thompson Smith and Puxton. A COLP and COFA is required in a firm to ensure compliance with our regulations. If the firm is not itself practising or serving clients in any way, there are very few, if any, breaches that could occur. Waiving the requirement for Jolyon Berry Limited to have a COLP and COFA raises a risk to the regulatory objectives of protection of the public and consumer interests, and maintaining adherence to the professional principles. Those risks have been mitigated by restricting the operation of Jolyon Berry Limited so it cannot trade or provide services to the public. If it wishes to do so in the future, the waiver will cease to apply and it will need to appoint a COLP and COFA. We are satisfied that adequate protection for consumers is maintained under this waiver due to the conditions, and that it does nothing to impede support of the rule of law and administration of justice. The waiver therefore does not undermine our public interest purpose. By granting the waiver subject to the specified conditions, we are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

(a) Jolyon Berry Limited is appointed as, and remains, a partner in the authorised body, Thompson Smith and Puxton (SRA number 56440). (b) Jolyon Berry Limited does not provide legal services except as a partner of Thompson Smith and Puxton. (c) Jolyon Berry Limited does not hold client money, except as a partner of, and in the client account of, Thompson Smith and Puxton. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

Venire Law Ltd of 322 Slade Lane, Manchester, Lancashire, M19 2BY,, has been granted a waiver from Contributions to Compensation Fund

This waiver is valid from 04 December 2018 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.3 of the SRA Compensation Fund Rules 2011.

Decision details

This waiver was granted.

Outcome

The firm does not have to make a contribution to the Compensation Fund in respect of the 2018/2019 practising year, notwithstanding the applicant has held client money during the 2017/2018 practising year.

Reason

The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. There are no competing objectives and a waiver would best serve our public interest purpose: namely providing consumers with appropriate protection and supporting the rule of law and administration of justice. A waiver would not undermine our public interest purpose, and it is reasonable in the applicant's circumstances and having regard to the size and number of the balances held, to grant a waiver from the requirement to pay the contribution to the Compensation Fund.

Conditions

(a) that the Professional Ethics Unit of the Solicitors Regulation Authority be notified in writing within 14 days of any change in the circumstances of the application; and (b) that the waiver is expressly granted on the basis that it is without prejudice to any future decision on this or any similar or related matter.

Exemption details

MBM Commercial LLP of 5th Floor, 125 Princes Street, Edinburgh, Midlothian, EH2 4AD, Scotland , has been granted a waiver from Qualifications of COLP/COFA

This waiver is valid from 04 December 2018 until 04 December 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(g)(ii)(B) ) SRA Authorisation Rules 2011.

Decision details

This waiver was granted.

Outcome

The waiver allows the Applicant to have a COLP who is an RFL (Mr Kenneth Mumford, a Scottish qualified solicitor)

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. The Applicant is a predominantly Scottish firm and most work is carried out from Edinburgh. A waiver allows the firm to have a COLP who is able to properly champion risk management and compliance and be responsible for the firm's systems and controls. It would be extremely difficult for one of the English qualified solicitors in London to properly discharge a COLP's function in the way envisaged by the rules. As an RFL and member of a recognised body, Mr Mumford is directly subject to SRA regulation. There are no attendant risks to consumer protection, and the waiver does not otherwise undermine the public interest

Conditions

MBM Commercial LLP continues to be a recognised body; Mr Kenneth Mumford continues to be the Compliance Officer for Legal Practice (COLP) and a member of MBM Commercial LLP; Professional Ethics must be notified in writing within 14 days of any change in the circumstances of the application; The waiver is expressly granted on the basis that it is without prejudice to any other application; The waiver is granted for a period of three years, but is revocable on the giving of reasonable notice.

Exemption details

Derbyshire Fire and Rescue Service, has been granted a waiver from Framework of practice: in-house

This waiver is valid from 04 December 2018 until 04 December 2021.

Details of rules applied for

Details of rules applied for Rule 1.1(e) and 4.1(a) of the SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

Derbyshire Fire and Rescue Service's in-house solicitor may provide legal services to the Staffordshire Fire and Rescue Service and the Staffordshire Commissioner Fire and Rescue Authority

Reason

The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. There are no competing objectives and a waiver best serves our public interest purpose. A waiver will not undermine our public interest purpose, and it is reasonable in these circumstances to allow the applicant's in-house solicitor to act for the Staffordshire Fire and Rescue Service and the Staffordshire Commissioner Fire and Rescue Authority given the legislative collaboration requirement set out in the Policing and Crime Act 2017. The interests of consumers are protected due to the very limited nature of the waiver.

Conditions

(a) The applicant only provides legal services to the Staffordshire Fire and Rescue Service and to the Staffordshire Commissioner Fire and Rescue Authority, and may only act for clients other than their employer as permitted by rule 4 of the PFR; (b) There is compliance with the SRA Handbook (c) The applicant notifies Professional Ethics in writing within 14 days of any change of circumstances; (d) The waiver is without prejudice to any other application;

Exemption details

Barbara Lock Ltd of Franchise House, 3a Tournament Court, Tournament Fields, Warwick, Warwickshire, CV34 6LG, has been granted a waiver from COLP and COFA

This waiver is valid from 04 December 2018 until 04 December 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

The firm does not need to appoint compliance officers

Reason

The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. There are no competing objectives. The interests of consumers are protected, and a waiver does not undermine our public interest purpose. It is reasonable to allow the applicant, as a corporate entity member of Hamilton Pratt, to not have compliance officers in circumstances where they provide no legal services and hold no client money.

