Register of waivers

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

Group waivers

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This information and group waiver applies only to those who passed the April 2022 sitting of the Objective Structured Clinical Examination (OSCE) of the Qualified Lawyers Transfer Scheme assessments (QLTS).

Where someone has passed both the Multiple Choice Test (MCT) and the April 2022 sitting of the OSCE, we will allow them until 31 January 2023 (inclusive) to apply for admission as a solicitor. They must have passed the MCT before 1 September 2021

Regulation 11.4 of the SRA Authorisation of Individuals Regulation allows individuals who have passed the MCT to meet the requirements of regulation 3F of those regulations and apply for admission before 1 September 2022.

We are waiving this regulation so that the deadline imposed by the regulation will not apply to candidates who meet this waiver's conditions. Instead, they will now have until 31 January 2023 (inclusive) to apply.

Candidates must still meet the requirements of regulation 3F.1(a) before the 1 September 2022. This means that they must be either a barrister or a qualified lawyer in a recognised jurisdiction before that date.

In the case of a qualified lawyer in a recognised jurisdiction, they must have followed the jurisdiction's full route to qualification and be entitled to practise as a qualified lawyer in that jurisdiction.

If someone meets the waiver's conditions, they will be able to rely on this without us needing to contact them directly and without them needing to apply to us individually for a waiver.

Waiver

This waiver is granted by the Solicitors Regulation Authority (SRA) under powers delegated under section 79 of the Solicitors Act 1974 and for the purpose of facilitating the provision of legal services.

The SRA grants a waiver of regulation 11.4 of the SRA Authorisation of Individuals Regulations to any individual who meets the conditions of the waiver.

This waiver is granted subject to the following conditions:

  1. that the individual meets the requirements of regulation 3F.1(a) of the SRA Authorisation of Individuals Regulations before 1 September 2022;
  2. that the individual passed the multiple-choice test of the Qualified Lawyers Transfer Scheme assessments before 1 September 2021;
  3. that the individual sat and passed the April 2022 sitting of the Objective Structured Clinical Examination (OSCE); and
  4. that the individual applies for admission as a solicitor before 1 February 2023.

This waiver is granted until 31 January 2023 (inclusive) and can be revoked by the SRA giving reasonable notice.

This information and group waiver applies only to those who passed the multiple-choice test (MCT) of the Qualified Lawyers Transfer Scheme (QLTS) before 1 September 2021 and have attempted but not passed SQE2 by 31 March 2024.

Where you passed the MCT before 1 September 2021 and have attempted but not passed SQE2 by 31 March 2024, we will allow you to start as a new candidate on the SQE route from 1 April 2024. This means you would have to sit both assessments - SQE1 and SQE2.

Regulation 7.1 of the SQE Assessment Regulations usually allows you to have only six years from the date you first sat an SQE assessment to sit the remaining assessments. While Regulation 7.3 of those regulations usually allows you only three attempts at the SQE2 within six years.

We are waiving those regulations to allow you to start afresh as an SQE candidate from 1 April 2024, should you still wish to continue to attempt to qualify as a solicitor. This means that Regulation 7.1 and Regulation 7.3 only apply from the first SQE assessment you take after 31 March 2024.

This information sets out the position for all candidates who passed the MCT before 1 September 2021 and have attempted but not passed SQE2 by 31 March 2024. If you meet the waiver's conditions, you can rely on this without us needing to contact you directly. And without you needing to apply to us individually for a waiver.

Kaplan will update your SQE candidate account to remove any activity linked to qualifying under QLTS. They will also reset the information they hold to allow you to start the SQE route afresh.

Waiver

This waiver is granted by the Solicitors Regulation Authority (SRA) under powers delegated under section 79 of the Solicitors Act 1974. And for the purpose of facilitating the provision of legal services.

The SRA grants a waiver of Regulations 7.1 and 7.3 of the SQE Assessment Regulations to any individual who meets the conditions of the waiver.

This waiver is granted subject to the following conditions:

  1. that the individual passed the multiple-choice test of the Qualified Lawyers Transfer Scheme assessments before 1 September 2021;
  2. that the individual has attempted but not passed SQE2 by 31 March 2024;
  3. no more than six years have elapsed since the individual first sat an SQE assessment after 31 March 2024; and
  4. that the individual has had no more than three attempts at SQE2 since they first sat SQE2 after 31 March 2024.

This waiver can be revoked by the SRA giving reasonable notice.

Individual or firm waivers

Exemption details

Compensation Solicitors Online , a corporate owner manager of Ajay Jain, has been granted a waiver from Contributions to Compensation Fund

This waiver is valid from 06 March 2024 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 1.2 of the SRA Compensation Fund Rules.

Decision details

This waiver was granted.

Outcome

A waiver of the requirement to contribute to the Compensation Fund as a result of holding client money in the 2022/2023 practising year.

Reason

The circumstances are compatible with the SRA's regulatory objectives in section 1 of the Legal Services Act 2007. 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 held only three relatively small balances in its client account during the practising year.

Conditions

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

Exemption details

Davidson McDonnell Limited , a corporate owner manager of David McDonnell, has been granted a waiver from Requirement to have PII

This waiver is valid from 04 March 2024 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

A waiver of the requirement to hold qualifying insurance on the grounds that the firm holds insurance through The Law Society of Northern Ireland with additional jurisdiction cover for any legal work carried out in England and Wales.

Reason

Davidson McDonnell Limited is applying to be authorised as a recognised body. A waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. A waiver would not undermine our public interest purpose and is reasonable in circumstances where there is equivalent cover through the Law Society of Northern Ireland Master Policy to the level of our minimum requirement of £3 million. Further, the additional jurisdiction extension obtained will cover practice in England and Wales. The clients' interests are protected, and a waiver resolves a regulatory conflict between our rules and those of another regulator, therefore avoiding unnecessary duplication of regulatory requirements.

Conditions

The waiver is granted subject to the following conditions: 1.That a minimum level of £3 million is maintained through the Law Society of Northern Ireland Master Policy. 2.That Professional Ethics is notified in writing within 14 days of any change in the terms and conditions of the Law Society of Northern Ireland Master Policy; 3.Clients are informed in writing at the outset of the retainer of the insurance position and how this affects the protections available; 4.The grant is unlimited as to time, but revocable upon reasonable notice; 5.Davidson McDonnell Limited renews the applicable additional jurisdictional extension to cover the activities of the authorised body until the cessation of the company; 6.Any excess payments or self-insured amounts under the insurance policy are met by the Applicant except where the Law Society of Northern Ireland Master Policy allows for payment by the insurer; and 7.The waiver is expressly granted on the basis that it is without prejudice to any other application.

Exemption details

ME Legal One Limited of , has been granted a waiver from Requirement to have PII

This waiver is valid from 12 February 2024 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

Granting of a waiver of Rule 2.1 and clause 5.3 of Annex 1 of the SRA Indemnity Insurance Rules for the requirement to have run-off cover

Reason

ME Legal One Limited was authorised on the 23 February 2020 as a licensed body. We require all firms that are authorised and carry on a practice must have our compulsory professional indemnity insurance. This is provided from participating insurers, who under the Participating Insurer's Agreement, must offer insurance that meets our Minimum Terms and Conditions including the provision of six years run-off cover on closure of the firm. 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 not traded and not acted for any clients. The interests of consumers are protected due to the very limited nature of the waiver.

Conditions

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

A. Donamart Solicitors , a corporate owner manager of Athenatius Nwaike, has been granted a waiver from Contributions to Compensation Fund

This waiver is valid from 03 January 2024 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 1.2 of the SRA Compensation Fund Rules.

Decision details

This waiver was granted.

Outcome

To remove the requirement to contribute to the Compensation Fund despite holding client money during the 2022/23 practising year

Reason

The circumstances are compatible with the SRA's regulatory objectives in section 1 of the Legal Services Act 2007. 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 only received one small payment into its client account during the practising year.

Conditions

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

Exemption details

Adrian Kay who is a has been denied a waiver from our requirement about Requirement to have PII.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was denied.

Outcome

Refused application for a waiver of rules requiring firm to hold run-off insurance

Reason

The waiver conflicts with our regulatory objective of protecting and promoting the interests of consumers as set out in the waiver criteria. There is a risk to the interests of consumers because a waiver would leave the firm's clients without the protection afforded to them by professional indemnity insurance.

Exemption details

Benson Goldstein Limited , a corporate owner manager of Coby Benson, has been granted a waiver from Contributions to Compensation Fund

This waiver is valid from 07 December 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 1.2 of the SRA Compensation Fund Rules.

Decision details

This waiver was granted.

Outcome

To waive the requirement to contribute to the Compensation Fund despite holding client money in the 2022/2023 practising year.

Reason

The circumstances are compatible with the SRA's regulatory objectives in section 1 of the Legal Services Act 2007. 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 held only one relatively small balance in its client account during the practising year.

Conditions

That the grant is made without prejudice to any other application.

Exemption details

Angelus Law Ltd , a corporate owner manager of Oonagh Murphy, has been granted a waiver from Professional indemnity insurance requirements

This waiver is valid from 02 December 2023 until 11 January 2024.

Details of rules applied for

Details of rules applied for Rules 2.3, 2.4 and 4.2 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

To extend the cessation period by 40 days

Reason

The waiver does not conflict with our regulatory objective of protecting and promoting the interests of consumers as set out in the waiver criteria because the firm's clients will continue to have the protection afforded to them by professional indemnity insurance during the period of the waiver.

Conditions

That the Applicant meets the terms specified by the insurers to obtain extension cover; The Applicant must cease practice on expiry of the extended cessation period if no new policy of qualifying insurance is obtained; During its extended cessation period, the Applicant must not take on any new instructions but can deal with existing matters. That Professional Ethics is 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; and The waiver expires on 11 January 2024 but is revocable by the SRA on the giving of reasonable notice.

Exemption details

Joanna Tall who is a has been denied a waiver from our requirement about Requirement to have PII.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was denied.

Outcome

Refused

Reason

The waiver conflicts with our regulatory objective of protecting and promoting the interests of consumers as set out in the waiver criteria. There is a risk to the interests of consumers because a waiver would leave the firm's clients without the protection afforded to them by professional indemnity insurance.

Exemption details

ESN Solicitors of , has been granted a waiver from COLP and COFA

This waiver is valid from 08 November 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Exemption from the requirement for COLP and COFA for the firm's four corporate partners

Reason

The corporate partners are existing recognised bodies. They are not trading bodies and do not provide legal services in their own name. They exist only to act as partners in ESN Solicitors. COLPs and COFAs are required in an SRA firm to ensure compliance with our regulations. If the firms are not practising or serving clients in any way there are few, if any, beaches which could occur. The waiver does not undermine our public interest purpose and it is compatible with the regulatory objectives in section 1 of The Legal Services Act 2007.

Conditions

a) the applicants continue to be recognised bodies. b) the applicants continue to be corporate partners in ESN Solicitors. c) the applicants may only provide services through ESN Solicitors. d) the applicants do not operate a client account in their own the name, nor otherwise hold any client money, other than in a client account in the name of ESN Solicitors. e) that Professional Ethics is notified in writing within 14 days of any change in the circumstances of the application f) the waiver is expressly granted on the basis that it is without prejudice to any other application g) For avoidance of doubt, where there is more than one corporate entity, the waiver is granted to enable each corporate entity to continue as a recognised body without appointing compliance officers. Should any one of the corporate entities fail to fulfil the conditions this will not affect the waiver granted to the remaining named corporate entities. h) The waiver is unlimited as to time but is revocable by the SRA on the giving of reasonable notice.

Exemption details

Rachel Tan Li Ying, has been granted a waiver from Transitional arrangements for QLTS

This waiver is valid from 06 November 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 11.4 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Rachel Tan Li Ying will be able to apply for admission to the roll of solicitors of England and Wales at a later date than that permitted under the regulations.

Reason

Rachel Tan Li Yinghas been granted a waiver of the part of regulation 11.4 of the SRA Authorisation of Individuals Regulations which limited the ongoing application of regulation 3F to 31 August 2022. Regulation 11.4 can, for Rachel Tan Li Ying now be read as omitting the words 'until the first anniversary of that date'. The waiver has been granted on the basis that Rachel Tan Li Ying has missed the admission date for those who had completed all QLTS assessments under our previous rules as they were undergoing major job transitions out of private practice. This, coupled with issues surrounding the Covid-19 pandemic, where they had widespread lockdowns, movement restrictions, job uncertainty, and financial uncertainty, meant they were not able to incur the necessary costs for admission at the time. We are satisfied the waiver meets all requirements of our waiver's guidance. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

Celeste Alexandra Pierre Berta, has been granted a waiver from Transitional arrangements for QLTS

This waiver is valid from 16 October 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 11.4 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Celeste Berta will be able to apply for admission to the roll of solicitors of England and Wales at a later date than that permitted under the regulations.

Reason

Celeste Berta has been granted a waiver of the part of regulation 11.4 of the SRA Authorisation of Individuals Regulations which limited the ongoing application of regulation 3F to 31 August 2022. Regulation 11.4 can, for Celeste Berta, now be read as omitting the words 'until the first anniversary of that date'. The waiver has been granted on the basis that Celeste Berta completed all QLTS assessments required under our previous rules in the required timeframe but, due to a lack of clarity over other requirements, was unable to apply before the required deadline. The Applicant has demonstrated all criteria listed under regulation 3F.1 of the Authorisation of Individuals Regulations. We are satisfied the waiver meets all requirements of our waivers guidance. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

Amina Brooks who is a has been denied a waiver from our requirement about Requirement to have PII.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was denied.

Outcome

Refused

Reason

The waiver conflicts with our regulatory objective of protecting and promoting the interests of consumers as set out in the waiver criteria. There is a risk to the interests of consumers because a waiver would leave the firm's former clients without the protection afforded to them by professional indemnity insurance.

Exemption details

Stefan Cross, has been granted a waiver from Requirement to have PII

This waiver is valid from 19 September 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

To allow Pay Gap Legal Limited to close without holding run-off insurance cover from a participating insurer.

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 not traded and not acted for any clients. The interests of consumers are protected due to the very limited nature of the waiver.

Conditions

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

Chloe Devin, has been granted a waiver from Eligibility for admission - general

This waiver is valid from 05 September 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 1.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Miss Devin will not be required to pass the Solicitors Qualifying Examination to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Miss Devin has met the requirements of her Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 1990. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Julia Ustinovskaya, has been granted a waiver from Three years practising requirement to be a freelancer

This waiver is valid from 05 September 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 10.2(b)(i) of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Granted with conditions

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 of improving access to justice. A waiver would not undermine our public interest purpose of protecting consumers, because the Applicant has extensive experience having practised as a foreign lawyer in England for a number of years.

Conditions

1. The grant is unlimited in time but is revocable upon the SRA giving reasonable notice 2. The waiver is expressly granted on the basis that it is without prejudice to any other application

Exemption details

Malika Chadha, has been granted a waiver from Transitional arrangements for QLTS

This waiver is valid from 15 August 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 11.4 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Malika Chadha will be able to apply for admission to the roll of solicitors of England and Wales at a later date than that permitted under the regulations.

Reason

Malika Chadha has been granted a waiver of the part of regulation 11.4 of the SRA Authorisation of Individuals Regulations which limited the ongoing application of regulation 3F to 31 August 2022. Regulation 11.4 can, for Malika Chadha, now be read as omitting the words 'until the first anniversary of that date'. The waiver has been granted on the basis that Malika Chadha has missed the admission date for those who had completed all QLTS assessments under our previous rules. This was due to the difficulties they faced in obtaining a CoGS from their home jurisdiction and a misunderstanding of a requirement to obtain the certificate in person. We are satisfied the waiver meets all requirements of our waivers guidance. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

Anderson Strathern LLP, has been granted a waiver from Requirement to have PII

This waiver is valid from 17 July 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

Granted

Reason

Anderson Strathern LLP is regulated by the Law Society of Scotland. It is applying to us to be authorised as a recognised body. A waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. A waiver would not undermine our public interest purpose and is reasonable in these circumstances where there is reasonably equivalent cover afforded through the Scottish Master policy and top-up policies, by which the clients' interests remain protected. A waiver resolves a regulatory conflict between our rules and those of another regulator and avoids unnecessary duplication of regulatory requirements

Conditions

1. A minimum limit of cover of £3m is maintained through the Scottish Master Policy and top-up cover whilst that remains a requirement under the Minimum Terms and Conditions at which time the Applicant must comply with any new requirement. 2.We are notified immediately of any changes to the terms and conditions of the Scottish Master Policy. 3. Clients are informed in writing at the outset of the retainer of the insurance position and how this affects the protections available. 4. Any excess payments under the insurance policy are met by the Applicant except where the Scottish Master Policy allows for payment by the insurer. 5. The grant is unlimited as to time, but revocable upon reasonable notice. 6. The grant is without prejudice to any other application

Exemption details

Injury Claims Experts Limited of 1017 Thornton Road, has been granted a waiver from Requirement to have PII

This waiver is valid from 17 July 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

To allow the firm to be authorised by us without the requirement to take out and maintain a policy of qualifying insurance

Reason

Injury Claims Experts Limited is regulated by the Law Society of Scotland. It is applying to us to be authorised as a recognised body. A waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. A waiver would not undermine our public interest purpose and is reasonable in these circumstances where there is reasonably equivalent cover afforded through the Scottish Master policy and a top-up policy, by which the clients' interests remain protected. A waiver resolves a regulatory conflict between our rules and those of another regulator and avoids unnecessary duplication of regulatory requirements.

Conditions

1. A minimum limit of cover of £3m is obtained and maintained through the Scottish Master Policy and top-up cover whilst that remains a requirement under the Minimum Terms and Conditions at which time the applicant must comply with any new requirement. 2 We are notified immediately of any changes to the terms and conditions of the Scottish Master Policy. 3 Clients are informed in writing at the outset of the retainer of the insurance position and how this affects the protections available. 4 Any excess payments under the insurance policy are met by the applicant except where the Scottish Master Policy allows for payment by the insurer. 5 The grant is unlimited as to time, but revocable upon reasonable notice. 6 The grant is without prejudice to any other application

Exemption details

Kerry Clark, has been granted a waiver from Eligibility for admission - general

This waiver is valid from 12 July 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 1.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Miss Clark will not be required to pass the Solicitors Qualifying Examination to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Miss Clark has met the requirements of her Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 1990. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

S and J Pardesi Solicitors Ltd of 3 Branksome Avenue, Southampton SO15 5NX, has been granted a waiver from Annual accountant's report

This waiver is valid from 03 July 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 12.1 of the SRA Accounts Rules.

Decision details

This waiver was granted.

Outcome

To be exempt from the requirement to obtain an accountant's report for the period between 1 April 2022 and 31 March 2023.

Reason

The firm was required by a court order to hold a sum which could only be released following agreement in writing by all involved parties, or a further court order. The money was released in accordance with the requirements of the court order. 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 guidance. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

Danielle Stacey Baxter, has been granted a waiver from Transitional arrangements for QLTS

This waiver is valid from 29 June 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 11.4 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Miss Baxter will be able to apply for admission to the roll of solicitors of England and Wales at a later date than that permitted under the regulations.