Conditions

a) the applicant continues to be a recognised body; b) the applicant continues to be a corporate entity in Hamilton Pratt; c) the applicant may only provide services through Hamilton Pratt; d) the applicant does not operate a client account in the name of Barbara Lock Limited nor otherwise hold any client money, other than in client account in the name of Hamilton Pratt; e) that Professional Ethics is notified in writing within 14 days of any change in the circumstances of the application;

Exemption details

John Pratt Ltd of Franchise House, 3a Tournament Court, Tournament Fields, Warwick, Warwickshire, CV34 6LG , has been granted a waiver from COLP and COFA

This waiver is valid from 04 December 2018 until 04 December 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

The Applicant does not need to appoint compliance officers

Reason

The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. There are no competing objectives. The interests of consumers are protected, and a waiver does not undermine our public interest purpose. It is reasonable to allow the applicants, as corporate entity members of Hamilton Pratt, to not themselves have compliance officers in circumstances where they provide no legal services and hold no client money.

Conditions

a) the applicant continues to be a recognised body; b) the applicant continues to be a corporate entity in Hamilton Pratt; c) the applicant may only provide services through Hamilton Pratt; d) the applicant does not operate a client account in the name of John Pratt Limited nor otherwise hold any client money, other than in client account in the name of Hamilton Pratt; e) that Professional Ethics is notified in writing within 14 days of any change in the circumstances of the application;

Exemption details

ARP Legal Ltd of , has been granted a waiver from Professional Indemnity Insurance requirements

This waiver is valid from 19 November 2018 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 1.3 and 4.1 of the SRA Indemnity Insurance Rules 2013 (SIIR).

Decision details

This waiver was granted.

Outcome

The waiver dispenses with the requirement to obtain run-off cover

Reason

The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. There is minimal risk to the public interest protection objective in these circumstances where the firm has undertaken little work and such work is itself low risk criminal work

Conditions

a) the firm must inform its four clients about the waiver, in writing b) the waiver is expressly granted on the basis that it is without prejudice to any other application or decision

Exemption details

Moorepay Ltd, has been granted a waiver from Framework of practice: in-house

This waiver is valid from 31 August 2018 until 31 August 2020.

Details of rules applied for

Details of rules applied for Rule 1.1(e) and 4.1(a) of the SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

The waiver allows the solicitors employed by Moorepay Limited to act for the clients of Mooreplay Ltd in respect of unreserved legal activities while describing themselves as solicitors.

Reason

We are satisfied that the specific facts and circumstances of this application are in line with our regulatory objectives under the Legal Services Act. In particular, increasing access to justice and promoting competition in the legal services market. Allowing solicitors to describe themselves as such increases public trust and confidence in the legal services provided by the business. The waiver will allow them to improve the effectiveness of bids for new clients and therefore enables them to compete on a level playing field with their competitors. Allowing for more choice and for cost savings which are passed on to consumers facilitates access to justice and is of public benefit.

Conditions

The solicitors employed by ML do not undertake any reserved legal activities or immigration work; ML has in place professional indemnity insurance that is reasonably equivalent to that required under the SRA Indemnity Insurance Rules; There is compliance with the relevant provisions in the SRA Handbook, including having in place procedures to identify conflicts of interest and to ensure client confidentiality; To ensure all staff receive adequate training on client confidentiality; To ensure that clients are made aware of how the services provided to them are regulated and the protections available to them; ML provides agreed progress updates to us as and when requested; The waiver is limited to a period of 24 months but is revocable upon reasonable notice; That we are notified of any material change in circumstances within 14 days; The grant is without prejudice to any other application.

Exemption details

Michelle Saubergue of 123 Divorce Limited, Regus House, Malthouse Avenue, Cardiff Gate Business Park, Cardiff CF23 8RU, has been granted a waiver from Experience required to set up a firm

Details of rules applied for

Details of rules applied for Rule 12.2(b) of the SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

The applicant is able to be the lawyer manager in the newly authorised company (123 Divorce Limited) despite having less than 3 years recent practising experience

Reason

We are satisfied that the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver best serves our public interest purpose. The SRA waivers policy sets out certain circumstances where we will not grant a waiver which is none apply. Granting a waiver will improve access to justice, promote competition in the legal services market and encourage a strong, diverse and effective legal profession whilst promoting adherence to professional principles. 123 Divorce Limited will assist more vulnerable consumers to access legal services where there is an unmet need. There is a nominal risk to consumer protection in the specific circumstances of the application. The Applicant is not a newly qualified or inexperienced solicitor. She has held positions of responsibility in law firms and has 7 years post qualification experience as a practising solicitor. She is aware of the need to comply with her legal and regulatory obligations and has taken steps to assist with this prior to setting up her business.

Conditions

a) We are notified of any material change of circumstances within 14 days; b) The grant is without prejudice to any other application; c) The grant is time limited to expire on 28 February 2019

Exemption details

David Prichard Ltd of 1 Meridian South, Meridian Business Park, Leicester, Leicestershire, LE19 1WY, has been granted a waiver from COLP and COFA

This waiver is valid from 31 October 2018 until 31 October 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

David Prichard Ltd does not need to appoint its own Compliance Officers

Reason

The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. There are no competing objectives and a waiver would not undermine our public interest purpose. It is reasonable in these circumstances where all legal services are provided only through Shakespeare Martineau LLP where David Prichard Ltd is a corporate entity member, so the interests of consumers are not at risk.

Conditions

a. David Prichard Ltd does not hold client money except through Shakespeare Martineau LLP; b. David Prichard Ltd continues to be a recognised body; c. David Prichard Ltd continues to be a corporate entity member of Shakespeare Martineau LLP; d. David Prichard Ltd only provides legal services through Shakespeare Martineau LLP; e. Any change of circumstances is notified in writing to Professional Ethics within 14 days; f. This waiver is without prejudice to any other application.

Exemption details

Acumension Legal Solicitors of , has been granted a waiver from Professional Indemnity Insurance requirements

This waiver is valid from 31 October 2018 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 1.3 and 4.1 of the SRA Indemnity Insurance Rules 2013 (SIIR).

Decision details

This waiver was granted.

Outcome

The waiver dispenses with the requirement to have run-off cover on closure.

Reason

The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. There is no risk to the public interest protection objective, as firm has undertaken no work of any sort in the few months between authorisation and closure. As such, the firm presents no ongoing public risk. The risk for past clients that the concept of run-off cover is intended to address does not exist. There are no competing objectives.

Conditions

The waiver is expressly granted on the basis that it is without prejudice to any other application.

Exemption details

A1 Solicitors of Suite 1 and 2, 74 George Street, Luton High Street, Luton, Bedfordshire, L, has been granted a waiver from Contributions to Compensation Fund

This waiver is valid from 31 October 2018 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.3 of the SRA Compensation Fund Rules 2011.

Decision details

This waiver was granted.

Outcome

The firm does not have to make a contribution to the Compensation Fund for the practising year 1 November 2018 to 31 October 2019 despite having held client money during the period 1 November 2017 to 31 October 2018

Reason

The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. There are no competing objectives and a waiver would best serve our public interest purpose: namely providing consumers with appropriate protection and supporting the rule of law and administration of justice. A waiver would not undermine our public interest purpose, and it is reasonable in these circumstances to allow the applicant not to contribute to the Compensation Fund as the interests of consumers are protected due to the very limited nature of the waiver.

Conditions

(a) that the Professional Ethics Unit of the Solicitors Regulation Authority is notified in writing within 14 days of any change in the circumstances of the application; and (b) that the waiver is expressly granted on the basis that it is without prejudice to any future decision on this or any similar or related matter.

Exemption details

Derbyshire Constabulary (in-house legal department), has been granted a waiver from Framework of practice: in-house

This waiver is valid from 25 September 2018 until 24 September 2021.

Details of rules applied for

Details of rules applied for Rule 1.1(e) and 4.1(a) of the SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

To allow Derbyshire Constabulary (in-house legal department) to provide legal services to Northampton Fire and Rescue Service relevant to its statutory duties

Reason

The background to this application is that as a result of the Policing and Crime Act 2017, the government requires greater collaboration between emergency services, including fire and rescue services. Currently the rules do not permit the in-house solicitors of Derbyshire Constabulary to provide legal services to the Northamptonshire Fire and Rescue Service. We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest.

Conditions

(a) Derbyshire Constabulary (in-house legal department) only provides legal services to the Northamptonshire Fire and Rescue Service, and may only act for clients other than that employer as permitted by rule 4 of the PFR; (b) There is compliance with the SRA Handbook; (c) Derbyshire Constabulary (in-house legal department) notifies Professional Ethics in writing within 14 days of any change of circumstances; (d) The waiver is without prejudice to any other application; (e) The waiver is limited for three years but is revocable upon reasonable notice; (f) The waiver does not affect the waiver dated 5 May 2017.

Exemption details

Schneider Investments Associates LLP, has been granted a waiver from Framework of practice: in-house

This waiver is valid from 25 September 2018 until 24 September 2021.

Details of rules applied for

Details of rules applied for Rule 1.1(e) and 4.1(a) of the SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

To allow in-house solicitors of Schneider Investment Associates to provide legal services to two subsidiary companies within a joint venture arrangement

Reason

The background to this application is that Schneider Investments Associates LLP has entered a joint venture arrangement. That joint venture has established a company in which Schneider Investments Associates LLP is the 50% shareholder. That company itself wholly owns two subsidiaries companies. Schneider Investments Associates LLP's in-house legal team is unable to act for these two subsidiary companies as that is outside the permitted exception at rule 4.7. We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest.

Conditions

(a) This waiver is limited to the two subsidiaries only (b) There is compliance with the SRA Handbook (c) The joint venture remains within the same, or substantially the same, ownership (d) We are notified of any material change of circumstances within 14 days (e) The grant is without prejudice to any other application

Exemption details

Mohsin Masaud of Masaud Solicitors, 430 Cheetham Hill Road, Manchester, M8 9LE , has been granted a waiver from Experience required to set up a firm

This waiver is valid from 21 September 2018 until 15 November 2018.

Details of rules applied for

Details of rules applied for Rule 12.2(b) of the SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

The Applicant is able to be the sole lawyer manager in a newly authorised sole practice (Masaud Solcitors) despite having less than 3 years' recent practising experience.

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver best serves our public interest purpose. The SRA waivers policy identifies certain circumstances where we will not grant a waiver. Granting a waiver will improve access to justice, promote competition in the provision of services and encourage a strong, diverse and effective legal profession while promoting adherence to professional principles. Masaud Solicitors will assist more vulnerable consumers to access legal services. An unmet legal need has been identified by the Applicant in the geographical area in which the practice will be located. There is a nominal risk to consumer protection in the specific circumstances of this application. The Applicant, Mr Maud is not a newly qualified solicitor. He is an experience immigration solicitor who has also supervised other staff, gained management experience in private practise and is aware of legal and regulatory compliance issues applicable to law firms.

Conditions

A) We are notified of any material change of circumstances within 14 days; B) The grant is without prejudice to any other applications; C) The grant is time limited, to expire on 15 November 2018.