Reason

Miss Baxter has been granted a waiver of the part of regulation 11.4 of the SRA Authorisation of Individuals Regulations which limited the ongoing application of regulation 3F to 31 August 2022. Regulation 11.4 can, for Miss Baxter, now be read as omitting the words 'until the first anniversary of that date'. The waiver has been granted on the basis that Miss Baxter has missed the admission date for those who had completed all QLTS assessments under our previous rules due to not completing our screening checks because of difficulties and delays in obtaining an overseas criminal record check and then personal circumstances. The Applicant has demonstrated all criteria listed under regulation 3F.1 of the Authorisation of Individuals Regulations. We are satisfied the waiver meets all requirements of our waivers guidance. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

Edgewater Legal Limited of Audley House, 13 Palace Street, London SW1E 5HX, has been granted a waiver from Supervision requirements

This waiver is valid from 07 June 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 9.4 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Edgewater Legal Limited is permitted to have Nicholas Nason supervise the work undertaken by the practice even though he does not meet the requirements in full.

Reason

Mr Nason is a solicitor who has held unconditional practising certificates for more than eight years. He has practised in a firm authorised and regulated by the SRA for a period exceeding two years and seven months from January 2013 to August 2015. Following this, he has provided immigration services from an OISC-regulated practice since June 2017. Under OISC regulations, his services have been provided in the capacity of an OISC-registered adviser rather than as a practising solicitor. Mr Nason is now seeking to move his business to SRA regulation. All SRA-authorised firms are required to have someone supervise the work of the practice who is a lawyer (as defined by our Glossary) and has worked as such for a minimum of three years. Mr Nason has been entitled to practise for the required time and conducted work which, if it had been done from an SRA-regulated practice, would have been done as a practising solicitor. His practising arrangements and his work were done in full compliance with both SRA and OISC regulations. Mr Nason's experience therefore meets the intention behind rule 9.4(a). Further, within five months of authorisation of Edgewater Legal Limited, Mr Nason will meet the three year practising requirement in full and this waiver will no longer be required. We are satisfied that granting this waiver is not contrary to our obligation to support the rule of law and the administration of justice, nor does it undermine our public interest purpose. Any risks to the regulatory objectives have been mitigated by the condition imposed that the waiver only applies as long as Mr Nason is the person providing supervision under rule 9.4(b) of the SRA Authorisation of Firms Rules.

Conditions

This waiver is subject to the condition that it only applies as long Nicholas Nason (SRA number 504523) is the person who supervises work within the practice under rule 9.4(b) of the Authorisation of Firms Rules. Should Mr Nason cease to be the one undertaking that supervision, this waiver will no longer apply and Edgewater Legal Limited will be required to comply with rule 9.4(a) of the Authorisation of Firms Rules.

Exemption details

Sarah Reynolds, has been granted a waiver from Transitional arrangements for QLTS

This waiver is valid from 26 June 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 11.4 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Sarah Reynolds will be able to apply for admission to the roll of solicitors of England and Wales at a later date than that permitted under the regulations.

Reason

Sarah Reynolds has been granted a waiver of the part of regulation 11.4 of the SRA Authorisation of Individuals Regulations which limited the ongoing application of regulation 3F to 31 August 2022. Regulation 11.4 can, for Sarah Reynolds, now be read as omitting the words 'until the first anniversary of that date'. The waiver has been granted on the basis that Sarah Reynolds has missed the admission date for those who had completed all QLTS assessments under our previous rules due to not receiving communications via mySRA that her screening application had been granted. Had Sarah Reynolds received this notification, she could have applied for admission prior to 31 August 2022. We are satisfied the waiver meets all requirements of our waivers guidance. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

Reed Smith LLP of The Broadgate Tower, 20 Primrose Street, London EC2A 2RS, has been granted a waiver from Withdrawal of client money (overseas)

This waiver is valid from 22 June 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 3.1(d) of the SRA Overseas Rules.

Decision details

This waiver was granted.

Outcome

Firms overseas offices in Abu Dhabi and Dubai can pay residual client money (overseas) balances of £500 or less (or foreign currency equivalent) to charity under our prescribed circumstances

Reason

This waiver allows the overseas practices of the Applicant firm, based in Abu Dhabi and Dubai, United Arab Emirates, to pay residual client balances of £500 or below (or foreign currency equivalent) to charity without prior authorisation from us, provided that they comply with the same prescribed circumstances that we apply to payments from client accounts in England and Wales. The risk to client money (overseas) is addressed by the conditions in our waiver. The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. The interests of consumers are protected due to the limited nature of the waiver, and the requirement to comply with our prescribed circumstances under rule 5.1(c) SRA Accounts Rules.

Conditions

The waiver is subject to compliance with our prescribed circumstances under Rule 5.1(c) Accounts Rules and the following further conditions; 1. that the Professional Ethics Department of the Solicitors Regulation Authority be notified in writing within 14 days of any change in the circumstances of the application; 2. that the waiver is expressly granted on the basis that it is without prejudice to any other application;

Exemption details

Meera Srikantharajah, has been granted a waiver from Transitional arrangements for QLTS

This waiver is valid from 13 June 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 11.4 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Meera Srikantharajah will be able to apply for admission to the roll of solicitors of England and Wales at a later date than that permitted under the regulations.

Reason

Meera Srikantharajah has been granted a waiver of the part of regulation 11.4 of the SRA Authorisation of Individuals Regulations which limited the ongoing application of regulation 3F to 31 August 2022. Regulation 11.4 can, for Meera Srikantharajah, now be read as omitting the words 'until the first anniversary of that date'. The waiver has been granted on the basis that Meera Srikantharajah has missed the admission date for those who had completed all QLTS assessments under our previous rules due to personal circumstances and has demonstrated all criteria listed under regulation 3F.1 of the SRA Authorisation of Individuals Regulations. We are satisfied the waiver meets all requirements of our waivers guidance. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

Swati Lal, has been granted a waiver from Transitional arrangements for QLTS

This waiver is valid from 06 June 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 11.4 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Swati Lal will be able to apply for admission to the roll of solicitors of England and Wales at a later date than that permitted under the regulations.

Reason

Swati Lal has been granted a waiver of the part of regulation 11.4 of the SRA Authorisation of Individuals Regulations which limited the ongoing application of regulation 3F to 31 August 2022. Regulation 11.4 can, for Swati Lal now be read as omitting the words 'until the first anniversary of that date'. The waiver has been granted on the basis that Swati Lal has missed the admission date for those who had completed all QLTS assessments under our previous rules due to a misunderstanding of our rules and regulations, and has demonstrated all criteria listed under regulation 3F.1 of the Authorisation of Individuals Regulations. We are satisfied the waiver meets all requirements of our waivers guidance. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

Luisa Bossi, has been granted a waiver from Eligibility for admission - general

This waiver is valid from 26 May 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 1.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Luisa Bossi will not be required to pass the Solicitors Qualifying Examination to be considered eligible to apply for admission to the roll of solicitors.

Reason

Luisa Bossi has been granted a waiver from regulation 1.1(a) of the SRA Authorisation of Individuals Regulations. The waiver has been granted on the basis that Luisa Bossi has met the requirements of her Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 1990. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Carolina Mauro, has been granted a waiver from Transitional arrangements for QLTS

This waiver is valid from 23 May 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 11.4 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Carolina Mauro will be able to apply for admission to the roll of solicitors of England and Wales at a later date than that permitted under the regulations.

Reason

Carolina Mauro has been granted a waiver of the part of regulation 11.4 of the SRA Authorisation of Individuals Regulations which limited the ongoing application of regulation 3F to 31 August 2022. Regulation 11.4 can, for Carolina Mauro now be read as omitting the words 'until the first anniversary of that date'. The waiver has been granted on the basis that Carolina Mauro has missed the admission date for those who had completed all QLTS assessments under our previous rules due to miscommunication and has demonstrated all criteria listed under regulation 3F.1 of the Authorisation of Individuals Regulations. We are satisfied the waiver meets all requirements of our waivers guidance. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

Abhijeet Ashok Desai, has been granted a waiver from Eligibility for admission - general

This waiver is valid from 03 May 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 1.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Abhijeet Desai will not be required to pass the Solicitors Qualifying Examination to be considered eligible to apply for admission to the roll of solicitors.

Reason

Abhijeet Desai has been granted a waiver from regulation 1.1(a) of the SRA Authorisation of Individuals Regulations. The waiver has been granted on the basis that Abhijeet Desai has met the requirements of his Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 1990. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Craig Edward Morrison, has been granted a waiver from Eligibility for admission - general

This waiver is valid from 28 April 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 1.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Mr Morrison will not be required to pass the Solicitors Qualifying Examination to be considered eligible to apply for admission to the roll of solicitors.

Reason

Craig Edward Morrison has been granted a waiver from regulation 1.1(a) of the SRA Authorisation of Individuals Regulations. The waiver has been granted on the basis that Mr Morrison has met the requirements of his Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 1990. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Richard Nii Ayi Hammond, has been granted a waiver from Eligibility for admission - general

This waiver is valid from 21 March 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 1.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Richard Hammond will not be required to pass the Solicitors Qualifying Examination to be considered eligible to apply for admission to the roll of solicitors

Reason

Richard Hammond has been granted a waiver from regulation 1.1(a) of the SRA Authorisation of Individuals Regulations. The waiver has been granted on the basis that Richard Hammond has met the requirements of his Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 1990. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Clyde & Co (Europe) LLP of , has been granted a waiver from Practising address

This waiver is valid from 24 March 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 1.3(b) of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

The waiver was granted to allow Clyde & Co (Europe) LLP (the Applicant) to be eligible for authorisation even though it does not have a practising address in the UK

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. It is reasonable in these circumstances to allow the applicant to practise law in Germany without a practising address in the UK. By becoming authorised the Applicant will be subject to our regulatory rules. We will also continue to have regulatory control over the Applicant through its Responsible Authorised Body in the UK, Clyde & Co LLP. The interests of consumers are protected due to the very limited nature of the waiver.

Conditions

(1) Subject to 2. below, the Applicant must follow the SRA Standards and Regulations, in particular the SRA Principles, SRA Code of Conduct for Firms, SRA Indemnity Insurance Rules and SRA Transparency Rules. In the event of a conflict between these rules and local law and regulation the latter must prevail with the exception of SRA Principle 2 which must be observed at all times. (2) The Applicant to comply with Rule 3 of the SRA Overseas and Cross-border Practice Rules instead of the SRA Accounts Rules on the understanding that the definition of client money (overseas) will have the following meaning: Money held or received by you (a) relating to services delivered by you to a client; (b) on behalf of a third party in relation to services delivered by you (such as money held as agent, stakeholder or held to senders order); (c) as a trustee or as the holder of a specified office or appointment; (d) in respect of fees and unpaid disbursements if held or received prior to the delivery of a bill for the same. (3) Clyde & Co LLP (SRA ID 460690) to remain the Responsible Authorised Body for the Applicant (4) The Applicant must be specifically named upon any professional indemnity insurance covering itself. Any professional indemnity cover must meet the requirements of the SRA Minimum Terms and Conditions of Professional Indemnity Insurance under Annex 1 of the SRA Indemnity Insurance Rules. (5) The grant is subject to the Applicant not opening

Exemption details

Murdochs Law Limited of who is a has been denied a waiver from our requirement about Withdrawal of money from client account.

Details of rules applied for

Details of rules applied for Rule 5.3 of the SRA Accounts Rules.

Decision details

This waiver was denied.

Outcome

Refusal of waiver to allow firm to withdraw client money from client account when there may not be sufficient funds held.

Reason

Rule 5.3 states that firms may only withdraw client money from a client account if sufficient funds are held on behalf of that specific client or third party to make the payment. Murdochs Law Limited applied for a waiver from this Rule because it was holding client money that it had received from another firm, and it was unsure whether it held sufficient funds to make payments to the relevant clients/third parties. It was unsure whether it held sufficient funds because there was concern that a shortage may exist on the client funds that it received from the firm. The waiver was refused because granting it was not compatible with the following regulatory objectives contained in section 1 of the Legal Services Act 2007: To protect and promote the interests of consumers To support the constitutional principle of the rule of law In addition, there was insufficient evidence that it would be unreasonable for Murdochs Law Limited to apply to the Court for directions as to how the funds should be distributed.

Exemption details

The Divorce Advice Service Limited of , has been granted a waiver from Requirement to have PII

This waiver is valid from 04 January 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

Granting a waiver of the requirement to have run-off cover with the consent of the insurer

Reason

This company provided legal services from November 2021 to October 2022 to two clients. The services provided were limited in scope, uncontested and involved no client money. There is minimal risk to the public interest protection regulatory objective in these circumstances. The interests of consumers are protected due to the very limited nature of the waiver.

Conditions

a. The Applicant inform its clients of the waiver in writing. b. 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

Dixon Lewis Solicitors of , has been granted a waiver from Professional indemnity insurance requirements

This waiver is valid from 21 December 2022 until 31 March 2023.

Details of rules applied for

Details of rules applied for Rules 2.3, 2.4 and 4.2 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

Granting a waiver to extend the Cessation period by 90 days with the consent of the insurer

Reason

Dixon Lewis Solicitors (the Applicant Firm) is regulated by the SRA and is seeking a waiver to extend the Cessation Period. Granting a waiver to extend the Cessation Period by 90 days protects the clients' interests as it gives the Applicant Firm additional time to complete client matters, thereby avoiding the need for some clients to find alternative legal representation unnecessarily. A waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. A waiver would not undermine our public interest purpose and is reasonable in circumstances where the insurer has agreed to extend the Cessation Period by 90 days (until 31.03.23).

Conditions

a. the Applicant meets the term specified by the insurers to obtain extension cover b. during the extended cessation period, the Applicant must not take on any new instructions but can deal with existing matters c. that Professional Ethics is notified in writing within 14 days of any change in the circumstances of the Applicant d. the waiver is expressly granted on the basis that it is without prejudice to any other application e. the waiver expires on 01/04/2023 but is revocable by the SRA on the giving of reasonable notice

Exemption details

AHS Law of Ashley House, 235-239 High Road, London N22 8HF who is a has been denied a waiver from our requirement about Annual accountant's report.

Details of rules applied for

Details of rules applied for Rule 12.1 of the SRA Accounts Rules.

Decision details

This waiver was denied.

Outcome

A waiver from the requirement to obtain an accountant's report for AHS Law for the period 1 April 2021 to 31 March 2022.

Reason

AHS Law of Ashley House, 235-239 High Road, London, N22 8HF has been refused a waiver from the requirement to obtain an accountant's report for the period 1 April 2021 to 31 March 2022. This was refused because granting the requested waiver was not compatible with the following regulatory objectives and would undermine the SRA's public interest purpose: (a) Protecting and promoting the public interest. (b) Protecting and promoting the interests of consumers. (c) Promoting and maintaining adherence to the professional principles. The firm must therefore obtain an accountant's report by 22 March 2023 for the above accounting period.

Exemption details

Addleshaw Goddard (Germany) LLP of Milton Gate, 60 Chiswell Street, London EC1Y 4AG, has been granted a waiver from Practising address

This waiver is valid from 13 January 2023 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 1.3(b) of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Addleshaw Goddard (Germany) LLP is not required to have a practising address in the United Kingdom (UK).

Reason

Addleshaw Goddard (Germany) LLP does not provide any legal services under English and Welsh law and therefore is not practising under our rules. That prevents it having an address in the UK that constitutes a practising address. It operates entirely from Germany, providing services in that jurisdiction. The firm is permitted to be authorised notwithstanding the fact it does not provide any English or Welsh legal services as there is a public interest reason to grant authorisation. Specifically, it is a requirement in Germany that any legal person governed by foreign law must be authorised to practise law in its state of origin. Without this waiver and authorisation as a recognised body, Addleshaw Goddard (Germany) LLP could not trade as a law firm in Germany. The practising address requirement exists to allow for effective regulation and monitoring of firms we regulate. It is much harder for us to regulate a firm, and take enforcement action where necessary, if there is no UK presence. However, as Addleshaw Goddard (Germany) LLP will not be practising English and Welsh law, we will not be regulating its work and the risk the practising address requirement was intended to address is largely mitigated. We are satisfied that granting this waiver is not contrary to our obligation to support the rule of law and the administration of justice, nor does it undermine our public interest purpose. Any risks to the regulatory objectives have been mitigated by the condition imposed that we must be informed if Addleshaw Goddard (Germany) LLP commences work under our regulation so we can consider whether the waiver remains appropriate.

Conditions

This waiver is subject to the condition that if Addleshaw Goddard (Germany) LLP begins to provide services under English and Welsh law, it must notify the SRA promptly.

Exemption details

A Donamart Solicitors of Unit 1 First Floor, 596 Kingsland Road, LONDON, E8 4AH, has been granted a waiver from Contributions to Compensation Fund

This waiver is valid from 14 December 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 1.2 of the SRA Compensation Fund Rules.

Decision details

This waiver was granted.

Outcome

The waiver was granted.

Reason

This is a repeat application where a small sum of money has remained in the firm's client account for several years pending the outcome of proposed litigation. No other sums were held over this period and the account is now clear. The compensation fund fee would be disproportionate given the lack of activity within the account. The circumstances are compatible with the SRA's regulatory objectives in section 1 of the Legal Services Act 2007. 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 held only one relatively small balance in its client account during the practising year.

Conditions

The waiver is granted subject to the following conditions: 1. that the waiver is expressly granted on the basis that it is without prejudice to any other application; and that the waiver is granted from the 14 December 2022 and is unlimited as to time unless revoked by the SRA giving reasonable notice.

Exemption details

Sarah Deckers, has been granted a waiver from Transitional arrangements for LPC route

This waiver is valid from 14 December 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 11.5 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Sarah Deckers, who received an offer and accepted it within the offer window, will be able to pursue the LPC route to admission up until 31 December 2032.

Reason

Sarah Deckers has been granted a waiver from regulation 11.5 of the SRA Authorisation of Individuals Regulations to the extent that it requires Sarah Deckers to start, enter into a contractual agreement, or have made a non-refundable financial commitment to start, a specified course, degree, or period of recognised training by the relevant specified date. For Sarah Deckers, the requirement is now that they must have received an offer and accepted that offer within the offer window. This waiver has been granted on the basis that Sarah Deckers has provided reasonable explanation, supported by the relevant institution, as to why the specified date was not met. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Xuan Pollard Solicitors of who is a has been denied a waiver from our requirement about Requirement to have PII.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was denied.

Outcome

Refusal of an application to waive the requirement to have run-off cover

Reason

The rules requiring an authorised body to have run-off cover in place are designed to protect the interest of consumers who may have future claims against the authorised body. This Recognised Sole Practice has provided legal services from 2015 to 2021 to between 11 and 16 clients who may have future claims. A waiver would therefore risk consumer protection and it would undermine our public interest purpose, as well as the regulatory objectives in section 1 of the Legal Services Act 2007.

Exemption details

John Francis McMahon of 17 West Street, Moulton, Northampton, Northamptonshire, NN3 7SB, has been granted a waiver from Ability to provide immigration advice and immigration services and claims management activities

This waiver is valid from 06 December 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 9.5(a) to (d) and 9.8 (a) and (b) of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

To enable the applicant to provide immigration advice and immigration services as defined by s82 Immingration and Asylum Act 1999 and to carry on claims management activities in relation to employment related claims as defined by article 89M Financial Services and Markets Act 2000 (Regulated Activities Order) 2001 as a freelance solicitor.

Reason

Freelance solicitors are not permitted to provide immigration advice and immigration services as defined by section 82 of the Immigration and Asylum Act 1999 and are not permitted to carry on claims management activities in relation to employment related claims as defined by article 89M of The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001. A waiver would best serve our public interest purpose of improving access to justice and promoting competition in the provision of legal services. A waiver would not undermine our public interest purpose, and it is reasonable in these circumstances to allow the applicant to provide immigration advice and immigration services, and to carry on claims management activities in relation to employment related claims as a freelance solicitor because the Applicant is an experienced solicitor with several years of experience sitting as a judge in the Employment Tribunal, the Asylum and Immigration Tribunal and the Social Security Appeals Tribunal. Further he may only provide those services whilst registered with us as a freelance solicitor who is practising in accordance with the circumstances set out in regulation 10.2(b)(i) to (vii) of the SRA Authorisation of Individuals Regulations. Our published guidance makes it clear that such freelance solicitors cannot delegate their service provision to others. This means that it would not be possible for anyone to act on his behalf and be supervised by him for the purposes of section 84(2)(e) of the Immigration and Asylum Act 1999

Conditions

1. The Applicant only provides immigration advice and immigration services as defined by section 82 of the Immigration and Asylum Act 1999 and only carries on claims management activities in relation to employment related claims as defined by article 89M of The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 as a freelance solicitor while registered with us as a freelance solicitor providing reserved legal services. 2. That we are notified of any material change of circumstances within 14 days. 3. The grant is without prejudice to any other application. 4. The grant is unlimited as to time but revocable upon reasonable notice.

Exemption details

Ka Bo Lai, has been granted a waiver from Eligibility for admission - general

This waiver is valid from 16 November 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 1.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Ms Lai will not be required to pass the Solicitors Qualifying Examination to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Ms Lai has met the requirements of her Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 2009. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Pysdens Solicitors of Tower 42, 25 Old Broad Street, London EC2N 1HN, has been granted a waiver from Annual accountant's report

This waiver is valid from 09 November 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 12.1 of the SRA Accounts Rules.

Decision details

This waiver was granted.

Outcome

The outcome is that Pysdens Solicitors is not required to obtain an accountant's report for the accounting period between 1 April 2021 and 31 March 2022.

Reason

Pysdens Solicitors holds funds under a contractual undertaking and has no reasonable option to use a third-party managed account. 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 guidance. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

Jones Whyte Law Limited of , has been granted a waiver from COLP requirement to be an authorised person

Details of rules applied for

Details of rules applied for Rule 8.2(d) SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Waiver from the requirement for the firm's COLP to be a person who is authorised to carry out reserved legal activities by an approved regulator of legal services in England and Wales.

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 to appoint Mr Greg Whyte, who is a solicitor qualified in Scotland as their COLP. He is a manager in Jones Whyte Law Limited (a pre-recognised body) and is a suitably senior, experienced solicitor to ensure compliance with their regulatory arrangements.

Conditions

Jones Whyte Law Limited once authorised as a recognised body, continues to be a recognised body, Mr Greg Whyte continues to be a director of Jones Whyte Law Limited whilst appointed as their Compliance Officer for Legal Practice (COLP), 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 unlimited to time, but is revocable on the giving of reasonable notice.

Exemption details

Jones Whyte Law Limited of , has been granted a waiver from Requirement to have PII

This waiver is valid from 04 November 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

Waiver from the requirement to have qualifying insurance as the firm has cover under the Scottish Master Policy and top up insurance.

Reason

Jones Whyte LLP (SRA ID 818261) are changing their legal structure to a company, Jones Whyte Law Limited. They are dually regulated by us and the Law Society of Scotland. Jones Whyte LLP has an existing waiver granted on 01 April 2021 allowing them to rely on their cover under their Scottish Master Policy, provided they top-up this cover to �3 million per claim to align with our requirement for SRA firms that are LLPs or companies. Granting a waiver to Jones Whyte Law Limited on similar terms to the previous waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. A waiver would not undermine our public interest purpose as there is reasonably equivalent cover afforded by the Scottish Master policy with top-up cover, by which the clients' interests remain protected

Conditions

A minimum limit of cover of £3m is maintained through the Scottish Master Policy and excess layer cover whilst that remains a requirement under the Minimum Terms and Conditions at which time the applicant must comply with any new requirements. We are notified immediately of any changes to the terms and conditions of the Scottish Master Policy and/or the excess layer cover. Clients are informed in writing at the outset of the retainer of the insurance position and how this affects the protections available. Any excess payments under the insurance policy are met by the applicant except where the Scottish Master Policy allows for payment by the insurer The grant is unlimited as to time, but is revocable upon reasonable notice The grant is without prejudice to any other application.

Exemption details

Ugochukwu Muoma, has been granted a waiver from Eligibility for admission - general

This waiver is valid from 02 November 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 1.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Mr Muoma will not be required to pass the Solicitors Qualifying Examination to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Mr Muoma has met the requirements of his Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 1990. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Raghav Mathur, has been granted a waiver from Eligibility for admission - general

This waiver is valid from 20 October 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 1.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Mr Mathur will not be required to pass the Solicitors Qualifying Examination to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Mr Mathur has met the requirements of his Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 1990. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Natalie Spencer, has been granted a waiver from Transitional arrangements for LPC route

This waiver is valid from 20 October 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 11.5 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Natalie Spencer, who received an offer and accepted it within the offer window, will be able to pursue the LPC route to admission up until 31 December 2032.

Reason

Natalie Spencer has been granted a waiver from regulation 11.5 of the SRA Authorisation of Individuals Regulations to the extent that it requires Natalie Spencer to start, enter into a contractual agreement, or have made a non-refundable financial commitment to start, a specified course, degree, or period of recognised training by the relevant specified date. For Natalie Spencer, the requirement is now that they must have received an offer and accepted that offer within the offer window. This waiver has been granted on the basis that Natalie Spencer has provided reasonable explanation, supported by the relevant institution, as to why the specified date was not met. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

James Cooper, has been granted a waiver from Transitional arrangements for LPC route

This waiver is valid from 06 October 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 11.5 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that James Cooper, who received an offer before the specified date and accepted it within the offer window, will be able to pursue the LPC route to admission up until 31 December 2032.

Reason

James Cooper has been granted a waiver from regulation 11.5 of the SRA Authorisation of Individuals Regulations to the extent that it requires James Cooper to start, enter into a contractual agreement, or have made a non-refundable financial commitment to start, a specified course, degree, or period of recognised training by the relevant specified date. For James Cooper, the requirement is now that they must have received an offer by the specified date and accepted that offer within the offer window. This waiver has been granted on the basis that James Cooper has provided reasonable explanation, supported by the relevant institution, as to why the specified date was not met. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Harriet Brown, has been granted a waiver from Transitional arrangements for LPC route

This waiver is valid from 06 October 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 11.5 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Harriet Brown, who received an offer before the specified date and accepted it within the offer window, will be able to pursue the LPC route to admission up until 31 December 2032.

Reason

Harriet Brown has been granted a waiver from regulation 11.5 of the SRA Authorisation of Individuals Regulations to the extent that it requires Harriet Brown to start, enter into a contractual agreement, or have made a non-refundable financial commitment to start, a specified course, degree, or period of recognised training by the relevant specified date. For Harriet Brown, the requirement is now that they must have received an offer by the specified date and accepted that offer within the offer window. This waiver has been granted on the basis that Harriet Brown has provided reasonable explanation, supported by the relevant institution, as to why the specified date was not met. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Azzopardi & Co of who is a has been denied a waiver from our requirement about Requirement to have PII.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was denied.

Outcome

Refusal of waiver from run-off requirement

Reason

The rules requiring an authorised body to have run-off cover in place are designed to protect the interest of consumers who may have future claims against the authorised body. This Sole Practice has provided legal services from 25 January 1999 to 1 November 2021 to a number of clients who may have future claims. A waiver would therefore risk consumer protection and it would undermine our public interest purpose, as well as the regulatory objectives in section 1 of the Legal Services Act 2007.

Exemption details

A H Christie Legal LLP of who is a has been denied a waiver from our requirement about Requirement to have PII.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was denied.

Outcome

The refusal on an application to waive the requirement for this recognised body to run-off cover.

Reason

The rules requiring an authorised body to have run-off cover in place are designed to protect the interests of consumers who may have future claims against the authorised body. The Applicant has provided legal services to 7 clients who may have future claims. A waiver would therefore risk consumer protection, undermine our public interest purpose and the regulatory objectives in section 1 of the Legal Services Act 2007.

Exemption details

Luis Dena Osollo, has been granted a waiver from Eligibility for admission - general

This waiver is valid from 12 September 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 1.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Luis Osollo will not be required to pass the Solicitors Qualifying Examination to be considered eligible to apply for admission to the roll of solicitors.

Reason

Luis Osollo has been granted a waiver from regulation 1.1(a) of the SRA Authorisation of Individuals Regulations. The waiver has been granted on the basis that Mr Osollo has met the requirements of his Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 1990. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Andrea Toth Best, has been granted a waiver from Eligibility for admission - general

This waiver is valid from 15 August 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 1.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Andrea Best will not be required to pass the Solicitors Qualifying Examination to be considered eligible to apply for admission to the roll of solicitors.

Reason

Ms Best has been granted a waiver from regulation 1.1(a) of the SRA Authorisation of Individuals Regulations. The waiver has been granted on the basis that Mrs Best has met the requirements of her Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 2009. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Deepa Viswanathan, has been granted a waiver from Eligibility for admission - general

This waiver is valid from 15 August 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 1.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Deepa Viswanathan will not be required to pass the Solicitors Qualifying Examination to be considered eligible to apply for admission to the roll of solicitors.

Reason

Deepa Viswanathan has been granted a waiver from regulation 1.1(a) of the SRA Authorisation of Individuals Regulations. The waiver has been granted on the basis that Ms Viswanathan has met the requirements of her Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 1990. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Laura Juan Gibb, has been granted a waiver from Training requirements

This waiver is valid from 02 August 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulations 5.1 and 12.1(b) of the SRA Training Regulations 2014 Qualification and Provider Regulations.

Decision details

This waiver was granted.

Outcome

Brooks Law Limited will not be required to provide, and Laura Gibb will not be required to gain, experience in three distinct areas of English and Welsh law in order to be considered to have met all the requirements of a period of recognised training under the 2014 regulations.

Reason

Brooks Law Limited has been granted a waiver of regulation 12.1(b) of the SRA Training Regulations 2014. Laura Gibb has been granted a waiver of regulation 5.1 of the SRA Training Regulations 2014, insofar as that requires Mrs Gibb's period of recognised training to include practical experience in three distinct areas of English and Welsh law and practice. This waiver has been granted on the basis that Brooks Law Limited and Mrs Gibb have met all other requirements of the SRA Training Regulations 2014. They were unable to meet the requirements waived due to the Covid-19 pandemic. Our decision also considered the fact that the requirement to obtain experience in three areas of law has been removed from the current regulations. We are satisfied that granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Nasir Mahmood Khan, has been granted a waiver from Eligibility for admission - general

This waiver is valid from 01 August 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 1.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Nasir Khan will not be required to pass the Solicitors Qualifying Examination to be considered eligible to apply for admission to the roll of solicitors.

Reason

Nasir Khan has been granted a waiver from regulation 1.1(a) of the SRA Authorisation of Individuals Regulations. The waiver has been granted on the basis that Mr Khan has met the requirements of his Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 2009. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Gurusinghe & Co of , has been granted a waiver from Professional indemnity insurance requirements

This waiver is valid from 08 June 2022 until 01 August 2022.

Details of rules applied for

Details of rules applied for Rules 2.3, 2.4 and 4.2 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

Granting a 30 day extension to the Cessation Period with the consent of the insurer

Reason

Gurusinghe & Co is regulated by the SRA. A waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. A waiver would not undermine our public interest purpose and is reasonable in circumstances where the insurer has agreed to extend the Cessation Period by 30 days (until 31 July 2022). Granting a waiver to extend the Cessation Period by one month protects the clients' interests as it gives the Applicant additional time to complete client matters, thereby avoiding the need for some clients to find alternative legal representation unnecessarily.

Conditions

1. The Applicant meets the terms specified by the insurers to obtain extension cover; 2. during its extended cessation period, the applicant must not take on any new instructions but can deal with existing matters; 3. that Professional Ethics is notified in writing within 14 days of any change in the circumstances of the application; 4. the waiver is expressly granted on the basis that it is without prejudice to any other application; 5. The waiver expires on the 1 August 2022 but is revocable by the SRA on the giving of reasonable notice.

Exemption details

W P Tweed & Co , a corporate owner manager of W P Tweed & Co, has been granted a waiver from Requirement to have PII

This waiver is valid from 27 May 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

Waiver from the requirement to have qualifying insurance as the insurance arranged through the Law Society of Northern Ireland Master Policy and alternative jurisdiction extension meets the requirement of our Minimum Terms and Conditions

Reason

Compatible with the regulatory objectives; granting a waiver of Rules 2.1 and 2.2 of SIIR would not pose any significant risk to clients and a waiver would be compatible with our regulatory objectives, as consumer protection is maintained, even though the Law Society of Northern Ireland Master Policy is not on our MTC or through a participating insurer. Risk to the regulatory objectives and mitigation; there is minimal risk and the conditions imposed should be suitable to protect consumers.

Conditions

i. A minimum limit of cover of £3m is maintained through the Law Society of Northern Ireland Master Policy whilst that remains a requirement under the MTC at which time the applicant must comply with any new requirement. ii. We are notified immediately of any changes to the terms and conditions of the Law Society of Northern Ireland Master Policy. iii. Clients are informed in writing at the outset of the retainer of the insurance position and how this affects the protections available. iv. The grant is unlimited as to time, but revocable upon reasonable notice v. The grant is without prejudice to any application.

Exemption details

Lane and Co Solicitors of St Georges House, 101 St Georges Place, Cheltenham GL50 3QZ, has been granted a waiver from Supervision requirements

This waiver is valid from 14 April 2022 until 31 December 2022.

Details of rules applied for

Details of rules applied for Rule 9.4 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

The outcome in granting this waiver will be that we recognise that Mrs Whitehead has the necessary knowledge and experience beyond her time practising as a licensed conveyancer that she still meets the purpose behind the three year requirement under rule 9.4(a).

Reason

Lane and Co Solicitors has been granted a waiver of rule 9.4(a) of the SRA Authorisation of Firms Rules. Mrs Whitehead is a licensed conveyancer and has been licensed by the Council for Licensed Conveyancers (CLC) since June 2019. She has a current, unconditional licence. Mrs Whitehead was a partner at Lane and Co between July 2019 and December 2021, when another partner in the firm, James Hueston, died. This caused the partnership to dissolve and authorisation to end. A new partnership has now been formed, Lane and Co Solicitors, to continue the business and it is seeking authorisation as a licensed body. All SRA-authorised firms are required to have somebody supervise the work of the practice who is a lawyer (as defined by our Glossary) and has practised as such for a minimum of three years. Mrs Whitehead's practising experience falls short of the three years needed by a few months. However, she has worked in legal services for a period exceeding 20 years and has had supervisory responsibilities for five years. While a partner at Lane and Co, she was responsible for the conveyancing department. She managed and supervised staff, alongside the office and the business generally. There have been no reported concerns to us relating to Mrs Whitehead's conduct throughout this time. The risk posed by Mrs Whitehead's shortfall of experience as a qualified lawyer is mitigated by her other experience and her position in the former and current firms. We are satisfied that granting this waiver is not contrary to our obligation to support the rule of law and the administration of justice, nor does it undermine our public interest purpose. Any risks to the regulatory objectives have been mitigated by the condition imposed that the waiver only applies as long as Mrs Whitehead is the person providing supervision under rule 9.4(b) of the SRA Authorisation of Firms Rules.

Conditions

This waiver is subject to the condition that it only applies as long as Jayne Whitehead (SRA number 660163) is the person who supervises work within the practice under rule 9.4(b) of the SRA Authorisation of Firms Rules. Should Mrs Whitehead cease to be the one undertaking that supervision, this waiver will no longer apply, and Lane and Co Solicitors will be required to comply with rule 9.4(a) of the SRA Authorisation of Firms Rules.

Exemption details

Crawford of 6th Floor, 125 Old Broad Street, London EC2N 1AR, has been granted a waiver from Final accountant's report

This waiver is valid from 24 March 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 33.5 of the SRA Accounts Rules 2011.

Decision details

This waiver was granted.

Outcome

The outcome Crawford will achieve is that it will not be required to obtain a final accountant's report having ceased to hold client money.

Reason

Crawford ceased to hold client money prior to introduction of the SRA Standards and Regulations and therefore a final report is required. Crawford has shown that its client account was used for one transaction only in the accounting period 1 April 2017 to 31 March 2018 which has been accounted for. The client account remained unused from May 2017 until the closure of the firm in December 2021. We are satisfied that adequate protection for consumers is maintained under this waiver, 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 guidance. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it serves our public interest purpose, and no circumstances exist that would prevent us granting this waiver.

Conditions

Exemption details

Aditi Srivastavai of Linklaters LLP, One Silk Street, London EC2Y 8HQ, has been granted a waiver from Eligibility for admission - general

This waiver is valid from 08 March 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 1.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Ms Srivastava will not be required to pass the Solicitors Qualifying Examination to be considered eligible to apply for admission to the roll of solicitors.

Reason

Aditi Srivastava has been granted a waiver from regulation 1.1(a) of the SRA Authorisation of Individuals Regulations. The waiver has been granted on the basis that Ms Srivastava has met the requirements of her Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 2009. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Bankside Law Limited of Landmark, 81 Chancery Lane, London WC2A 1DD who is a has been denied a waiver from our requirement about Annual accountant's report.

Details of rules applied for

Details of rules applied for Rule 12.1 of the SRA Accounts Rules.

Decision details

This waiver was denied.

Outcome

The outcome sought was that Bankside Law Limited would not need to obtain an accountant's report for the period from 1 April 2020 to 31 March 2021.

Reason

Bankside Law Limited has been refused a waiver from the requirement to obtain an accountant's report for the period between 1 April 2020 and 31 March 2021 under rule 12.1 of the SRA Accounts Rules. The waiver has been refused as it did not meet all requirements of our waiver guidance. In particular, there was no public interest reason to grant the waiver. Bankside Law Limited, through the ordinary course of its business, held client money that fell outside of the exemption contained in rule 12.2 of the SRA Accounts Rules. Granting the waiver is not compatible with, and poses a risk to, the regulatory objectives of: protecting and promoting the public interest, and protecting and promoting the interests of consumers.