Exemption details

Laker Legal Solicitors Limited of , has been granted a waiver from Registered office and practising address criteria

This waiver is valid from 12 September 2018 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 15 of the SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

To permit the applicant to use a PO Box number address as a practising address solely for the purposes of compliance with Rule 15.5

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. The background is that Laker Legal is a virtual firm. It has never operated like a traditional High Street firm and does not have a traditional office open to the public or for clients to walk in. It uses a PO Box address as its registered address with Companies House. Companies House has approved this. The firm has an administration centre in Lancaster to which all correspondence is sent under the Royal Mail's PO Box service. This is not currently accessible to clients or members of the public, but its existence is not hidden. The firm makes clear in its publicity that it is a virtual firm, and the purpose of the Lancaster office is clear. The firm's use of the PO Box address is not misleading. Therefore there are no risks to consumer protection and the waiver does not otherwise undermine the public interest. We have imposed conditions to address any theoretical risk.

Conditions

a) The Applicant must update its mySRA account with the direct postal address within 14 days b) The Applicant must add suitable explanatory wording on its website as to the availability of its postal address c) Any change in circumstances is notified in writing to the Professional Ethics department of the SRA within 14 days d) The waiver is granted without prejudice to any other application

Exemption details

Noble Solicitors of 26-28 Stuart Street, Luton, Bedfordshire LU1 2SW, has been granted a waiver from Individual authorised manager

This waiver is valid from 27 September 2018 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 14.2 of the SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

Noble Solicitors can be authorised as a licensed body without having to have an individual authorised manager in the firm

Reason

Noble Solicitors is an existing recognised body which consists of corporate managers only. The firm has applied for a waiver to allow it to be authorised as a licensed body without having to change its current management structure. This waiver will enable it to continue to have only corporate partners. Granting the waiver allows the firm to be licensed while continuing to trade under its current, and preferred, business model. That is compatible with the regulatory objectives of improving access to justice, promoting competition in the provision of services, and encouraging a diverse and effective legal profession. Imposing the condition on the waiver has mitigated the risk of the firm distancing an individual solicitor or registered European lawyer further from the management than is permissible for recognised bodies. This ensures parity for how recognised bodies and licensed bodies are structured. We are satisfied that the condition imposed on the waiver provides adequate protection for consumers, and that it is not contrary to our obligation to support of the rule of law and administration of justice. By granting the waiver subject to the specified condition, we are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

One of the partners of Noble Solicitors must be an SRA recognised body with at least one manager who is a solicitor with a current practising certificate or a registered European lawyer.

Exemption details

Elizabeth Helen Smart of 51-53 Broomgrove Road, Sheffield, South Yorkshire, S10 2BP, has been granted a waiver from Experience required to set up a firm

This waiver is valid from 30 August 2018 until 30 August 2021.

Details of rules applied for

Details of rules applied for Rule 12.2(b) of the SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

The Applicant is able to be the sole lawyer manager in a newly authorised licensed body practice?despite having less than three yrs recent practising experience

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Any risks are mitigated both in the circumstances of the application and by way of the conditions we have imposed. Granting a waiver best serves our public interest purpose. The SRA waivers policy identifies certain circumstances where we will not grant a waiver and none apply. Granting this waiver will improve access to justice, promote competition in the provision of services, encourage a diverse and effective legal profession, and promote adherence to the professional principles. SHU is a not for profit business that has been established in order to target unmet legal needs. The firm operates from within a university and is largely staffed by students. Students will gain real experience of working in a firm and the next generation of solicitors will gain hands on experience of applying professional ethics in live matters. A nominal risk to consumer protection is mitigated in the specific circumstances of the application: SHU will have a strict supervision policy and will selectively take on work, rejecting cases deemed urgent, too complicated, too costly, or where there is simply insufficient resource. This is possible on account of the its not-for-profit nature. The Applicant does have some prior experience of practice and exceptional management experience in the legal education sector. The COLP and COFA have a combined 22 yrs of experience in practice.

Conditions

The waiver is subject to the following conditions The roles of COLP and COFA at SHU Law Ltd must always be held by lawyers that are qualified to supervise as per 12.2 PFR; The Applicant must notify the SRA of any material change of circumstances, including her ceasing to be a manager at SHU Law Ltd, within 14 days; The grant is without prejudice to any future decision on this or any related matter; The grant is time limited, to expire 30 August 2021.

Exemption details

Element Legal Services Ltd, has been granted a waiver from Framework of practice: in-house

This waiver is valid from 30 August 2018 until 30 August 2020.

Details of rules applied for

Details of rules applied for Rule 1.1(e) and 4.1(a) of the SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

To enable the solicitors employed by Element to act for the clients of Element in respect of unreserved activities whilst describing themselves as solicitors.

Reason

Element is an established business that employs solicitors. Allowing these solicitors to practise as such in respect of unreserved legal services to other law firms and in house legal teams is low risk and Element have professional indemnity insurance in place which is adequate for the risk incurred in their business. A waiver will enable Element to offer a more seamless service to their clients as the legal activities complement the non legal activities that they already provide to their clients. These services will be provided at competitive rates and those costs savings will ultimately be passed on to the end consumers. Granting a waiver is therefore of public benefit and promotes competition in the legal services market.

Conditions

The employed solicitors do not undertake any reserved legal activities or immigration work; Element has in place professional indemnity insurance that is reasonably equivalent to that required under the SRA Indemnity Insurance Rules; There is compliance with the relevant provisions in the SRA Handbook, including having in place systems and controls for identifying conflicts of interest and assessing client confidentiality; To ensure all staff received adequate training on client confidentiality; That clients are made aware of how the services provided by solicitors are regulated and the protections available to them; Element provides agreed progress updates to us as and when requested; The waiver is limited to a period of 24 months; Element must notify the SRA of any material change of circumstances within 14 days; and The grant is without prejudice to any other application.