Exemption details

Ibex Law Limited of 14 Manchester Square, London, W1U 3PP, has been granted a waiver from Requirement to have PII

This waiver is valid from 04 February 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

waiver of run-off cover

Reason

The Applicant was authorised on 6 April 2020 and we require all firms that are authorised and carry on a practice must have our compulsory professional indemnity insurance. This is provided from participating insurers, who under the Participating Insurer's Agreement, must offer insurance that meets our Minimum Terms and Conditions including the provision of 6 years run-off cover on closure of the firm. The Applicant did not trade and as such was not required to take out and maintain qualifying insurance during this period. A 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 Applicant has not carried on in practice. The interests of consumers are protected due to the very limited nature of the waiver.

Conditions

The waiver is granted subject to the condition that the grant to without prejudice to any other application.

Exemption details

Rotheras of 2 Kayes Walk, Stoney Street, The Lace Market, NOTTINGHAM, has been granted a waiver from COLP and COFA

This waiver is valid from 27 January 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

This waiver was granted

Reason

There has been a change in the name of the entity from Rothera Sharp to Rotheras. The corporate managers are existing recognised bodies and were previously granted waivers from the requirement for COLPs and COFAs. The corporate managers are not trading bodies and do not provide legal services in their own name and do not hold client money. They exist only to act as managers in Rotheras. COLPs and COFAs are required in a firm to ensure compliance with our regulations. If the firms are not practising or serving clients in any way there are few, if any, breaches which could occur. The waiver does not undermine our public interest purpose and it is compatible with the regulatory objectives in section 1 of The Legal Services Act 2007

Conditions

The waiver is granted subject to the following conditions: 1. The applicants continue to be recognised bodies; 2. The applicants continue to be corporate partners in Rotheras; 3. The applicants may only provide services through Rotheras; 4. The applicants do not operate a client account in the name of the corporate partners, nor otherwise hold any client money, other than in a client account in the name of Rotheras; 5. that the Professional Ethics Department of the Solicitors Regulation Authority be notified in writing within 14 days of any change in the circumstances of the application; 6. that the waiver is expressly granted on the basis that it is without prejudice to any other application; For the avoidance of doubt, where there is more than one corporate partner, the waiver is granted to enable each corporate partner to continue as a recognised body without appointing compliance officers. Should any one of the corporate partners fail to fulfil the conditions this will not affect the waiver granted to the remaining named corporate partners. The waiver is granted from the 27 January 2022 and is unlimited as to time unless revoked by the SRA giving reasonable notice.

Exemption details

A Donamart Solicitors of Unit 1 First Floor, 596 Kingsland Road, LONDON, E8 4AH, England , has been granted a waiver from Contributions to Compensation Fund

This waiver is valid from 10 January 2022 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 1.2 of the SRA Compensation Fund Rules.

Decision details

This waiver was granted.

Outcome

The waiver was granted

Reason

The circumstances are compatible with the SRA's regulatory objectives in section 1 of the Legal Services Act 2007. 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 held only one relatively small balance in its client account during the practising year.

Conditions

The waiver is granted subject to the following condition: (a) that the money be removed from the client account by payment to the owner or after grant from the SRA pursuant to an application made by A Donamart Solicitors under rule 5.1 (c) SRA Accounts Rules. The waiver is granted on condition that it is without prejudice to any other application.

Exemption details

CLP Lawyers of 8 Spicer Street, St Albans, AL3 4PQ who is a has been denied a waiver from our requirement about Requirement to have PII.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was denied.

Outcome

Reason

The waiver conflicts with our regulatory objective of protecting and promoting the interests of consumers as set out in the waiver criteria. The purpose of the SRA's compulsory professional indemnity insurance scheme is to protect clients in the event that a firm is negligent or dishonest which results in the claimant suffering a loss. The Applicant firm has not provided evidence that a policy of insurance provided by the Paris Bar Association, provides the same level of protection as the SRA's compulsory insurance scheme. There is a risk to the interests of consumers because a waiver would leave the firm's clients without the protection afforded to them by the SRA's Minimum Terms and Conditions of Professional indemnity Insurance.

Exemption details

Penelope Walker, has been granted a waiver from Eligibility for admission - general

This waiver is valid from 22 December 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 1.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Mrs Walker will not be required to pass the Solicitors Qualifying Examination in order to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Mrs Walker has met the requirements of her Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 1990. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Reem Khatib, has been granted a waiver from Training requirements

This waiver is valid from 22 December 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulations 5.1 and 12.1(b) of the SRA Training Regulations 2014 Qualification and Provider Regulations.

Decision details

This waiver was granted.

Outcome

Stuart Miller Solicitors Ltd will not be required to provide, and Mrs Khatib will not be required to gain, experience in three distinct areas of English and Welsh law in order to be considered to have met all the requirements of a period of recognised training under the 2014 regulations.

Reason

Stuart Miller Solicitors Ltd has been granted a waiver of Regulation 12.1(b) of the SRA Training Regulations 2014. Reem Khatib has been granted a waiver of Regulation 5.1 of the SRA Training Regulations 2014, insofar as that requires Mrs Khatib's period of recognised training to include practical experience in three distinct areas of English and Welsh law and practice. This waiver has been granted on the basis that Stuart Miller Solicitors Ltd and Mrs Khatib have met all other requirements of the SRA Training Regulations 2014. They were unable to meet the requirements waived due to the Covid-19 pandemic. Our decision also considered the fact that the requirement to obtain experience in three areas of law has been removed from the current regulations. We are satisfied that granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose. Save for this information, I consider that it is not in the public interest to publish any further information regarding this decision for reasons of confidentiality.

Conditions

Exemption details

MBM Commercial LLP of Lansdowne House, 57 Berkeley Square, LONDON, has been granted a waiver from COLP and COFA

This waiver is valid from 13 December 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

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

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, as Kenneth Mumford, a Scottish solicitor as a COLP has direct regulation as a Registered Foreign Lawyer (RFL) and a member of the Applicant. He is suitably senior and has appropriate compliance experience.

Conditions

The waiver is granted subject to the following conditions: 1. MBM Commercial LLP continues to be a recognised body; 2. Mr Kenneth Mumford continues to the COLP and a member of MBM Commercial LLP; 3. 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 from the 13 December 2021 for a period of 3 years, unless revoked by the SRA giving of reasonable notice.

Exemption details

Topstone Solicitors Limited of 792-794 London Road, Thornton Heath, CR7 6JB, has been granted a waiver from COLP requirement to be an authorised person

This waiver is valid from 03 December 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.2(d) SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

The waiver is granted to Topstone Solicitors Limited to enable them to appoint Elizabeth Madagu as their COLP

Reason

The Registered Foreign Lawyer (RFL) is a director of an authorised firm. She is the appointed as COFA and holds a position of seniority and authority within the firm. There are two solicitors within the firm but neither are in a position to hold the office of COLP. The business offers mainly legally aided services to the community which ensures access to justice for the public. The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. 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 appoint a Registered Foreign Lawyer (RFL), Elizabeth Madagu as their COLP who is a manager and suitably senior to ensure compliance with their regulatory requirements.

Conditions

The waiver is granted subject to the following conditions: 1. Elizabeth Madagu to attend updated courses on the SRA Standards and Regulations, including the SRA Accounts Rules, and the money laundering regulations to be completed within 3 months of the date of this waiver 2. that the Professional Ethics Department of the Solicitors Regulation Authority 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 from the 3 December 2021 and is unlimited as to time unless revoked by the SRA giving reasonable notice.

Exemption details

Brodies LLP of , has been granted a waiver from Requirement to have PII

This waiver is valid from 03 December 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

Reason

Brodies LLP were granted a similar waiver on 4 December 2018 for their office in Berwick upon Tweed. We have reissued this waiver to cover the whole firm. A waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. A waiver would not undermine our public interest purpose and is reasonable in these circumstances where there is reasonably equivalent cover afforded through a combination of the Scottish Master policy and a top-up policy, by which the clients' interests remain protected. A waiver resolves a regulatory conflict between our rules and those of another regulator and avoids unnecessary duplication of regulatory requirements.

Conditions

The waiver is granted subject to the following conditions: (i) a minimum limit of cover of �3m is maintained through a combination of the Scottish Master Policy and a top-up policy, whilst that remains a requirement under the Minimum Terms and Conditions at which time Brodies LLP must comply with any new requirement; (ii) we are notified immediately of any changes to such cover, including changes to the terms and conditions of the Scottish Master Policy and the top-up policy; and (iii) clients are informed in writing at the outset of the retainer of the insurance position and how this affects the protections available; (iv) The grant is without prejudice to any other application; The waiver is revocable upon reasonable notice.

Exemption details

Shacklocks Solicitors & Investment Advisors Limited of , has been granted a waiver from COLP and COFA

This waiver is valid from 30 November 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Waiver for corporate manager of Shacklocks LLP from requirement for a COLP and COFA

Reason

The applicant is an existing recognised body and was previously granted waivers from the requirement for COLPs and COFAs. It is not a trading body and does not provide legal services in its own name. COLPs and COFAs are required in a firm to ensure compliance with our regulations. If the firm is not practising or serving clients in any way there are few, if any, beaches which could occur. The waiver does not undermine our public interest purpose and it is compatible with the regulatory objectives in section 1 of The Legal Services Act 2007.

Conditions

The waiver is granted subject to the following conditions: a) the applicant continues to be a recognised body; b) the applicant continues to be a corporate entity in Shacklocks LLP; c) the applicant may only provide services through Shacklocks LLP; d) the applicant does not operate a client account in the name of Shacklocks LLP nor otherwise hold any client money, other than in a client account in the name of Shacklocks LLP; e) that Professional Ethics is notified in writing within 14 days of any change in the circumstances of the application; f) the waiver is expressly granted on the basis that it is without prejudice to any other application; For avoidance of doubt, where there is more than one applicant corporate entity, the waiver is granted to enable each corporate entity to continue as a recognised body without appointing compliance officers. Should any one of the corporate entities fail to fulfil the conditions this will not affect the waiver granted to the remaining named corporate entities. The waiver is unlimited as to time but is revocable by the SRA on the giving of reasonable notice.

Exemption details

Angels Solicitors of 17 Smithford Walk, Tarbock Green, Prescot L35 1SF who is a has been denied a waiver from our requirement about Annual accountant's report.

Details of rules applied for

Details of rules applied for Rule 12.1 of the SRA Accounts Rules.

Decision details

This waiver was denied.

Outcome

The outcome sought was that Angels Solicitors would not need to obtain an accountant's report for the period from 6 April 2020 and 5 April 2021.

Reason

Angels Solicitors has been refused a waiver from the requirement under rule 12.1 of the SRA Accounts Rules to obtain an accountant's report for the accounting period between 6 April 2020 and 5 April 2021. Client money has been held by Angels Solicitors which is outside of the exemption criteria already in place in respect of obtaining an accountant's report. Granting the waiver is not compatible with the regulatory objectives of protecting and promoting the public interest and the interests of consumers. There is no specific reason that Angels Solicitors is unable to obtain an accountant's report, and it is not unreasonable to expect it to do so on this occasion. The waiver has been refused as it did not meet all requirements of our waivers policy. In particular, we are not satisfied that it would serve our public interest purpose.

Exemption details

Addleshaw Goddard (Luxembourg) LLP of Milton Gate, 60 Chiswell Street, London EC1Y 4AG, has been granted a waiver from Practising address

This waiver is valid from 19 November 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 1.3(b) of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Addleshaw Goddard (Luxembourg) LLP is not required to have a practising address in the United Kingdom (UK).

Reason

Addleshaw Goddard (Luxembourg) LLP does not provide any legal services under English and Welsh law and therefore is not practising under our rules. That prevents it having an address in the UK that constitutes a practising address. It operates entirely from Luxembourg, providing services in that jurisdiction. The firm is permitted to be authorised notwithstanding the fact it does not provide any English or Welsh legal services as there is a public interest reason to grant authorisation. Specifically, it is a requirement in Luxembourg that any legal person governed by foreign law must be authorised to practise law in its state of origin. Without this waiver and authorisation as a recognised body, Addleshaw Goddard (Luxembourg) LLP could not trade as a law firm in Luxembourg. The practising address requirement exists to allow for effective regulation and monitoring of firms we regulate. It is much harder for us to regulate a firm, and take enforcement action where necessary, if there is no UK presence. However, as Addleshaw Goddard (Luxembourg) LLP will not be practising English and Welsh law, we will not be regulating its work and the risk the practising address requirement was intended to address is largely mitigated. We are satisfied that granting this waiver is not contrary to our obligation to support the rule of law and the administration of justice, nor does it undermine our public interest purpose. Any risks to the regulatory objectives have been mitigated by the condition imposed that we must be informed if Addleshaw Goddard (Luxembourg) LLP commences work under our regulation so we can consider whether the waiver remains appropriate.

Conditions

If Addleshaw Goddard (Luxembourg) LLP begins to provide services under English and Welsh law, it must notify the SRA promptly.

Exemption details

Adams Carnegie Limited of Golden Cross House, 8 Duncannon Street, LONDON, WC2N 4JF, England, has been granted a waiver from Requirement to have PII

This waiver is valid from 22 October 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

Waiver of run-off cover

Reason

The Applicant was authorised on 19 March 2019, and we require all firms that are authorised and carry on a practice must have our compulsory professional indemnity insurance. This is provided from participating insurers who, under the Participating Insurer's Agreement, must offer insurance that meets our Minimum Terms and Conditions, including the provision of six years run-off cover on closure of the firm. The Applicant did not trade and as such was not required to take out and maintain qualifying insurance during this period. A waiver will 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 Applicant has not carried on practice. The interests of consumers are protected due to the very limited nature of the waiver.

Conditions

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

Exemption details

Geraldine Omamuli, has been granted a waiver from Eligibility for admission - general

This waiver is valid from 14 October 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 1.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Ms Omamuli will not be required to pass the Solicitors Qualifying Examination in order to be considered eligible to apply for admission to the roll of solicitors.

Reason

Geraldine Omamuli has been granted a waiver from regulation 1.1(a) of the SRA Authorisation of Individuals Regulations. The waiver has been granted on the basis that Ms Omamuli has met the requirements of her Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 2009. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

ACA Law Ltd of 168-172 Kentish Town Road, London NW5 2AG who is a has been denied a waiver from our requirement about Annual accountant's report.

Details of rules applied for

Details of rules applied for Rule 12.1 of the SRA Accounts Rules.

Decision details

This waiver was denied.

Outcome

The outcome sought is that ACA Law Ltd does not need to obtain an accountant's report for the year ending 31 July 2020.

Reason

ACA Law Ltd has been refused a waiver from the requirement under rule 12.1 of the SRA Accounts Rules to obtain an accountant's report for the accounting period between 1 August 2019 and 31 July 2020. Client money has been held by ACA Law Ltd which is outside of the exemption criteria already in place in respect of obtaining an accountant's report. Granting the waiver is not compatible with the regulatory objectives of protecting and promoting the public interest and the interests of consumers, and promoting and maintaining adherence to the professional principles. There is no specific reason that ACA Law Ltd is unable to obtain an accountant's report, and it is not unreasonable to expect it to do so on this occasion. The waiver has been refused as it did not meet all requirements of our waivers policy, in particular, we were not satisfied that it would serve our public interest purpose.

Exemption details

Tully Rinckey LLP of Level 3, 207 Regent Street, LONDON, W1B 3HH, England, has been granted a waiver from Requirement to have PII

This waiver is valid from 07 October 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

waiver of run-off cover

Reason

The Applicant was authorised on 9 August 2019, and we require all firms that are authorised and carry on a practice must have our compulsory professional indemnity insurance. This is provided from participating insurers who, under the Participating Insurer's Agreement, must offer insurance that meets our Minimum Terms and Conditions, including the provision of six years run-off cover on closure of the firm. The Applicant did not trade and as such was not required to take out and maintain qualifying insurance during this period. A waiver will 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 Applicant has not carried on practice. The interests of consumers are protected due to the very limited nature of the waiver.

Conditions

The waiver is granted subject to the condition that the grant to without prejudice to any other application.

Exemption details

Riku Rinta-Jouppi, has been granted a waiver from Transitional arrangements for QLTS

This waiver is valid from 07 October 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 11.4 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Mr Rinta-Jouppi is able to book and sit an OSCE assessment after 31 August 2021. Subject to successful completion of the OCSE assessment, he has until 31 August 2022 to apply for admission under regulation 3F of the SRA Authorisation of Individuals Regulations.

Reason

The waiver has been granted on the basis that the impact of the coronavirus pandemic on Mr Rinta-Jouppi was that he was unable to meet the deadline imposed by regulation 11 to sit the OSCE assessment. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Jonathan Paul, has been granted a waiver from Eligibility for admission for qualified lawyers

This waiver is valid from 16 September 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 3.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Mr Paul will not be required to pass the Solicitors Qualifying Examination assessment in order to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Mr Paul has met the requirements of his Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 1990. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Jonathan Paul, has been granted a waiver from Eligibility for admission

This waiver is valid from 16 September 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 3.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Mr Paul will not be required to pass the Solicitors Qualifying Examination assessment in order to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Mr Paul has met the requirements of his Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 1990. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

A J Paterson Solicitor of 76 Lonsdale Road, London SW13 9JS who is a has been denied a waiver from our requirement about Annual accountant's report.

Details of rules applied for

Details of rules applied for Rule 12.1 of the SRA Accounts Rules.

Decision details

This waiver was denied.

Outcome

The outcome sought is that A J Paterson Solicitor does not need to obtain an accountant's report for the year ending 31 May 2020.

Reason

A J Paterson Solicitor has been refused a waiver from the requirement under rule 12.1 of the SRA Accounts Rules to obtain an accountant's report for the accounting period between 1 June 2019 and 31 May 2020. Client money has been held by A J Paterson Solicitor which is outside of the exemption criteria already in place in respect of obtaining an accountant's report. Granting the waiver is not compatible with the regulatory objectives of protecting and promoting the public interest and the interests of consumers, and promoting and maintaining adherence to the professional principles. There is no specific reason that A J Paterson Solicitor is unable to obtain an accountant's report, and it is not unreasonable to expect it to do so on this occasion. The waiver has been refused as it did not meet all requirements of our waivers policy, in particular, we were not satisfied that it would serve our public interest purpose.

Exemption details

Kenneth Tang, has been granted a waiver from Training requirements

This waiver is valid from 13 September 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulations 5.1 and 12.1(b) of the SRA Training Regulations 2014 Qualification and Provider Regulations.

Decision details

This waiver was granted.

Outcome

Mr Tang will not be required to gain experience in three distinct areas of English and Welsh law and practice to be considered to have met all the requirements of a period of recognised training under the SRA Training Regulations 2014. Stephenson Solicitors LLP will not be required to provide that experience to Mr Tang in order for it to meet its obligations as a training provider under those same regulations.