Exemption details

Riverview Law Limited of Riverside, 1 Southwood Rd, Birkenhead, Wirral CH62 3QX, has been granted a waiver from Indemnity Rules

This waiver is valid from 31 August 2018 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 3.1 of the SRA Indemnity Insurance Rules 2013 as applies to some prescribed insurance definitions and Appendix 1 to those rules..

Decision details

This waiver was granted.

Outcome

The outcome is that Riverview Law Limited is permitted to have professional indemnity insurance equivalent to the SRA MTCs from a non-participating insurer.

Reason

The waiver has been granted on the basis of detailed insurance information we have received and reviewed. We are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver. We are satisfied that the provisions of Riverview Law Ltds insurance arrangements provide sufficient protection for consumers, and that granting this waiver is not contrary to our obligation to support of the rule of law and administration of justice. Granting the waiver therefore does not undermine our public interest purpose. Any risks to the regulatory objectives have been mitigated by the condition imposed that Riverview Law Limited must inform us of any changes to the insurance arrangements.

Conditions

a) Should there be any material change in the terms and conditions of the insurance that Riverview Law Limited holds, or a reduction to the level of primary cover, it must immediately inform the SRA and the waivers may be amended or revoked with immediate effect.

Exemption details

Perez Llorca UK LLP , has been granted a waiver from Framework of practice: registered European lawyer (RELs)

This waiver is valid from 28 August 2018 until 28 August 2021.

Details of rules applied for

Details of rules applied for Rule 2 of SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

To allow the RELs working for the Applicant to provide legal services to clients without the Applicant to be authorised or meet the criteria to be an Exempt European Practice

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting this waiver will improve access to justice and promote competition in the provision of services. Ganting a waiver best serves our public interest purpose. The Applicant is a foreign law practice. It is owned by two Spanish law firms registered with the Madrid Bar Association, but is a separate firm, rather than a branch office. Because it is not part of the same legal entity as those firms, it cannot meet the definition of an Exempt European Practice (EEP). The purpose of the rules allowing RELs to practice through EEPs is to permit RELs whose main place of business is conducted in other Member States to establish a branch office in England and Wales without having to restructure where they do not intend to carry on reserved legal activities. This furthers the objectives of the Establishment Directive (removing obstacles to freedom of movement for persons and services) while ensuring such practices are subject to regulatory oversight. The individual RELs in the firm will be subject to both SRA and Madrid Bar Association regulation. We are also imposing conditions meaning we are satisfied that there is sufficient regulatory oversight of the practice and the individual RELs practising through it without needing to meet criterion to be an EEP. The SRA waivers policy identifies certain circumstances where we will not grant a waiver - none apply.

Conditions

a) no member, interest holder, manager or employee of the applicant is a solicitor of England and Wales b) no member or interest holder of the applicant is a lawyer of England and Wales or an authorised body c) any REL who is a member, manager or employee of the applicant or, who conducts work on behalf of the applicant, does not themselves do or supervise or assume responsibility for doing any of the following: (i) the drawing or preparing of any instrument or papers comprising reserved legal activities under section 12(1)(c) or (d) of the Legal Services Act 2007 (ii) exercising any right of audience, or right to conduct litigation (including making any application or lodging any document relating to litigation), before a court or immigration tribunal; or (iii) providing any immigration advice or immigration services, unless the employer, or a senior fellow employee, is registered with the Immigration Services Commissioner d) the applicant does not carry on any reserved legal activities e) the applicant maintains professional indemnity insurance reasonably equivalent to that required under the SRA Indemnity Insurance Rules to cover any work done for its clients (f) any REL who is a member, manager, interest holder or employee of the applicant or, who conducts work on behalf of the applicant, must: (i) inform their client that the applicant is not regulated by the SRA and that the SRAs compulsory insurance scheme does not apply, and must either give or confirm this information in writing; and (ii) ensure that if they are identified on the notepaper of the applicant as a REL the notepaper also states that the applicant is not regulated by the SRA. j) the SRA Handbook 2011 shall apply to any REL who is a member, manager, interest holder or employee of the applicant or, who conducts work on behalf of the applicant, as though they are practising in an Exempt European Practice; k) the applicant must notify us of any change of circumstances; l) the grant is without prejudice to any other application; m) the waiver is limited for a period of three years from the date of grant.

Exemption details

John Mitchell Ltd , a corporate owner manager of Sills and Betteridge LLP, has been granted a waiver from COLP and COFA

This waiver is valid from 23 July 2018 until 22 July 2018.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

To permit the members of the Applicant, which are non-trading recognised bodies to not have a COLP and COFA

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver avoids the unnecessary burden of authorising non-working corporate manager owner recognised bodies in order for the body beneath to remain a recognised body. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest, as the relevant recognised bodies are not practising and will not hold or receive client money.

Conditions

a) the members of the Applicant do not hold client money except through Sills & Betteridge LLP b) they continue to be recognised bodies c) they continue to be corporate members of Sills & Betteridge LLP d) they only provide legal services through Sills & Betteridge LLP; e) any change of circumstances to be notified in writing to the Professional Ethics department of the SRA within 14 days d) the waiver is granted without prejudice to any other application.

Exemption details

Helen Derry Ltd , a corporate owner manager of Sills and Betteridge LLP, has been granted a waiver from COLP and COFA

This waiver is valid from 23 July 2018 until 22 July 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

To permit the members of the Applicant, which are non-trading recognised bodies to not have a COLP and COFA

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver avoids the unnecessary burden of authorising non-working corporate manager owner recognised bodies in order for the body beneath to remain a recognised body. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest, as the relevant recognised bodies are not practising and will not hold or receive client money.

Conditions

a) the members of the Applicant do not hold client money except through Sills & Betteridge LLP b) they continue to be recognised bodies c) they continue to be corporate members of Sills & Betteridge LLP d) they only provide legal services through Sills & Betteridge LLP; e) any change of circumstances to be notified in writing to the Professional Ethics department of the SRA within 14 days d) the waiver is granted without prejudice to any other application.

Exemption details

James Conduit Ltd , a corporate owner manager of Sills and Betteridge LLP, has been granted a waiver from COLP and COFA

This waiver is valid from 23 July 2018 until 22 July 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

To permit the members of the Applicant, which are non-trading recognised bodies to not have a COLP and COFA

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver avoids the unnecessary burden of authorising non-working corporate manager owner recognised bodies in order for the body beneath to remain a recognised body. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest, as the relevant recognised bodies are not practising and will not hold or receive client money.

Conditions

a) the members of the Applicant do not hold client money except through Sills & Betteridge LLP b) they continue to be recognised bodies c) they continue to be corporate members of Sills & Betteridge LLP d) they only provide legal services through Sills & Betteridge LLP; e) any change of circumstances to be notified in writing to the Professional Ethics department of the SRA within 14 days d) the waiver is granted without prejudice to any other application.

Exemption details

Richard Bussell Ltd , a corporate owner manager of Sills and Betteridge LLP, has been granted a waiver from COLP and COFA

This waiver is valid from 23 July 2018 until 23 July 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

To permit the members of the Applicant, which are non-trading recognised bodies to not have a COLP and COFA

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver avoids the unnecessary burden of authorising non-working corporate manager owner recognised bodies in order for the body beneath to remain a recognised body. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest, as the relevant recognised bodies are not practising and will not hold or receive client money.

Conditions

a) the members of the Applicant do not hold client money except through Sills & Betteridge LLP b) they continue to be recognised bodies c) they continue to be corporate members of Sills & Betteridge LLP d) they only provide legal services through Sills & Betteridge LLP; e) any change of circumstances to be notified in writing to the Professional Ethics department of the SRA within 14 days d) the waiver is granted without prejudice to any other application.

Exemption details

Chrystal Theofanous Ltd , a corporate owner manager of Sills and Betteridge LLP, has been granted a waiver from COLP and COFA

This waiver is valid from 23 July 2018 until 22 July 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

To permit the members of the Applicant, which are non-trading recognised bodies to not have a COLP and COFA

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver avoids the unnecessary burden of authorising non-working corporate manager owner recognised bodies in order for the body beneath to remain a recognised body. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest, as the relevant recognised bodies are not practising and will not hold or receive client money.

Conditions

a) the members of the Applicant do not hold client money except through Sills & Betteridge LLP b) they continue to be recognised bodies c) they continue to be corporate members of Sills & Betteridge LLP d) they only provide legal services through Sills & Betteridge LLP; e) any change of circumstances to be notified in writing to the Professional Ethics department of the SRA within 14 days d) the waiver is granted without prejudice to any other application.

Exemption details

Andrew Payne Ltd , a corporate owner manager of Sills and Betteridge LLP, has been granted a waiver from COLP and COFA

This waiver is valid from 23 July 2018 until 22 July 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

To permit the members of the Applicant, which are non-trading recognised bodies to not have a COLP and COFA

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver avoids the unnecessary burden of authorising non-working corporate manager owner recognised bodies in order for the body beneath to remain a recognised body. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest, as the relevant recognised bodies are not practising and will not hold or receive client money.

Conditions

a) the members of the Applicant do not hold client money except through Sills & Betteridge LLP b) they continue to be recognised bodies c) they continue to be corporate members of Sills & Betteridge LLP d) they only provide legal services through Sills & Betteridge LLP; e) any change of circumstances to be notified in writing to the Professional Ethics department of the SRA within 14 days d) the waiver is granted without prejudice to any other application.

Exemption details

Alison Hurton Ltd , a corporate owner manager of Sills and Betteridge LLP, has been granted a waiver from COLP and COFA

This waiver is valid from 23 July 2018 until 22 July 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

To permit the members of the Applicant, which are non-trading recognised bodies to not have a COLP and COFA

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver avoids the unnecessary burden of authorising non-working corporate manager owner recognised bodies in order for the body beneath to remain a recognised body. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest, as the relevant recognised bodies are not practising and will not hold or receive client money.

Conditions

a) the members of the Applicant do not hold client money except through Sills & Betteridge LLP b) they continue to be recognised bodies c) they continue to be corporate members of Sills & Betteridge LLP d) they only provide legal services through Sills & Betteridge LLP; e) any change of circumstances to be notified in writing to the Professional Ethics department of the SRA within 14 days d) the waiver is granted without prejudice to any other application.

Exemption details

Andrew Durkan Ltd , a corporate owner manager of Sills and Betteridge LLP, has been granted a waiver from COLP and COFA

This waiver is valid from 23 July 2018 until 22 July 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

To permit the members of the Applicant, which are non-trading recognised bodies to not have a COLP and COFA

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver avoids the unnecessary burden of authorising non-working corporate manager owner recognised bodies in order for the body beneath to remain a recognised body. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest, as the relevant recognised bodies are not practising and will not hold or receive client money.