Reason

Stephensons Solicitors LLP has been granted a waiver of Regulation 12.1(b) of the Training Regulations 2014 (the obligation to provide, or make arrangements for, a trainee to gain experience in three distinct areas of English and Welsh law and practice). Mr Tang has been granted a waiver of Regulation 5.1 of the Training Regulations 2014, insofar as that requires his period of recognised training to include practical experience in three distinct areas of English and Welsh law and practice. This waiver has been granted on the basis that Mr Tang has met all other requirements of the SRA Training Regulations 2014. He was unable to meet the requirement waived due to the Covid-19 pandemic. Our decision also took into account the fact that the requirement to obtain experience in three areas of law has been removed from the current regulations. We are satisfied that granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Emily Hill, has been granted a waiver from Training requirements

This waiver is valid from 13 September 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulations 5.1 and 12.1(b) of the SRA Training Regulations 2014 Qualification and Provider Regulations.

Decision details

This waiver was granted.

Outcome

Miss Hill will not be required to gain experience in three distinct areas of English and Welsh law in order to be considered to have met all the requirements of a period of recognised training under the 2014 regulations. Stephensons Solicitors LLP will not be required to provide that experience to Miss Hill in order for it to meet its obligations as a training provider under those same regulations.

Reason

Stephensons Solicitors LLP has been granted a waiver of Regulation 12.1(b) of the Training Regulations 2014 (the obligation to provide, or make arrangements for, a trainee to gain experience in three distinct areas of English and Welsh law and practice). Miss Hill has been granted a waiver of Regulation 5.1 of the Training Regulations 2014, insofar as that requires her period of recognised training to include practical experience in three distinct areas of English and Welsh law and practice. This waiver has been granted on the basis that Miss Hill has met all other requirements of the SRA Training Regulations 2014. She was unable to meet the requirement waived due to the Covid-19 pandemic. Our decision also took into account the fact that the requirement to obtain experience in three areas of law has been removed from the current regulations. We are satisfied that granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Alisha Collins, has been granted a waiver from Eligibility for admission for qualified lawyers

This waiver is valid from 06 September 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 3.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Miss Collins will not be required to pass the Solicitors Qualifying Exam assessments in order to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Miss Collins has met the requirements of her Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 2009. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Kanchana Bimba Tavisha Nanayakkara, has been granted a waiver from Eligibility for admission

This waiver is valid from 06 September 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 3.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Ms Nanayakkara will not be required to pass the Solicitors Qualifying Exam assessments in order to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Ms Nanayakkara has met the requirements of her Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 1990. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Asma Alam, has been granted a waiver from Eligibility for admission

This waiver is valid from 06 September 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 3.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Miss Alam will not be required to pass the Solicitors Qualifying Exam assessments in order to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Miss Alam has met the requirements of her Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 2009. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Asma Alam, has been granted a waiver from Eligibility for admission for qualified lawyers

This waiver is valid from 06 September 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 3.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Miss Alam will not be required to pass the Solicitors Qualifying Exam assessments in order to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Miss Alam has met the requirements of her Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 2009. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Alisha Collins, has been granted a waiver from Eligibility for admission

This waiver is valid from 06 September 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 3.1 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Miss Collins will not be required to pass the Solicitors Qualifying Exam assessments in order to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Miss Collins has met the requirements of her Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 2009. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Psydens Solicitors of Tower 42, 25 Old Broad Street, London EC2N 1HN, has been granted a waiver from Annual accountant's report

This waiver is valid from 31 August 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 12.1 of the SRA Accounts Rules.

Decision details

This waiver was granted.

Outcome

Psydens Solicitors is not required to obtain an accountant's report for the accounting period from 1 April 2020 to 31 March 2021.

Reason

The Applicant holds funds under contractual undertakings and has no reasonable option to use a third party managed account. Furthermore, the Applicant is actively releasing funds upon successful completion of any undertaking as highlighted during the accounting period. 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 serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

Kemp Jones Solicitors LLP of 1 Furniture Depository, 31 New Street, Lymington SO41 9BP, has been granted a waiver from Indemnity rules

This waiver is valid from 24 August 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

To allow the firm to close with an identified 50 per cent of its practice going into run-off cover and the other 50 per cent being covered by the insurer of a successor practice.

Reason

All firms we authorise carrying on a practice must have our compulsory professional indemnity insurance. This is provided from participating insurers who, under the Participating Insurer's Agreement, must offer insurance that meets our Minimum Terms and Conditions, including the provision of six years run-off cover on closure of the firm.On closure a firm can elect to be insured under run-off cover when there is a successor practice. In these circumstances the applicant wanted to elect for half of the firm to be insured under run-off cover and half to be covered by the insurance of a successor practice. 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 Applicant has agreed with its insurer on cover when it ceased to practice that an identified 50 per cent of its practice will go into run-off cover and the other 50 per cent will be covered by the insurer under a policy the insurer has with a successor practice. The interests of consumers are protected due to the very limited nature of the waiver

Conditions

1. The clients who received legal services from Michelle Kemp at the Applicant, identified in the list dated 07/04/2020 and agreed between the Applicant and Travelers Insurance Company Limited continue to be covered under a policy of insurance taken out and maintained by Ms Kemp on behalf of her successor practice. 2. The grant is without prejudice to any other application

Exemption details

Thorntons Law LLP of Whitehall House 33 Yeaman Shore Dundee DD1 4BL, has been granted a waiver from Indemnity rules

This waiver is valid from 23 August 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

To allow the applicant to be authorised by us as a recognised body without the need to have a policy of qualifying insurance

Reason

Thorntons Law LLP is regulated by the Law Society of Scotland. It is applying to us to be authorised as a recognised body. A waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. A waiver would not undermine our public interest purpose and is reasonable in these circumstances where there is reasonably equivalent cover afforded through the Scottish Master policy and a top-up policy, by which the clients' interests remain protected. A waiver resolves a regulatory conflict between our rules and those of another regulator and avoids unnecessary duplication of regulatory requirements

Conditions

1. A minimum limit of cover of £3m is maintained through the Scottish Master Policy and top-up cover whilst that remains a requirement under the Minimum Terms and Conditions at which time the applicant must comply with any new requirement. 2 We are notified immediately of any changes to the terms and conditions of the Scottish Master Policy. 3 Clients are informed in writing at the outset of the retainer of the insurance position and how this affects the protections available. 4 The grant is unlimited as to time, but revocable upon reasonable notice. 5 The grant is without prejudice to any other application

Exemption details

Liam Francis, has been granted a waiver from Training requirements

This waiver is valid from 20 August 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulations 5.1 and 12.1(b) of the SRA Training Regulations 2014 Qualification and Provider Regulations.

Decision details

This waiver was granted.

Outcome

Mr Francis will not be required to gain experience in three distinct areas of English and Welsh law and practice to be considered to have met all the requirements of a period of recognised training under the SRA Training Regulations 2014. Devonald Griffiths John Ltd will not be required to provide that experience to Mr Francies in order for it to meet its obligations as a training provider under those same regulations.

Reason

Devonald Griffiths John Ltd has been granted a waiver of Regulation 12.1(b) of the Training Regulations 2014 (the obligation to provide, or make arrangements for, a trainee to gain experience in three distinct areas of English and Welsh law and practice). Liam Francis has been granted a waiver of Regulation 5.1 of the Training Regulations 2014, insofar as that requires his period of recognised training to include practical experience in three distinct areas of English and Welsh law and practice. This waiver has been granted on the basis that Mr Francis has met all other requirements of the Training Regulations 2014. He was unable to meet the requirement waived due to the Covid-19 pandemic. Our decision also took into account the fact that the requirement to obtain experience in three areas of law has been removed from the current regulations. We are satisfied that granting the waivers is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Lydia Williams, has been granted a waiver from Training requirements

This waiver is valid from 20 August 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulations 5.1 and 12.1(b) of the SRA Training Regulations 2014 Qualification and Provider Regulations.

Decision details

This waiver was granted.

Outcome

Ms Williams will not be required to gain experience in three distinct areas of English and Welsh law and practice to be considered to have met all the requirements of a period of recognised training under the SRA Training Regulations 2014. Devonald Griffiths John Ltd will not be required to provide that experience to Ms Williams in order for it to meet its obligations as a training provider under those same regulations.

Reason

Devonald Griffiths John Ltd has been granted a waiver of Regulation 12.1(b) of the Training Regulations 2014 (the obligation to provide, or make arrangements for, a trainee to gain experience in three distinct areas of English and Welsh law and practice). Lydia Williams has been granted a waiver of Regulation 5.1 of the Training Regulations 2014, insofar as that requires her period of recognised training to include practical experience in three distinct areas of English and Welsh law and practice. This waiver has been granted on the basis that Ms Williams has met all other requirements of the Training Regulations 2014. She was unable to meet the requirement waived due to the Covid-19 pandemic. Our decision also took into account the fact that the requirement to obtain experience in three areas of law has been removed from the current regulations. We are satisfied that granting the waivers is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Family Law In Cornwall of 19 Carlyon Road, St. Austell PL25 4LG who is a has been denied a waiver from our requirement about Annual accountant's report.

Details of rules applied for

Details of rules applied for Rule 12.1 of the SRA Accounts Rules.

Decision details

This waiver was denied.

Outcome

The outcome sought was a waiver of the requirement to obtain an accountant's report for the accounting period between 6 April 2019 and 5 April 2020.

Reason

Family Law In Cornwall has been refused a waiver of rule 12.1 of the SRA Accounts Rules. Client money has been held by Family Law In Cornwall which is outside of the exemption criteria already in place in respect of obtaining an accountant's report. Granting the waiver is not compatible with, and may pose a risk to, the regulatory objectives of protecting and promoting the public interest and the interests of consumers, and promoting and maintaining adherence to the professional principles. There is insufficient evidence of any mitigation in respect of the risks to the regulatory objectives. There is no specific reason that Family Law In Cornwall is unable to obtain an accountant's report, and it is not unreasonable to expect it to do so on this occasion.

Exemption details

Hunter & Lawson Ltd of 20-22 Wenlock Road, London N1 7GU, has been granted a waiver from Indemnity rules

This waiver is valid from 05 August 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

To enable the applicant to cease to be an authorised body without the need to hold run-off cover.

Reason

All firms we authorise carrying on a practice must have compulsory professional indemnity insurance. This is provided from participating insurers who, under the Participating Insurer's Agreement, must offer insurance that meets our Minimum Terms and Conditions, including the provision of six years run-off cover on closure of the firm. 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 Applicant has not carried on practice. The interests of consumers are protected due to the very limited nature of the waiver

Conditions

The grant is without prejudice to any future decision on this or any similar or related matter

Exemption details

New South Law Limited of Suite 3a, Anchor Springs, Duke Street, Littlehampton BN17 6BP, has been granted a waiver from Annual accountant's report

This waiver is valid from 26 July 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 12.1 of the SRA Accounts Rules.

Decision details

This waiver was granted.

Outcome

New South Law Limited is not required to obtain an accountant's report for the accounting period from 1 May 2020 to 30 April 2021.

Reason

During the accounting period, New South Law Limited exceeded the exemption threshold by a small amount, due to an unforeseen circumstance where a payment was declined by the bank after the Applicant had made a payment to a client. Save for this, the Applicant would have been exempt from obtaining a report. 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 serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

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

JLCA Campbell & Associates Ltd of Berkeley Square House, Berkeley Square, Mayfair, London w1J 6BD, has been granted a waiver from Indemnity rules

This waiver is valid from 16 July 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

To allow the Applicant to cease trading without the requirement to hold run-off cover.

Reason

All firms we authorise must have our compulsory professional indemnity insurance. This is provided from participating insurers who, under the Participating Insurer's Agreement, must offer insurance that meets our Minimum Terms and Conditions, including the provision of six years run-off cover on closure of the firm. Allowing a waiver does not pose a risk to our regulatory objective of protecting and promoting the interests of consumers as the Applicant did not provide any legal services to clients.

Conditions

The grant is without prejudice to any other application.

Exemption details

DRSP Law Limited of 6th Floor, Fountain House, 83 Fountain Street, Manchester M2 2EE, has been granted a waiver from Indemnity rules

This waiver is valid from 12 July 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

To allow the Applicant to close without the need to hold 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 Applicant has only acted for one client providing debt recovery activities and that client has confirmed to us that it does not intend to pursue the Applicant in respect of any claims arising out of the legal services it has received from the Applicant. The interests of consumers are protected due to the very limited nature of the waiver.

Conditions

1. The Applicant informs its client of the waiver in writing 2. The grant is without prejudice to any future decision on this or any similar or related matter

Exemption details

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

This waiver is valid from 18 June 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Waiver for corporate managers of firm which are recognised bodies from requirement to have their own COLP and COFA

Reason

The corporate managers are existing recognised bodies and were previously granted waivers from the requirement for COLPs and COFAs. The corporate managers are not trading bodies and do not provide legal services in their own name. They exist only to act as managers in Sills & Betteridge LLP. COLPs and COFAs are required in a firm to ensure compliance with our regulations. If the firms are not practising or serving clients in any way there are few, if any, beaches which could occur. The waiver does not undermine our public interest purpose and it is compatible with the regulatory objectives in section 1 of The Legal Services Act 2007.

Conditions

a) the applicants continue to be recognised bodies b) the applicants continue to be corporate entities in Sills & Betteridge LLP c) the applicants may only provide services through Sills & Betteridge LLP d) the applicants do not operate a client account in their own the name nor otherwise hold any client money, other than in a client account in the name of Sills & Betteridge LLP e) that Professional Ethics is notified in writing within 14 days of any change in the circumstances of the application f) the waiver is expressly granted on the basis that it is without prejudice to any other application

Exemption details

Michelle Bradfield, has been granted a waiver from QLTS requirements

This waiver is valid from 10 June 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 3F.1(c) and regulation 3F.2 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Miss Bradfield will not be required to pass the Qualified Lawyers Transfer Scheme assessments in order to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Miss Bradfield has met the requirements of her Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 2009. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Eversheds Sutherland (Luxembourg) LLP of 1 Wood Street, London EC2V 7WS, has been granted a waiver from Practising address

This waiver is valid from 08 July 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 1.3(b) of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Eversheds Sutherland (Luxembourg) LLP is not required to have a practising address in the United Kingdom (UK).

Reason

Eversheds Sutherland (Luxembourg) LLP does not provide any legal services under English and Welsh law and therefore is not practising under our rules. That prevents it having an address in the UK that constitutes a practising address. It operates entirely from Luxembourg, providing services in that jurisdiction. The firm is permitted to be authorised notwithstanding the fact it does not provide any English or Welsh legal services as there is a public interest reason to grant authorisation. Specifically, it is a requirement in Luxembourg that any legal person governed by foreign law must be authorised to practise law in its state of origin. Without this waiver and authorisation as a recognised body, Eversheds Sutherland (Luxembourg) LLP could not trade as a law firm in Luxembourg. The practising address requirement exists to allow for effective regulation and monitoring of firms we regulate. It is much harder for us to regulate a firm, and take enforcement action where necessary, if there is no UK presence. However, as Eversheds Sutherland (Luxembourg) LLP will not be practising English and Welsh law, we will not be regulating its work and the risk the practising address requirement was intended to address is largely mitigated. We are satisfied that granting this waiver is not contrary to our obligation to support the rule of law and the administration of justice, nor does it undermine our public interest purpose. Any risks to the regulatory objectives have been mitigated by the condition imposed that we must be informed if Eversheds Sutherland (Luxembourg) LLP commences work under our regulation so we can consider whether the waiver remains appropriate.

Conditions

If Eversheds Sutherland (Luxembourg) LLP begins to provide services under English and Welsh law, it must notify the SRA promptly.

Exemption details

Cornerstone Lawyers Limited of 15 Dora Way, London SW9 7EN, has been granted a waiver from Supervision requirements

This waiver is valid from 27 May 2021 until 27 May 2024.

Details of rules applied for

Details of rules applied for Rule 9.4 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Cornerstone Lawyers Limited is permitted to have Agnes Frank supervise the work undertaken by the practice even though she does not meet the requirements in full.

Reason

Mrs Frank is a solicitor who has held an unconditional practising certificate for in excess of four years, and practised as a solicitor for over two years and seven months. For at least 18 months between receiving her first practising certificate and practising as a solicitor through an SRA regulated firm, she provided immigration services from an OISC-regulated practice. Under OISC regulations, her services were provided in the capacity of an OISC-registered adviser rather than as a practising solicitor. All SRA-authorised firms are required to have someone supervise the work of the practice who is a lawyer (as defined by our Glossary) and has worked as such for a minimum of three years. Mrs Frank meets all but five months of this requirement. In addition, she has been entitled to practise for another 18 months during which time she conducted work which, if it had been done from an SRA-regulated practice, would have been done as a practising solicitor. Her practising arrangements and her work were done in full compliance with both SRA and OISC regulations. Mrs Frank's experience therefore meets the intention behind rule 9.4(a). We are satisfied that granting this waiver is not contrary to our obligation to support the rule of law and the administration of justice, nor does it undermine our public interest purpose. Any risks to the regulatory objectives have been mitigated by the condition imposed that the waiver only applies as long as Mrs Frank is the person providing supervision under rule 9.4(b) of the SRA Authorisation of Firms Rules.

Conditions

This waiver is subject to the condition that it only applies as long Agnes Frank (SRA number 492359) is the person who supervises work within the practice under rule 9.4(b) of the SRA Authorisation of Firms Rules. Should Mrs Frank cease to be the one undertaking that supervision, this waiver will no longer apply and Cornerstone Lawyers Ltd will be required to comply with rule 9.4(a) of the SRA Authorisation of Firms Rules.

Exemption details

Laura Browne, has been granted a waiver from QLTS requirements

This waiver is valid from 26 May 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 3F.1(c) and regulation 3F.2 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Miss Browne will not be required to pass the Qualified Lawyers Transfer Scheme assessments in order to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Miss Browne has met the requirements of his Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 2009. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Terence Macey of 91, Shooters Hill Road, Blackheath, London SE3 7HU, has been granted a waiver from Indemnity rules

This waiver is valid from 17 May 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

To allow the Applicant to apply for authorisation and parctise as a recognised sole practitioner without a policy of qualifying insurnace.

Reason

Firms authorised by us carrying on practice must take out and maintain qualifying insurance. We are satisfied that granting this waiver is not contrary to our obligation to support the rule of law and the administration of justice, nor does it undermine our public interest purpose. Any risks to the regulatory objectives have been mitigated by the condition imposed that the waiver only applies as long as the recognised sole practice of Mr Macey provides legal services only to Mr Macey and his wholly owned company, Derreb Limited.

Conditions

1. The waiver applies as long as the RSP Macey & Co, with Mr Macey as the sole practitioner, only provides legal services to Derreb Limited and to Terence James Macey. 2 Terence James Macey remains the sole owner of Derreb Limited 3 We are notified of any material change of circumstances within 14 days. 4 The grant is without prejudice to any other application. 5 The grant is unlimited as to time but revocable upon reasonable notice.

Exemption details

Henri Rex, has been granted a waiver from QLTS requirements

This waiver is valid from 17 May 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 3F.1(c) and regulation 3F.2 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Mr Rex will not be required to pass the Qualified Lawyers Transfer Scheme assessments in order to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Mr Rex has met the requirements of his Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 1990. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Gillespie Macandrew LLP of 5 Athol Crescent, Edinburgh, EH3 8EJ, Scotland, has been granted a waiver from Indemnity rules

This waiver is valid from 14 May 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

To allow the Applicant to be authorised by us and carry on practise without the requirement to take out and maintain a policy of qualifying insurance.