Conditions

a) the members of the Applicant do not hold client money except through Sills & Betteridge LLP b) they continue to be recognised bodies c) they continue to be corporate members of Sills & Betteridge LLP d) they only provide legal services through Sills & Betteridge LLP; e) any change of circumstances to be notified in writing to the Professional Ethics department of the SRA within 14 days d) the waiver is granted without prejudice to any other application.

Exemption details

Karen Bower-Brown Ltd , a corporate owner manager of Sills and Betteridge LLP, has been granted a waiver from COLP and COFA

This waiver is valid from 23 July 2018 until 22 July 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

To permit the members of the Applicant, which are non-trading recognised bodies to not have a COLP and COFA

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver avoids the unnecessary burden of authorising non-working corporate manager owner recognised bodies in order for the body beneath to remain a recognised body. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest, as the relevant recognised bodies are not practising and will not hold or receive client money.

Conditions

a) the members of the Applicant do not hold client money except through Sills & Betteridge LLP b) they continue to be recognised bodies c) they continue to be corporate members of Sills & Betteridge LLP d) they only provide legal services through Sills & Betteridge LLP; e) any change of circumstances to be notified in writing to the Professional Ethics department of the SRA within 14 days d) the waiver is granted without prejudice to any other application.

Exemption details

Maureen Hayes Ltd , a corporate owner manager of Sills and Betteridge LLP, has been granted a waiver from COLP and COFA

This waiver is valid from 23 July 2018 until 22 July 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

To permit the members of the Applicant, which are non-trading recognised bodies to not have a COLP and COFA

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver avoids the unnecessary burden of authorising non-working corporate manager owner recognised bodies in order for the body beneath to remain a recognised body. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest, as the relevant recognised bodies are not practising and will not hold or receive client money.

Conditions

a) the members of the Applicant do not hold client money except through Sills & Betteridge LLP b) they continue to be recognised bodies c) they continue to be corporate members of Sills & Betteridge LLP d) they only provide legal services through Sills & Betteridge LLP; e) any change of circumstances to be notified in writing to the Professional Ethics department of the SRA within 14 days d) the waiver is granted without prejudice to any other application.

Exemption details

James Proctor Ltd , a corporate owner manager of Sills and Betteridge LLP, has been granted a waiver from COLP and COFA

This waiver is valid from 23 July 2018 until 22 July 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

To permit the members of the Applicant, which are non-trading recognised bodies to not have a COLP and COFA

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver avoids the unnecessary burden of authorising non-working corporate manager owner recognised bodies in order for the body beneath to remain a recognised body. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest, as the relevant recognised bodies are not practising and will not hold or receive client money.

Conditions

a) the members of the Applicant do not hold client money except through Sills & Betteridge LLP b) they continue to be recognised bodies c) they continue to be corporate members of Sills & Betteridge LLP d) they only provide legal services through Sills & Betteridge LLP; e) any change of circumstances to be notified in writing to the Professional Ethics department of the SRA within 14 days d) the waiver is granted without prejudice to any other application.

Exemption details

Euan McLaughlin Ltd , a corporate owner manager of Sills and Betteridge LLP, has been granted a waiver from COLP and COFA

This waiver is valid from 23 July 2018 until 22 July 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

To permit the members of the Applicant, which are non-trading recognised bodies to not have a COLP and COFA

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver avoids the unnecessary burden of authorising non-working corporate manager owner recognised bodies in order for the body beneath to remain a recognised body. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest, as the relevant recognised bodies are not practising and will not hold or receive client money.

Conditions

a) the members of the Applicant do not hold client money except through Sills & Betteridge LLP b) they continue to be recognised bodies c) they continue to be corporate members of Sills & Betteridge LLP d) they only provide legal services through Sills & Betteridge LLP; e) any change of circumstances to be notified in writing to the Professional Ethics department of the SRA within 14 days d) the waiver is granted without prejudice to any other application.

Exemption details

Gary Ian Phillips Ltd , a corporate owner manager of Sills and Betteridge LLP, has been granted a waiver from COLP and COFA

This waiver is valid from 23 July 2018 until 22 July 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

To permit the members of the Applicant, which are non-trading recognised bodies to not have a COLP and COFA

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver avoids the unnecessary burden of authorising non-working corporate manager owner recognised bodies in order for the body beneath to remain a recognised body. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest, as the relevant recognised bodies are not practising and will not hold or receive client money.

Conditions

a) the members of the Applicant do not hold client money except through Sills & Betteridge LLP b) they continue to be recognised bodies c) they continue to be corporate members of Sills & Betteridge LLP d) they only provide legal services through Sills & Betteridge LLP; e) any change of circumstances to be notified in writing to the Professional Ethics department of the SRA within 14 days d) the waiver is granted without prejudice to any other application.

Exemption details

E A Sharpe Ltd , a corporate owner manager of Sills and Betteridge LLP, has been granted a waiver from COLP and COFA

This waiver is valid from 23 July 2018 until 22 July 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

To permit the members of the Applicant, which are non-trading recognised bodies to not have a COLP and COFA

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver avoids the unnecessary burden of authorising non-working corporate manager owner recognised bodies in order for the body beneath to remain a recognised body. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest, as the relevant recognised bodies are not practising and will not hold or receive client money.

Conditions

a) the members of the Applicant do not hold client money except through Sills & Betteridge LLP b) they continue to be recognised bodies c) they continue to be corporate members of Sills & Betteridge LLP d) they only provide legal services through Sills & Betteridge LLP; e) any change of circumstances to be notified in writing to the Professional Ethics department of the SRA within 14 days d) the waiver is granted without prejudice to any other application.