Reason

Gillespie Macandrew LLP is regulated by the Law Society of Scotland. It is applying to us to be authorised as a recognised body. A waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. A waiver would not undermine our public interest purpose and is reasonable in these circumstances where there is reasonably equivalent cover afforded through the Scottish Master policy and a top-up policy, by which the clients' interests remain protected. A waiver resolves a regulatory conflict between our rules and those of another regulator and avoids unnecessary duplication of regulatory requirements.

Conditions

1. A minimum limit of cover of £3m is maintained through the Scottish Master Policy and top-up cover whilst that remains a requirement under the Minimum Terms and Conditions at which time the applicant must comply with any new requirement. 2. We are notified immediately of any changes to the terms and conditions of the Scottish Master Policy. 3. Clients are informed in writing at the outset of the retainer of the insurance position and how this affects the protections available. 4. The grant is unlimited as to time, but revocable upon reasonable notice. 5. The grant is without prejudice to any other application

Exemption details

CFEL Limited of 2, Thorn Park, Spreyton, Crediton EX17 5AG, has been granted a waiver from Contributions to Compensation Fund

This waiver is valid from 14 May 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 1.2 of the SRA Compensation Fund Rules.

Decision details

This waiver was granted.

Outcome

The Applicant does not have to make a contribution to the Compensation Fund for the practising year 2019/2020 notwithstanding that it held client money.

Reason

Authorised bodies must make a contribution to the Compensation Fund in such amounts, at such times and in such circumstances, as may be prescribed from time to time by us. This waiver does not conflict with any of our regulatory objectives as set out in the section 1 Legal Services 2007 or the waiver criteria. There is minimal risk to the public interest protection objective in these circumstances where the Applicant has held only one small balance in its client account for a short period of time during the practising year.

Conditions

Exemption details

Ames Kent , a corporate owner manager of Katherine Oakes, has been granted a waiver from Supervision requirements

This waiver is valid from 27 April 2021 until 12 February 2022.

Details of rules applied for

Details of rules applied for Rule 9.4 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

To allow the work of the Applicant regulated by the SRA to be supervised by Mrs Oakes, notwithstanding that she has not practised as lawyer for a minimum of three years.

Reason

All SRA-authorised firms are required to have someone supervise the work of the practice who is a lawyer (as defined by our Glossary) and has worked as such for a minimum of three years. Mrs Oakes has practised as a lawyer in excess of two years, she has extensive experience in legal practice and in management and supervisory roles in the Applicant. We are satisfied that granting this waiver is not contrary to our obligation to support the rule of law and the administration of justice, nor does it undermine our public interest purpose. Any risks to the regulatory objectives have been mitigated by the condition imposed that the waiver only applies as long as Mrs Oakes is the person providing supervision under rule 9.4 of the SRA Authorisation of Firms Rules.

Conditions

The grant is without prejudice to any other application The grant is time limited until 12 February 2022 and can be revoked by the SRA giving reasonable notice The waiver applies only applies as long as Mrs Oakes is the person providing supervision under rule 9.4 of the SRA Authorisation of Firms Rules

Exemption details

Herbert Smith Freehills Paris LLP of 66 Avenue Marceau, Paris, France, has been granted a waiver from Practising address

This waiver is valid from 26 April 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 1.3(b) of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

To allow the Applicant to continue to be eligible for authorisation notwithstanding that it does not have a practsing address in the UK

Reason

The Applicant is an existing recognised body, authorised and regulated by us. Its practising address is in Paris. Herbert Smith Freehills LLP (SRA ID 419682) is a member of the Applicant, is regulated by us and is within our jurisdiction. The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. There are no competing objectives, and the waiver would not undermine our public interest purpose of protecting and promoting the public interest and promoting the interests of consumers. It is reasonable in these circumstances to allow the Applicant to practise law in Paris without a practising address in the UK because we will continue to have regulatory control over the Paris office through its member Herbert Smith Freehills LLP. The interests of consumers are protected due to the very limited nature of the waiver.

Conditions

Herbert Smith Freehills LLP (SRA ID 419682) remains as a member of, and the responsible authorised body for, the Applicant We are notified in writing of any material change in the circumstances of this application within 14 days The grant is unlimited as to time but is revocable on us giving reasonable notice The grant is without prejudice to any other application.

Exemption details

Shahria Hoque, has been granted a waiver from QLTS requirements

This waiver is valid from 22 April 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 3F.1(c) and regulation 3F.2 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Mrs Hoque will not be required to pass the Qualified Lawyers Transfer Scheme assessments in order to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Mrs Hoque has met the requirements of her Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 2009. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Jones Whyte LLP of , has been granted a waiver from Indemnity rules

This waiver is valid from 01 April 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

Firm can use their Scottish Master Policy rather than qualifying insurance

Reason

Jones Whyte LLP are taking over WW & J McClure Ltd (SRA ID 618692) which is dually regulated by us and The Law Society of Scotland. Jones Whyte LLP will provide conveyancing and other legal services in England and Wales after the take-over. It must therefore become authorised by us, in order to provide these services. We require that SRA firms take out and maintain qualifying insurance which provides indemnity cover in accordance with our minimum terms and conditions. We have granted a waiver to the applicant from this requirement to allow them to rely on their cover under the Scottish Master Policy, provided that they top-up this cover to £3 million per claim, to align with our requirement for SRA firms that are LLPs. We granted an identical waiver to WW & J McClure Ltd on 5 March 2021. A waiver does not conflict with any of our regulatory objectives as set out in our waiver criteria. A waiver would not undermine our public interest purpose as there is reasonably equivalent cover afforded by the Scottish Master policy with top-up cover, by which the clients' interests remain protected.

Conditions

1. A minimum limit of cover of £3m is maintained through the Scottish Master Policy and top-up cover whilst that remains a requirement under the Minimum Terms and Conditions at which time the applicant must comply with any new requirement. Such policy to be in place within 28 days of the date of this waiver. 2. We are notified immediately of any changes to the terms and conditions of the Scottish Master Policy 3. Clients are informed in writing at the outset of the retainer of the insurance position and how this affects the protections available. 4. The grant is without prejudice to any other application. The waiver can be revoked by the SRA giving reasonable notice.

Exemption details

Konstantinos Alexopoulos, has been granted a waiver from QLTS requirements

This waiver is valid from 31 March 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 3F.1(c) and regulation 3F.2 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Mr Alexopoulos will not be required to pass the Qualified Lawyers Transfer Scheme assessments in order to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Mr Alexopoulos has met the requirements of his Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 2009. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Clifford Solicitors of Generator Business Centre, 95 Miles Road, Mitcham CR4 3FH, has been granted a waiver from Supervision requirements

This waiver is valid from 26 March 2021 until 29 January 2022.

Details of rules applied for

Details of rules applied for Rule 9.4 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Clifford Solicitors is permitted to have Kristel Ntoungewo Tchamba, its acting sole practitioner, as the person designated to supervise work undertaken by the practice even though he does not meet the requirements in full.

Reason

Clifford Solicitors is a recognised sole practice. Kristel Ntoungewo Tchamba is seeking temporary emergency authorisation to enable him to be the acting sole practitioner of Clifford Solicitors following the death of its former sole principal. This will allow him to ensure an orderly closure of the practice. However, he does not meet the criteria under rule 9.4(a) of the SRA Authorisation of Firms Rules to be the person who supervises work in the practice as he has been qualified as a solicitor for less than three years. As the practice is being wound down, it is unable to secure the services of another person to fulfil the supervision function for the practice as a whole. The purpose of the supervision requirement is to ensure all regulated work is overseen by someone with sufficient experience of such work. Mr Ntoungewo Tchamba has advised the practice has only two remaining matters which need to be concluded. Both of those matters are being monitored and supervised by two barristers in one case, and one barrister on the other. All three barristers have practised for in excess of three years. As none of the barristers has been procured to supervise work in the practice as a whole, none of them can be the required person under rule 9.4. However, as appropriate supervision is in place for each matter being conducted by the practice, we are satisfied that the intention behind the rule is still achieved. We are further satisfied that granting this waiver is not contrary to our obligation to support the rule of law and the administration of justice, nor does it undermine our public interest purpose. It also best serves the interests of the remaining clients of the practice and allows for an orderly wind-down of the practice. Any risks to the regulatory objectives have been mitigated by the conditions imposed that the waiver only applies as long as the firm's remaining matters are supervised by the barristers concerned, or other suitably experienced individuals, and no other matters are taken on by the practice.

Conditions

This waiver is subject to the conditions that: (i) the remaining client matters being dealt with by the firm are each supervised by individuals who have practised as lawyers for at least three years, and (ii) no new matters are taken on by the practice. The waiver is only valid in connection with temporary emergency authorisation (TEA) as a recognised sole practice granted in respect of Clifford Solicitors. That TEA is granted following the death of the RSP's former sole principal. In accordance with that TEA, this waiver will expire on 29 January 2022, or the winding up of the deceased's estate, whichever is sooner.

Exemption details

Marldon Legal Services Limited of 30 North John Street. Liverpool, L2 9QN, has been granted a waiver from COLP and COFA

This waiver is valid from 26 March 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

To permit the pre-existing, non-trading recognised body to not have a COLP and COFA

Reason

Marldon Legal Services Limited is not a trading body and exists purely to be an owner of the connected firm of Bartlett Solicitors Limited. It was authorised by us before the Standards and Regulations came into force in November 2019. A COLP and COFA is required in a firm to ensure compliance with our regulations. If the firm is not itself practising there are very few, if any, breaches that could occur. Waiving the requirement for Marldon Legal Services 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 Marldon Legal services 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) the applicant continues to be a recognised body b) the applicant continues to be a corporate owner of Bartlett Solicitors Limited c) the applicant may only provide services through Bartlett Solicitors Limited d) the applicant does not operate a client account in its name nor otherwise hold any client money, other than in a client account in the name of Bartlett Solicitors Limited e) that Professional Ethics is notified in writing within 14 days of any change in the circumstances of the application f) the waiver is expressly granted on the basis that it is without prejudice to any other application

Exemption details

Lucy McGowan, has been granted a waiver from Training requirements

This waiver is valid from 24 March 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulations 5.1 and 12.1(b) of the SRA Training Regulations 2014 Qualification and Provider Regulations.

Decision details

This waiver was granted.

Outcome

Lucy McGowan will not be required to gain experience in three distinct areas of English and Welsh law and practice to be considered to have met all the requirements of a period of recognised training under the SRA Training Regulations 2014. Haygarth Jones Solicitors will not be required to provide that experience to Ms McGowan in order for it to meet its obligations as a training provider under those same regulations.

Reason

Haygarth Jones Solicitors has been granted a waiver of Regulation 12.1(b) of the Training Regulations 2014 (the obligation to provide, or make arrangements for, a trainee to gain experience in three distinct areas of English and Welsh law and practice). Lucy McGowan has been granted a waiver of Regulation 5.1 of the Training Regulations 2014, insofar as that requires her period of recognised training to include practical experience in three distinct areas of English and Welsh law and practice. This waiver has been granted on the basis that Ms McGowan has met all other requirements of the Training Regulations 2014. She was unable to meet the requirement waived due to the Covid-19 pandemic. Our decision also took into account the fact that the requirement to obtain experience in three areas of law has been removed from the current regulations. We are satisfied that granting the waivers is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Clyde & Co LLP of , has been granted a waiver from Dealings with client money

This waiver is valid from 17 March 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 3.1(d) of the SRA Overseas Rules.

Decision details

This waiver was granted.

Outcome

Firm can pay residual balances of �500 or less to charity from their overseas client accounts to charity under our prescribed circumstances

Reason

The Overseas and Cross-border Practice Rules do not allow for a situation where a firm is unable to locate or identify a client, to pay those monies to charity. Firms in E&W can do so under the SRA Accounts Rules and this waiver affords the same relief to this overseas practice. The waiver allows the overseas practices of the applicant firm to remove monies from the client account to pay residual client balances of �500 or below (or foreign currency equivalent) to charity without prior authorisation from us, provided that they comply with the same prescribed circumstances that we apply to payments from client accounts in England and Wales. The risk to client money (overseas) is addressed by the conditions in our waiver. The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. The interests of consumers are protected due to the limited nature of the waiver, and the requirement to comply with our prescribed circumstances under rule 5.1(c) SRA Accounts Rules.

Conditions

This waiver is subject to compliance with our prescribed circumstances under rule 5.1(c) SRA Accounts Rules, and the following further conditions; 1. that the Professional Ethics Department of the Solicitors Regulation Authority be notified in writing within 14 days of any change in the circumstances of the application; 2. that the waiver is expressly granted on the basis that it is without prejudice to any other application; This waiver is unlimited as to time unless revoked by the SRA giving reasonable notice.

Exemption details

Advokatfirmaet Kromann Reumert International A/S of , has been granted a waiver from Indemnity rules

This waiver is valid from 12 March 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

Waiver of requirement for run-off cover

Reason

The rules requiring a firm to have run-off cover in place when it ceases to be an SRA firm are designed to protect the interest of consumers who may have future claims against the firm. Here, the firm was a representative office in London for a Danish firm. It has only ever acted for Danish clients on Danish law matters under retainers with their Danish head office. On becoming a non-sra firm, it will be indemnified by the insurers for the Danish firm, which will cover claims against their London office whilst it was authorised by us. The firm's insurers have released it from its contractual obligation to pay the run-off premium. There is little risk to consumer protection as the firm is covered by the insurance for its Danish head office. Allowing a waiver does not undermine our public interest purpose and is compatible with our regulatory objectives in section 1 of the Legal Services Act 2007.

Conditions

1. that the Professional Ethics Department of the Solicitors Regulation Authority is notified in writing within 14 days of any change in the circumstances of the application; 2. that the waiver is expressly granted on the basis that it is without prejudice to any other application;

Exemption details

42Law , a corporate owner manager of Dr Christof Strasser, has been granted a waiver from Indemnity rules

This waiver is valid from 11 March 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

To allow the firm to cease trading as an SRA authorised firm without the need to hold run-off cover

Reason

The Firm was authorised by us a recognised sole practice in 2016. Before, and after authorisation the sole practitioner also practised as a Rechsanwalt in Austria under his own name. The applicant has only given advice on English and Welsh law on four or five occasions and only as part of Austrian projects. The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. A waiver would not undermine our public interest protection purpose as there is minimal risk that the firm had any clients and the firm has broadly equivalent run-off cover from an Austrian insurance company.

Conditions

The grant is without prejudice to any other application

Exemption details

Pulse Global Services Ltd of , has been granted a waiver from Indemnity rules

This waiver is valid from 10 March 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

Waiver allows firm to have an aggregate indemnity limit of �3 million and its excess to include defence costs for its clients resident in the US and Canada

Reason

This waiver allows the applicant to reduce its indemnity cover for its clients who are resident in the US and Canada, in respect of its legal services to those clients in those jurisdictions. These services are low risk and there is less expectation of indemnity insurance in the US and Canada for these services. A waiver would improve access to justice and promote competition in the provision of legal services. This waiver would not undermine our public interest purpose, and the interests of consumers in the US and Canada are adequately protected. It is reasonable in these circumstances to allow this waiver as consumers are protected due to the limited nature of the waiver and the conditions attached to it.

Conditions

1. That the applicant maintains indemnity insurance for its clients who are resident in the US and Canada that is compliant in all other respects with the SRA Minimum Terms and Conditions. 2. The applicant either does not provide English and Welsh legal services to its clients who are resident in the US and Canada, or if it provides such services, then those services are covered by indemnity insurance that meets SRA Minimum Terms and Conditions in full. 3. We are notified of any material change of circumstances within 14 days. 4. The grant is without prejudice to any other application and is revocable upon reasonable notice.

Exemption details

WW & J McClure Limited of 5th Floor, 70 Wellington Street, Glasgow G2 6UA, has been granted a waiver from Indemnity rules

This waiver is valid from 05 March 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

The firm does not need to take out and hold a policy of qualifying indemnity insurance

Reason

The applicant firm is authorised by us as a recognised body and is also regulated by the Law Society of Scotland. Our rules require an authorised body to hold qualifying indemnity insurance on our Minimum Terms and Conditions. The firm has insurance with the Scottish Master Policy and top-up insurance. A waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. A waiver would not undermine our public interest purpose and is reasonable in these circumstances where there is reasonably equivalent cover afforded through the Scottish Master policy and a top-up policy, by which the clients' interests remain protected. A waiver resolves a regulatory conflict between our rules and those of another regulator and avoids unnecessary duplication of regulatory requirements.

Conditions

1. A minimum limit of cover of £3m is maintained through the Scottish Master Policy and top-up cover whilst that remains a requirement under the Minimum Terms and Conditions at which time the applicant must comply with any new requirement 2. We are notified immediately of any changes to the terms and conditions of the Scottish Master Policy 3. Clients are informed in writing at the outset of the retainer of the insurance position and how this affects the protections available 4. The grant is without prejudice to any other application.

Exemption details

David Maylia, has been granted a waiver from Authorisation of Individuals

This waiver is valid from 01 March 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 10.2(b)(i) of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

To allow the applicant to practise as a freelance solicitor, notwitstanding that he has not been practising as a solicitor for a minimum of three years since admission.

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 of improving access to justice. A waiver would not undermine our public interest purpose of protecting consumers, because the Applicant has extensive experience practising as a lawyer authorised by another approved regulator under the Legal Services Act 2007.

Conditions

1. The grant is unlimited in time but is revocable upon the SRA giving reasonable notice. 2. The waiver is without prejudice to any other application

Exemption details

Terri Brookes who is a Solicitor has been denied a waiver from our requirement about Business requirements.

Details of rules applied for

Details of rules applied for Rule 5.6 of the SRA Code of Conduct for Solicitors, RELs and RFLs.

Decision details

This waiver was denied.

Outcome

Refusal of waiver to allow the applicant to provide reserved legal activities through her CIC E4A Legal Services without insurance

Reason

The applicant applied for a waiver of our requirement for indemnity insurance for her Community Interest Company E4A Legal Services, which intends to provide reserved legal activities to members of the public. We have refused this waiver as it would undermine our regulatory objective of protecting the interests of consumers. We have considered the benefits of a waiver; it would improve access to justice and may promote the interests of consumers. As there are competing objectives, we must 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 undermine our public interest purpose, as it would leave consumers unprotected by indemnity insurance. There are also reasonable alternatives to the applicant to achieve her objective.

Exemption details

Simon Wood, has been granted a waiver from QLTS requirements

This waiver is valid from 24 February 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 3F.1(c) and regulation 3F.2 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Mr Wood will not be required to pass the Qualified Lawyers Transfer Scheme assessments in order to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Mr Wood has met the requirements of his Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 1990. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Hiberniam Private Client Limited , a corporate owner manager of Ekaterina Mazepa, has been granted a waiver from Supervision requirements

This waiver is valid from 19 February 2021 until 15 January 2022.

Details of rules applied for

Details of rules applied for Rule 9.4 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Ekaterina Mazepa may supervise the work undertaken by Hibernian Private Client Limited notwithstanding that she has not practised as a lawyer for a minimum of three years.

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 of improving access to justice. A waiver would not undermine our public interest purpose of protecting consumers because the Applicant does have significant experience of running a law firm.

Conditions

1. that the waiver is expressly granted on the basis that it is without prejudice to any other application; 2. that the waiver is granted until 15 January 2022 and can be revoked by the SRA giving reasonable notice.

Exemption details

Jennings Law LLP of who is a has been denied a waiver from our requirement about Indemnity rules.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was denied.

Outcome

Refused

Reason

The rules requiring a firm to have run-off cover in place are designed to protect the interest of consumers who may have future claims against the firm. This firm has provided legal services from March 2009 to April 2018 to a number of clients who may have future claims. A waiver would therefore risk consumer protection and it would undermine our public interest purpose, as well as the regulatory objectives in section 1 of the Legal Services Act 2007.

Exemption details

UMBRELLA - Solicitors, has been granted a waiver from Supervision requirements

This waiver is valid from 04 February 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 9.8 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Solicitors can provide regulated claims management activities through an unregulated organisation

Reason

The applicant is a consumer advice service wholly owned by a charity. It offers legal advice to the public by way of a helpline and email service. As a consequence of a change to SRA regulation this advice line could not continue its work without further regulation by the Financial Conduct Authority. In making this decision we have taken into consideration the consumer reach of Which? Ltd, including its work on ongoing employment dismissal claims involving vulnerable consumers. We have also taken account the existing arrangements in place within the body that will ensure that the solicitors working there comply with our Individual Code. This includes the level of supervision of and by solicitors and training of staff, a complaints policy which is compliant with our Code. We have also noted the relevant regulatory information in the applicants' terms of business. Given the limited nature of the services that will provided under the waiver we are also satisfied that there are appropriate consumer protection safeguards in place for clients of Which? Ltd.

Conditions

a. that the applicants do not carry out any reserved legal activities or immigration work; b. that the work is covered by professional indemnity insurance reasonably equivalent to that contained in the SRA Indemnity Insurance Rules; c. there is compliance with all relevant provisions in the SRA Standards and Regulations, including having systems and controls in place to identify potential conflicts of interest; d. that all staff receive training on client confidentiality; e. that users of Which? Ltd are made aware of how the services the solicitors provide are regulated and the protections available to them; f. 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; g. 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 h. this waiver is revocable upon reasonable notice.

Exemption details

LeMian and T Solicitors Limited of 22 Peterborough Road, Harrow HA1 2BQ, has been granted a waiver from Supervision requirements

This waiver is valid from 03 February 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 9.4 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

LeMian and T Solicitors Limited is permitted to have Olga Leimoni supervise the work undertaken by the practice even though she does not meet the requirements in full.

Reason

Miss Leimoni is a solicitor who has held an unconditional practising certificate for in excess of two years and been qualified as a New York Attorney for over three years. During that time, she has provided immigration services from an OISC-regulated practice. Under OISC regulations, her services have been provided in the capacity of an OISC-registered adviser rather than as a practising lawyer. All SRA-authorised firms are required to have someone supervise the work of the practice who is a lawyer (as defined by our Glossary) and has worked as such for a minimum of three years. Miss Leimoni has been entitled to practise for the required time and conducted work which, if it had been done from an SRA-regulated practice, would have been done as a practising lawyer. Her practising arrangements and her work were done in full compliance with both SRA and OISC regulations. Miss Leimoni's experience therefore meets the intention behind rule 9.4(a). We are satisfied that granting this waiver is not contrary to our obligation to support the rule of law and the administration of justice, nor does it undermine our public interest purpose. Any risks to the regulatory objectives have been mitigated by the condition imposed that the waiver only applies as long as Miss Leimoni is the person providing supervision under rule 9.4(b) of the SRA Authorisation of Firms Rules.

Conditions

This waiver only applies as long Olga Leimoni (SRA number 491960) is the person who supervises work within the practice under rule 9.4(b) of the SRA Authorisation of Firms Rules. Should Miss Leimoni cease to be the one undertaking that supervision, this waiver will no longer apply and LeMian and T Solicitors Limited will be required to comply with rule 9.4(a) of the SRA Authorisation of Firms Rules.

Exemption details

Munro & Noble of , has been granted a waiver from Requirement to have PII

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

Granted

Reason

A waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. A waiver would not undermine our public interest purpose and is reasonable in these circumstances as there is reasonably equivalent cover afforded by the Scottish Master Policy and a top up policy, by which the clients' interests remain protected. A waiver resolves a regulatory conflict between our rules and those of another regulator and avoids unnecessary duplication of regulatory requirements.

Conditions

Exemption details

Campbell-Taylor Solicitors of Office W7, 1st Floor, 8 Woodberry Down, London N4 2TG who is a has been denied a waiver from our requirement about Annual accountant's report.

Details of rules applied for

Details of rules applied for Rule 32A.1 of the SRA Accounts Rules 2011.

Decision details

This waiver was denied.

Outcome

Campbell-Taylor Solicitors has been refused a waiver from the requirement to obtain an accountant's report for the period 20 April 2018 to 19 April 2019.

Reason

Client money has been held by Campbell-Taylor Solicitors which is outside of the exemption criteria already in place in respect of obtaining an accountant's report. Granting the waiver is not compatible with, and may pose a risk to, the regulatory objectives of protecting and promoting the public interest and the interests of consumers, and promoting and maintaining adherence to the professional principles. There is insufficient evidence of any mitigation in respect of the risks to the regulatory objectives. There is no specific reason that Campbell-Taylor Solicitors is unable to obtain an accountant's report, and it is not unreasonable to expect it to do so on this occasion.

Exemption details

Donamart Solicitors of , has been granted a waiver from Contributions to Compensation Fund

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

Granted

Reason

During the practising year 01 November 2019 to 31 October 2020 the applicant firm has held a total of £692.36 in respect of one client matter, holding this money was unavoidable as it was held subject to the outcome of court proceedings. There were no other payments in or out of client account during the practising year. The contribution to the Compensation Fund is disproportionate compared to the sum held in client account.

Conditions

Exemption details

Dilpreet Khatkar, has been granted a waiver from Training requirements

This waiver is valid from 04 January 2021 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulations 5.1 and 12.1(b) of the SRA Training Regulations 2014 Qualification and Provider Regulations.

Decision details

This waiver was granted.

Outcome

Dilpreet Khatkar will not be required to gain experience in three distinct areas of English and Welsh law and practice to be considered to have met all the requirements of a period of recognised training under the SRA Training Regulations 2014. Strata Solicitors Limited will not be required to provide that experience to Miss Khatkar in order for it to meet its obligations as a training provider under those same regulations.

Reason

Strata Solicitors Limited has been granted a waiver of Regulation 12.1(b) of the Training Regulations 2014 (the obligation to provide, or make arrangements for, a trainee to gain experience in three distinct areas of English and Welsh law and practice). Miss Khatkar has been granted a waiver of Regulation 5.1 of the Training Regulations 2014, insofar as that requires her period of recognised training to include practical experience in three distinct areas of English and Welsh law and practice. This waiver has been granted on the basis that Miss Khatkar has met all other requirements of the Training Regulations 2014. She was unable to meet the requirement waived due to the Covid-19 pandemic. Our decision also took into account the fact that the requirement to obtain experience in three areas of law has been removed from the current regulations. We are satisfied that granting the waivers is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Gordon Shine & Co of , has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 21 December 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Waiver of requirement for corporate managers to have compliance officers

Reason

The corporate managers are existing recognised bodies and were previously granted waivers from the requirement for COLPs and COFAs. The corporate managers are not trading bodies and do not provide legal services in their own name. They exist only to act as managers in Gordon Shine & Co. COLPs and COFAs are required in a firm to ensure compliance with our regulations. If the firms are not practising or serving clients in any way there are few, if any, beaches which could occur. The waiver does not undermine our public interest purpose and it is compatible with the regulatory objectives in section 1 of The Legal Services Act 2007.

Conditions

The waiver is granted subject to the following conditions: a) the applicants continue to be recognised bodies; b) the applicants continue to be corporate entities in Gordon Shine & Co; c) the applicants may only provide services through Gordon Shine & Co; d) the applicants do not operate a client account in their name nor otherwise hold any client money, other than in a client account in the name of Gordon Shine & Co; e) that Professional Ethics is notified in writing within 14 days of any change in the circumstances of the application; f) the waiver is expressly granted on the basis that it is without prejudice to any other application; For avoidance of doubt, where there is more than one corporate entity, the waiver is granted to enable each corporate entity to continue as a recognised body without appointing compliance officers. Should any one of the corporate entities fail to fulfil the conditions this will not affect the waiver granted to the remaining named corporate entities. The waiver is revocable by the SRA on the giving of reasonable notice.

Exemption details

Thompson Smith and Puxon , a corporate owner manager of Fiona Ashworth, has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 10 December 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Renewal of waiver for corporate managers from requirement for compliance officers

Reason

The corporate managers are existing recognised bodies and were previously granted waivers from the requirement for COLPs and COFAs. The corporate managers are not trading bodies and do not provide legal services in their own name. They exist only to act as managers in Thompson Smith and Puxon. COLPs and COFAs are required in a firm to ensure compliance with our regulations. If the firms are not practising or serving clients in any way there are few, if any, beaches which could occur. The waiver does not undermine our public interest purpose and it is compatible with the regulatory objectives in section 1 of The Legal Services Act 2007.

Conditions

The waiver is granted subject to the following conditions: a) the applicants continue to be recognised bodies; b) the applicants continue to be corporate entities in Thompson Smith and Puxon; c) the applicants may only provide services through Thompson Smith and Puxon; d) the applicants do not operate a client account in their name nor otherwise hold any client money, other than in a client account in the name of Thompson Smith and Puxon; e) that Professional Ethics is notified in writing within 14 days of any change in the circumstances of the application; f) the waiver is expressly granted on the basis that it is without prejudice to any other application; For avoidance of doubt, where there is more than one corporate entity, the waiver is granted to enable each corporate entity to continue as a recognised body without appointing compliance officers. Should any one of the corporate entities fail to fulfil the conditions this will not affect the waiver granted to the remaining named corporate entities. The waiver is revocable by the SRA on the giving of reasonable notice.

Exemption details

Shaw Solicitors Limited of , has been granted a waiver from Contributions to Compensation Fund

This waiver is valid from 09 November 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 1.2 of the SRA Compensation Fund Rules.

Decision details

This waiver was granted.

Outcome

Granted

Reason

6.1� During the practising period 01 November 2019 to 31 October 2020 the applicant firm held a total of �715 in client account which were court application fees. No other monies were held and these balances were held for a short time. The firm is newly established and has suffered financial hardship as a result of Covid-19. The contribution to the Compensation Fund is disproportionate compared to the sums held in the client account.

Conditions

No

Exemption details

Thomas Lavin, has been granted a waiver from Training requirements

This waiver is valid from 08 December 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulations 5.1 and 12.1(b) of the SRA Training Regulations 2014 Qualification and Provider Regulations.

Decision details

This waiver was granted.

Outcome

The outcome achieved is that Mr Lavin will not be required to gain experience in three distinct areas of English and Welsh law in order to be considered to have met all the requirements of a period of recognised training under the 2014 regulations.

Reason

Merseyside Law Centre has been granted a waiver of Regulation 12.1(b) of the SRA Training Regulations 2014. Thomas Lavin has been granted a waiver of Regulation 5.1 of the Training Regulations 2014, insofar as that requires Mr Lavin's period of recognised training to include practical experience in three distinct areas of English and Welsh law and practice. This waiver has been granted on the basis that Mr Lavin has met all other requirements of the SRA Training Regulations 2014. He was unable to meet the requirement waived due to the Covid-19 pandemic. Our decision also took into account the fact that the requirement to obtain experience in three areas of law has been removed from the current regulations. We are satisfied that granting the waivers is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Krupa Vekaria, has been granted a waiver from Training requirements

This waiver is valid from 08 December 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulations 5.1 and 12.1(b) of the SRA Training Regulations 2014 Qualification and Provider Regulations.

Decision details

This waiver was granted.

Outcome

The outcome is that Miss Vekaria will not be required to gain experience in three distinct areas of English and Welsh law in order to be considered to have met all the requirements of a period of recognised training under the 2014 regulations.

Reason

Enyo Law LLP has been granted a waiver of Regulation 12.1(b) of the SRA Training Regulations 2014. Krupa Vekaria has been granted a waiver of Regulation 5.1 of the SRA Training Regulations 2014, insofar as that requires Miss Vekaria's period of recognised training to include practical experience in three distinct areas of English and Welsh law and practice. This waiver has been granted on the basis that Miss Vekaria has met all other requirements of the SRA Training Regulations 2014. She was unable to meet the requirement waived due to the Covid-19 pandemic. Our decision also took into account the fact that the requirement to obtain experience in three areas of law has been removed from the current regulations. We are satisfied that granting the waivers is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Vishal Bakshi, has been granted a waiver from QLTS requirements

This waiver is valid from 18 November 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 3F.1(c) and regulation 3F.2 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Mr Bakshi will not be required to pass the Qualified Lawyers Transfer Scheme assessments to be considered eligible to apply for admission to the roll of solicitors.

Reason

This waiver has been granted on the basis that Mr Bakshi has met the requirements of his Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 1990. We are satisfied that granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Bird Wilford and Sale Solicitors of , has been granted a waiver from Manager(s) of a corporate manager

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Granted

Reason

SJ Roberts Limited (SRA ID 487806) and Farah Qureshi Limited (SRA ID 639411), are corporate managers of Bird Wilford & Sale Solicitors (SRA ID:45788). They are not trading bodies and do not provide any legal services in their own name. They exist only to act as corporate managers of Bird Wilford & Sale Solicitors. If the firms are not practising or serving clients in any way there are few, if any, regulatory breaches that could occur. The waiver does not undermine our public trust purpose and is compatible with our regulatory objectives in section 1 of the Legal Services Act 2007.

Conditions

Exemption details

Adele Wilkinson, has been granted a waiver from Training requirements

This waiver is valid from 03 November 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulations 5.1 and 12.1(b) of the SRA Training Regulations 2014 Qualification and Provider Regulations.

Decision details

This waiver was granted.

Outcome

Ms Wilkinson will not be required to gain experience in three distinct areas of English and Welsh law and practice to be considered to have met all the requirements of a period of recognised training under the SRA Training Regulations 2014. Makin Dixon Solicitors Limited will not be required to provide that experience to Ms Wilkinson in order for it to meet its obligations as a training provider under those same regulations.

Reason

Makin Dixon Solicitors Limited has been granted a waiver of Regulation 12.1(b) of the Training Regulations 2014 (the obligation to provide, or make arrangements for, a trainee to gain experience in three distinct areas of English and Welsh law and practice). Ms Wilkinson has been granted a waiver of Regulation 5.1 of the Training Regulations 2014, insofar as that requires her period of recognised training to include practical experience in three distinct areas of English and Welsh law and practice. This waiver has been granted on the basis that Ms Wilkinson has met all other requirements of the Training Regulations 2014. She was unable to meet the requirement waived due to the Covid-19 pandemic. Our decision also took into account the fact that the requirement to obtain experience in three areas of law has been removed from the current regulations. We are satisfied that granting the waivers is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Springhouse Solicitors Limited of Export House, Wolsey Walk, Woking GU21 6QX who is a has been denied a waiver from our requirement about Annual accountant's report.

Details of rules applied for

Details of rules applied for Rule 32A.1 of the SRA Accounts Rules 2011.

Decision details

This waiver was denied.

Outcome

The waiver was refused.

Reason

The criteria to be exempt from obtaining a report includes not exceeding an average balance of 10,000 pounds. It was intended as an absolute limit and crossing that threshold requires a report to be obtained. The Applicant has exceeded an average balance of 10,000 pounds by an average of 36,510 pounds. There are no other reasons which would support a waiver of the requirement to obtain an account's report.

Exemption details

David Holmes and Co of , has been granted a waiver from Final accountant's report

This waiver is valid from 23 October 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 33.5 of the SRA Accounts Rules 2011.

Decision details

This waiver was granted.

Outcome

David Holmes and Co has been granted a waiver from the requirement to obtain and deliver a cease to hold accountants report for the accounting period between 1 June 2019 and 14 October 2019.

Reason

David Holmes and Co closed on 30 September 2019 and ceased to hold client money on 14 October 2019. During this accounting period, the firm had very few transactions on the client account and those related to a small number of clients. Had the firm ceased to hold client money after 25 November 2019, the firm would not have been required to obtain a cease to hold report under the new SRA Accounts Rules. 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 does not undermine our public interest purpose. We are satisfied the waiver meets all requirements of our waivers policy. Specifically, it is compatible with our regulatory objectives in section 1 of the Legal Services Act 2007, it serves our public interest purpose and no circumstances exist that would prevent us from granting the waiver.

Conditions

Exemption details

New South Law Limited of , has been granted a waiver from Annual accountant's report

This waiver is valid from 08 October 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 12.1 of the SRA Accounts Rules.

Decision details

This waiver was granted.

Outcome

New South Law Limited have been granted a waiver from the requirement to obtain an accountants report for the accounting period between 1 May 2019 and 30 April 2020.

Reason

During the accounting period, the applicant exceeded the threshold due to a delay in obtaining bank account details for one client, caused by the Covid-19 pandemic. 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 serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

Clare McGowan, has been granted a waiver from Training requirements

This waiver is valid from 29 September 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulations 5.1 and 12.1(b) of the SRA Training Regulations 2014 Qualification and Provider Regulations.

Decision details

This waiver was granted.

Outcome

Ms McGowan will not be required to gain experience in three distinct areas of English and Welsh law and practice to be considered to have met all the requirements of a period of recognised training under the SRA Training Regulations 2014. Principia Law Limited will not be required to provide that experience to Ms McGowan in order for it to meet its obligations as a training provider under those same regulations.

Reason

Principia Law Limited has been granted a waiver of Regulation 12.1(b) of the Training Regulations 2014 (the obligation to provide, or make arrangements for, a trainee to gain experience in three distinct areas of English and Welsh law and practice). Ms McGowan has been granted a waiver of Regulation 5.1 of the Training Regulations 2014, insofar as that requires her period of recognised training to include practical experience in three distinct areas of English and Welsh law and practice. This waiver has been granted on the basis that Ms McGowan has met all other requirements of the Training Regulations 2014. She was unable to meet the requirement waived due to the Covid-19 pandemic. Our decision also took into account the fact that the requirement to obtain experience in three areas of law has been removed from the current regulations. We are satisfied that granting the waivers is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Wilkin Chapman LLP of , has been granted a waiver from Manager(s) of a corporate manager

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Granted

Reason

The company Mark Benedict Robinson Limited is a recognised body and was previously granted a waiver from the requirement to have a COLP and a COFA. It exists solely to be a corporate manager in the firm Wilkin Chapman LLP. Corporate managers are not trading bodies and do not provide legal services in their own name. If a firm is not practising or serving clients in any way there are few, if any, regulatory breaches that could occur. A waiver of Rule 8.1 and 9.4 of the Authorisation of Firms Rules does not undermine our public interest purpose and is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007.