Exemption details

Stephen R Wilson ltd , a corporate owner manager of Sills and Betteridge LLP, has been granted a waiver from COLP and COFA

This waiver is valid from 23 July 2018 until 22 July 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

To permit the members of the Applicant, which are non-trading recognised bodies to not have a COLP and COFA

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver avoids the unnecessary burden of authorising non-working corporate manager owner recognised bodies in order for the body beneath to remain a recognised body. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest, as the relevant recognised bodies are not practising and will not hold or receive client money.

Conditions

a) the members of the Applicant do not hold client money except through Sills & Betteridge LLP b) they continue to be recognised bodies c) they continue to be corporate members of Sills & Betteridge LLP d) they only provide legal services through Sills & Betteridge LLP; e) any change of circumstances to be notified in writing to the Professional Ethics department of the SRA within 14 days d) the waiver is granted without prejudice to any other application.

Exemption details

Malachy McGill Ltd , a corporate owner manager of Sills and Betteridge LLP, has been granted a waiver from COLP and COFA

This waiver is valid from 23 July 2018 until 22 July 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

To permit the members of the Applicant, which are non-trading recognised bodies to not have a COLP and COFA

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver avoids the unnecessary burden of authorising non-working corporate manager owner recognised bodies in order for the body beneath to remain a recognised body. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest, as the relevant recognised bodies are not practising and will not hold or receive client money.

Conditions

a) the members of the Applicant do not hold client money except through Sills & Betteridge LLP b) they continue to be recognised bodies c) they continue to be corporate members of Sills & Betteridge LLP d) they only provide legal services through Sills & Betteridge LLP; e) any change of circumstances to be notified in writing to the Professional Ethics department of the SRA within 14 days d) the waiver is granted without prejudice to any other application.

Exemption details

Martyn J Hall Ltd , a corporate owner manager of Sills and Betteridge LLP, has been granted a waiver from COLP and COFA

This waiver is valid from 23 July 2018 until 23 July 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

To permit the members of the Applicant, which are non-trading recognised bodies to not have a COLP and COFA

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver avoids the unnecessary burden of authorising non-working corporate manager owner recognised bodies in order for the body beneath to remain a recognised body. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest, as the relevant recognised bodies are not practising and will not hold or receive client money.

Conditions

a) the members of the Applicant do not hold client money except through Sills & Betteridge LLP b) they continue to be recognised bodies c) they continue to be corporate members of Sills & Betteridge LLP d) they only provide legal services through Sills & Betteridge LLP; e) any change of circumstances to be notified in writing to the Professional Ethics department of the SRA within 14 days d) the waiver is granted without prejudice to any other application.

Exemption details

Stephen Britton Ltd , a corporate owner manager of Sills and Betteridge LLP, has been granted a waiver from COLP and COFA

This waiver is valid from 23 July 2018 until 22 July 2021.

Details of rules applied for

Details of rules applied for Rule 8.5(b) and (d) of the Authorisation Rules.

Decision details

This waiver was granted.

Outcome

To permit the members of the Applicant, which are non-trading recognised bodies to not have a COLP and COFA

Reason

We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. Granting a waiver avoids the unnecessary burden of authorising non-working corporate manager owner recognised bodies in order for the body beneath to remain a recognised body. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest, as the relevant recognised bodies are not practising and will not hold or receive client money.

Conditions

a) the members of the Applicant do not hold client money except through Sills & Betteridge LLP b) they continue to be recognised bodies c) they continue to be corporate members of Sills & Betteridge LLP d) they only provide legal services through Sills & Betteridge LLP; e) any change of circumstances to be notified in writing to the Professional Ethics department of the SRA within 14 days d) the waiver is granted without prejudice to any other application.

Exemption details

Hybrid Legal Limited, has been granted a waiver from Framework of practice: in-house

This waiver is valid from 21 May 2018 until 21 May 2020.

Details of rules applied for

Details of rules applied for Rule 1.1(e) and 4.1(a) of the SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

The waiver enables the solicitors employed by Hybrid Legal to act for its clients in respect of unreserved legal activities while describing themselves as solicitors.

Reason

We are satisfied that there is a public benefit to be gained from allowing solicitors to use the title solicitor outside the scope of the PFR. The applicant has demonstrated that their business model assists in increasing access to justice for some consumers. These consumers might otherwise find it difficult to access legal services at competitive rates. Allowing a waiver is in line with our regulatory objectives under section 1 of the Legal Services Act and changes that we are proposing which includes allowing solicitors to hold themselves out as such while providing unreserved legal services. We have considered whether any risks to consumers that the PFR seek to mitigate by restricting how solicitors can practise in unregulated entities outweigh any benefits. We are of the view that any risks to consumers are nominal in the circumstances of the applicant. Hybrid Legal have in place professional indemnity insurance which is adequate for the type of work it carries out. Any risks that clients will be confused as to how the services provided by the solicitors are regulated and the protections available to them can be dealt with by conditions attached to the waiver.

Conditions

The solicitors employed by Hybrid Legal do not undertake any reserved legal activities or immigration work; - Hybrid Legal has in place professional indemnity insurance which is reasonably equivalent to that required under the SRA Professional Indemnity Insurance Rules; - There is compliance with the relevant provisions in the SRA Handbook, including having in place systems and procedures for identifying conflicts of interest; - All staff must receive adequate training on client confidentiality; - Clients must be made aware of how the services provided by solicitors are regulated and the protections available to them; - Hybrid law provides agreed progress updates to us as and when requested; - Hybrid Law must notify the SRA of any material change of circumstances within 14 days; - The grant is without prejudice to any other application.