Conditions

Exemption details

Wilkin Chapman LLP of , has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 25 September 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Existing corporate members are not required to have a COLP or COFA

Reason

The corporate managers are existing recognised bodies and were previously granted waivers from the requirement for COLPs and COFAs. The corporate managers are not trading bodies and do not provide legal services in their own name. They exist only to act as managers in Wilkin Chapman LLP. COLPs and COFAs are required in a firm to ensure compliance with our regulations. If the firms are not practising or serving clients in any way there are few, if any, beaches which could occur. The waiver does not undermine our public interest purpose and it is compatible with the regulatory objectives in section 1 of The Legal Services Act 2007.

Conditions

The waiver is granted subject to the following conditions: a) the applicants continue to be recognised bodies; b) the applicants continue to be corporate entities in Wilkin Chapman LLP; c) the applicants may only provide services through Wilkin Chapman LLP; d) the applicants do not operate a client account in their name nor otherwise hold any client money, other than in a client account in the name of Wilkin Chapman LLP; e) that Professional Ethics is notified in writing within 14 days of any change in the circumstances of the application; f) the waiver is expressly granted on the basis that it is without prejudice to any other application; For avoidance of doubt, where there is more than one corporate entity, the waiver is granted to enable each corporate entity to continue as a recognised body without appointing compliance officers. Should any one of the corporate entities fail to fulfil the conditions this will not affect the waiver granted to the remaining named corporate entities. The waiver is revocable by the SRA on the giving of reasonable notice.

Exemption details

NHS Wales Shared Services Partnership Legal and Risk Services , has been granted a waiver from Business requirements

This waiver is valid from 17 September 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 5.6 of the SRA Code of Conduct for Solicitors, RELs and RFLs.

Decision details

This waiver was granted.

Outcome

Solicitors can rely on Welsh Risk Pool rather than indemnity insurance of their employer

Reason

The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. The applicants practise through a non-commercial body which provides reserved legal activities, but which does not hold indemnity insurance. However, it has the benefit of unlimited cover from the Welsh Risk Pool. Therefore, a waiver would not undermine our public interest purpose, as the interests of consumers are protected by the indemnity cover provided by the Welsh Risk Pool, which is adequate and appropriate.

Conditions

a) that there is compliance with the SRA Standards and Regulations; b) NWSSP continues its indemnity with the Welsh Risk Pool as described in their letter of 16 April 2020. Otherwise, the applicants must ensure that their risk pool arrangements provide adequate and appropriate indemnity in respect of the legal services provided by them to the users of their legal services (whether those services compromise reserved legal activities or not). c) that Professional Ethics are notified of any material change of circumstances within 14 days; d) The grant is without prejudice to any other application;

Exemption details

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

This waiver is valid from 17 September 2020 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

No requirement for run-off cover on closure of firm

Reason

This is a waiver of the requirement for City Legal Solicitors to have run-off cover on closure. The firm was authorised in March 2019 but closed on 7 November 2019. It never traded and did not have any clients. Therefore, this waiver will pose no risk to consumer protection and it does not conflict with any of our regulatory objectives as set out in the waiver criteria

Conditions

The waiver is granted subject to the following condition; 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. The waiver is revocable by the SRA on the giving of reasonable notice.

Exemption details

Bryony Hewer, has been granted a waiver from Training requirements

This waiver is valid from 16 September 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulations 5.1 and 12.1(b) of the SRA Training Regulations 2014 Qualification and Provider Regulations.

Decision details

This waiver was granted.

Outcome

Miss Hewer will not be required to gain experience in three distinct areas of English and Welsh law and practice to be considered to have met all the requirements of a period of recognised training under the SRA Training Regulations 2014. Devonshires Solicitors LLP will not be required to provide that experience to Miss Hewer in order for it to meet its obligations as a training provider under those same regulations.

Reason

Devonshires Solicitors LLP has been granted a waiver of Regulation 12.1(b) of the Training Regulations 2014 (the obligation to provide, or make arrangements for, a trainee to gain experience in three distinct areas of English and Welsh law and practice). Miss Hewer has been granted a waiver of Regulation 5.1 of the Training Regulations 2014, insofar as that requires her period of recognised training to include practical experience in three distinct areas of English and Welsh law and practice. This waiver has been granted on the basis that Miss Hewer has met all other requirements of the Training Regulations 2014. She was unable to meet the requirement waived due to the Covid-19 pandemic. Our decision also took into account the fact that the requirement to obtain experience in three areas of law has been removed from the current regulations. We are satisfied that granting the waivers is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Halima Aziz who is a Solicitor has been denied a waiver from our requirement about Authorisation of Individuals.

Details of rules applied for

Details of rules applied for Rule 10.2(b)(vi) of the SRA Authorisation of Individuals Rules.

Decision details

This waiver was denied.

Outcome

Refused

Reason

The waiver conflicts with our regulatory objective of protecting and promoting the interests of consumers as set out in the waiver criteria. The solicitor wishes to provide legal services to family members and friends, without charge, which includes exercising a right of audience, the conduct of litigation and immigration advice and services. She wishes to do this in her capacity as a freelance solicitor without meeting the requirement to hold adequate and appropriate indemnity insurance. Our policy to allow work for family and friends without holding insurance changed with the new regulations in November 2019. There is a risk to the interests of consumers because a waiver would leave the freelance solicitor's clients without the protection afforded to them by professional indemnity insurance.

Exemption details

Saminah Saleem who is a Solicitor has been denied a waiver from our requirement about Supervision requirements.

Details of rules applied for

Details of rules applied for Rule 9.4 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was denied.

Outcome

The waiver was refused as the circumstances are not compatible with the regulatory objectives as set out in the waiver criteria. This is because the applicant's experience as a paralegal prior to her admission to the roll in 2011 is not equivalent to work as a qualified lawyer. The applicant practised as a solicitor for 9 months in 2011-2012 and has no recent experience of the law or a solicitors practice. As a sole practitioner the applicant would be responsible for all legal and regulatory compliance issues that apply to law firms. There is a risk to our regulatory objective of protecting consumers where a solicitor does not have sufficient experience as a practising solicitor.

Reason

The waiver conflicts with our public interest objective as set out in the waivers criteria. A minimum period of three years as a practising lawyer is required before a solicitor can set up their own practice. This is to ensure that the public receive good quality services from a competent and experienced solicitor. A waiver would undermine our purpose of protecting consumers because the applicant does not have sufficient experience having practised as a solicitor for only nine months immediately after admission in 2011 and not having accumulated further relevant experience after that date.

Exemption details

Lauren Adams, has been granted a waiver from Training requirements

This waiver is valid from 15 September 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulations 5.1 and 12.1(b) of the SRA Training Regulations 2014 Qualification and Provider Regulations.

Decision details

This waiver was granted.

Outcome

Miss Adams will not be required to gain experience in three distinct areas of English and Welsh law and practice to be considered to have met all the requirements of a period of recognised training under the SRA Training Regulations 2014. MLL Limited will not be required to provide that experience to Ms Adams in order for it to meet its obligations as a training provider under those same regulations.

Reason

MLL Limited has been granted a waiver of Regulation 12.1(b) of the Training Regulations 2014 (the obligation to provide, or make arrangements for, a trainee to gain experience in three distinct areas of English and Welsh law and practice). Miss Adams has been granted a waiver of Regulation 5.1 of the Training Regulations 2014 , insofar as that requires her period of recognised training to include practical experience in three distinct areas of English and Welsh law and practice. This waiver has been granted on the basis that Miss Adams has met all other requirements of the Training Regulations 2014. She was unable to meet the requirement waived due to the Covid-19 pandemic. Our decision also took into account the fact that the requirement to obtain experience in three areas of law has been removed from the current regulations. We are satisfied that granting the waivers is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Charlotte Gregory, has been granted a waiver from Training requirements

This waiver is valid from 15 September 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulations 5.1 and 12.1(b) of the SRA Training Regulations 2014 Qualification and Provider Regulations.

Decision details

This waiver was granted.

Outcome

Miss Gregory will not be required to gain experience in three distinct areas of English and Welsh law and practice to be considered to have met all the requirements of a period of recognised training under the SRA Training Regulations 2014. GC Law Ltd will not be required to provide that experience to Miss Gregory in order for it to meet its obligations as a training provider under those same regulations.

Reason

GC Law Ltd has been granted a waiver of Regulation 12.1(b) of the Training Regulations 2014 (the obligation to provide, or make arrangements for, a trainee to gain experience in three distinct areas of English and Welsh law and practice). Miss Gregory has been granted a waiver of Regulation 5.1 of the Training Regulations 2014, insofar as that requires her period of recognised training to include practical experience in three distinct areas of English and Welsh law and practice. This waiver has been granted on the basis that Miss Gregory has met all other requirements of the Training Regulations 2014. She was unable to meet the requirement waived due to the Covid-19 pandemic. Our decision also took into account the fact that the requirement to obtain experience in three areas of law has been removed from the current regulations. We are satisfied that granting the waivers is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Saminah Saleem, has been granted a waiver from Supervision requirements

Details of rules applied for

Details of rules applied for Rule 9.4 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Waiver refused

Reason

The waiver conflicts with our public interest objective as set out in the waiver criteria. A minimum period of 3 years as a practising lawyer is required before a solicitor can set up their own practice. This is to ensure that the public receive good quality services from a competent and experienced solicitor A waiver would undermine our purpose of protecting consumers because the Applicant does not have sufficient experience as a lawyer having practised for only 9 months immediately after admission in 2011 and not having accumulated further relevant experience after that date.

Conditions

Exemption details

Aleem Osman Shahid, has been granted a waiver from QLTS requirements

This waiver is valid from 08 September 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 3F.1(c) and regulation 3F.2 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Mr Shahid will not be required to pass the Qualified Lawyers Transfer Scheme assessments in order to be considered eligible to apply for admission to the roll of solicitors.

Reason

The waiver has been granted on the basis that Mr Shahid has met the requirements of his Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 2009. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Russell Eke Limited of , has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 03 September 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Enables Russell Eke Limited does not need to appoint a COLP or COFA while it is linked to the firm Wilkin Chapman LLP

Reason

Conditions

Exemption details

Goldstream Legal Limited of , has been granted a waiver from Indemnity rules

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

The firm is not required to have run-off cover in place.

Reason

Conditions

Exemption details

Kervin Barnes Limited of , has been granted a waiver from Annual accountant's report

This waiver is valid from 27 August 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 12.1 of the SRA Accounts Rules.

Decision details

This waiver was granted.

Outcome

Kervin Barnes Limited have been granted a waiver from the requirement to obtain an accountants report for the accounting period between 1 October 2018 and 30 September 2019.

Reason

Kervin Barnes Limited is a small firm who had very few transactions and held small amounts of client money. It exceeded the threshold by a small amount due to one balance held for a previous client. 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 serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

Lisa-Jane Howes Limited of who is a has been denied a waiver from our requirement about Manager(s) of a corporate manager.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation Rules.

Decision details

This waiver was denied.

Outcome

Reason

The corporate manager is an existing recognised body and was previously granted a waiver from the requirement for a COLP and a COFA. Corporate managers are not trading bodies and do not provide legal services in their own name. Lisa-Jane Howes Limited exists only to act as a corporate manager of Wilkin Chapman LLP. The purpose of having a COLP and COFA is to ensure compliance with our regulations. If the firm is not practising or serving clients in any way there are few, if any, breaches that could occur. The waiver does not undermine our public interest purpose and is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007.

Exemption details

Bankside Law Limited of , has been granted a waiver from Annual accountant's report

This waiver is valid from 17 August 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 12.1 of the SRA Accounts Rules.

Decision details

This waiver was granted.

Outcome

Bankside Law Limited have been granted a waiver from the requirement to obtain an accountants report for the period between 1 April 2019 and 31 March 2020.

Reason

Bankside Law Limited is a small niche firm and majority of funds held in its client account are deposits for private clients counsel fees. During this period, it has had very few transactions and held small amounts of client money. 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 serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

Knocker & Foskett of , has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 13 July 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Granted

Reason

The corporate managers are existing recognised bodies and were previously granted waivers rom the requirement for COlPs and COFAs. The corporate managers are not trading bodies and do not provide legal services in their own right. They exist only to act as managers in Knocker & Foskett. The purpose of having a COLP and COFA is o ensure compliance with our regulations. If the firms are not practising or serving clients in any way there are few, if any, breaches that could occur. The waiver does not undermine our public interest purpose and is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007.

Conditions

Exemption details

Thompson Smith & Puxon of , has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 31 July 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Granted

Reason

The corporate managers are existing recognised bodies and were previously granted waivers from the requirement for a COLP and a COFA. The corporate managers are not trading bodies and do not provide legal services in their own names. They exist only to act as managers in the firm Thompson Smith & Puxon. The purpose for authorised bodies appointing a COLP and COFA is to ensure compliance with our regulations. If a firm is not practising or serving clients in any way there are few, if any, breaches that could occur. The waiver does not undermine our public interest purpose and is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007.

Conditions

Exemption details

Wilkin Chapman Members Limited of , has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 22 July 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Granted

Reason

The corporate manager is an existing recognised body and was previously granted a waiver from the requirement to have a COLP and COFA. The corporate manager is not a trading body and does not provide legal services in its own name. It exists only to act as a manager in the firm Wilkin Chapman. Firms are required to have a COLP and COFA to ensure compliance with our regulations. If the firm is not practising or serving clients in any way there are few, if any regulatory breaches that could occur. The waiver does not undermine our public trust purpose and is compatible with the regulatory objectives in section 1 of the Legal Services Act.

Conditions

Exemption details

Moss Solicitors LLP of , has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 08 July 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Waiver for corporate managers of firm which are recognised bodies from requirement to have their own COLP and COFA

Reason

The corporate managers are existing recognised bodies and were previously granted waivers from the requirement for COLPs and COFAs. The corporate managers are not trading bodies and do not provide legal services in their own name. They exist only to act as managers in Moss Solicitors LLP. COLPs and COFAs are required in a firm to ensure compliance with our regulations. If the firms are not practising or serving clients in any way there are few, if any, beaches which could occur. The waiver does not undermine our public interest purpose and it is compatible with the regulatory objectives in section 1 of The Legal Services Act 2007.

Conditions

The waiver is granted subject to the following conditions: a) the applicants continue to be a recognised body; b) the applicants continue to be corporate entities in Moss Solicitors LLP; c) the applicants may only provide services through Moss Solicitors LLP; d) the applicants do not operate a client account in their name nor otherwise hold any client money, other than in a client account in the name of Moss Solicitors LLP; e) that Professional Ethics is notified in writing within 14 days of any change in the circumstances of the application; f) the waiver is expressly granted on the basis that it is without prejudice to any other application; For avoidance of doubt, where there is more than one corporate entity, the waiver is granted to enable each corporate entity to continue as a recognised body without appointing compliance officers. Should any one of the corporate entities fail to fulfil the conditions this will not affect the waiver granted to the remaining named corporate entities. The waiver is revocable by the SRA on the giving of reasonable notice.

Exemption details

Pysdens Solicitors of Tower 42, 25 Old Broad Street, London EC2N 1HN, has been granted a waiver from Accountants Report Obtaining and Delivery

This waiver is valid from 06 July 2020 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

Psydens Solicitors is not required to obtain an accountant's report for the accounting period ending 31 March 2019

Reason

Pysdens Solicitors has been granted a waiver from the requirement to obtain an accountant's report for the accounting period between 1 April 2018 and 31 March 2019. The waiver has been granted as, due to the terms of a contractual undertaking, the firm has no reasonable option to utilise a third-party managed account.

Conditions

Exemption details

Angena Bhagwandeen who is a SRA regulated entity has been denied a waiver from our requirement about Indemnity rules.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was denied.

Outcome

Refused

Reason

The waiver conflicts with our regulatory objective of protecting and promoting the interests of consumers as set out in the waiver criteria. There is a risk to the interests of consumers because a waiver would leave the firm's clients without the protection afforded to them by professional indemnity insurance.

Exemption details

Crane and Walton LLP of , has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 23 June 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Waiver of requirement for corporate managers of firm which are recognised bodies to have a COLP and COFA

Reason

The corporate managers are existing recognised bodies and were previously granted waivers from the requirement for COLPs and COFAs. The corporate managers are not trading bodies and do not provide legal services in their own name. They exist only to act as managers in Crane and Walton LLP. COLPs and COFAs are required in a firm to ensure compliance with our regulations. If the firms are not practising or serving clients in any way there are few, if any, beaches which could occur. The waiver does not undermine our public interest purpose and it is compatible with the regulatory objectives in section 1 of The Legal Services Act 2007.

Conditions

The waiver is granted subject to the following conditions: a) the applicants continue to be recognised bodies; b) the applicants continue to be corporate entities in Crane and Walton LLP; c) the applicants may only provide services through Crane and Walton LLP; d) the applicants do not operate a client account in their name of nor otherwise hold any client money, other than in a client account in the name of Crane and Walton LLP; e) that Professional Ethics is notified in writing within 14 days of any change in the circumstances of the application; f) the waiver is expressly granted on the basis that it is without prejudice to any other application; For avoidance of doubt, where there is more than one corporate entity, the waiver is granted to enable each corporate entity to continue as a recognised body without appointing compliance officers. Should any one of the corporate entities fail to fulfil the conditions this will not affect the waiver granted to the remaining named corporate entities. The waiver is revocable by the SRA on the giving of reasonable notice.

Exemption details

Serendib Legal Solutions Limited , a corporate owner manager of Oye Edokpolor, has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 18 June 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Waiver of requirement to have a COLP and COFA for recognised body which is a corporate manager of Blossom Law Solicitors LLP (SRA number 565601)

Reason

The applicant was authorised as a recognised body in 2012 and had a previous waiver from the requirement to have a COLP and COFA, as it exists only as a corporate member of Blossom Law Solicitors LLP. It does provide any services in its own name. This is a renewal of the previous waiver.

Conditions

a) the applicant continues to be a recognised body; b) the applicant continues to be a corporate entity in Blossom Law Solicitors LLP; c) the applicant may only provide services through Blossom Law Solicitors LLP; d) the applicant does not operate a client account in the name of Serendib Legal Solutions Limited nor otherwise hold any client money, other than in a client account in the name of Blossom Law Solicitors LLP; e) that Professional Ethics is notified in writing within 14 days of any change in the circumstances of the application; f) the waiver is expressly granted on the basis that it is without prejudice to any other application; This waiver is revocable by the SRA on the giving of reasonable notice

Exemption details

Jackson Quinn Solicitors of 7 Grove Street Retford DN 22 6NN, has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 18 June 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Waiver of requirement for corporate managers of firm which are recognised bodies to have a COLP and COFA

Reason

The corporate managers are existing recognised bodies and were previously granted waivers from the requirement for COLPs and COFAs. The corporate managers are not trading bodies and do not provide legal services in their own name. They exist only to act as managers in Jackson Quinn Solicitors. COLPs and COFAs are required in a firm to ensure compliance with our regulations. If the firms are not practising or serving clients in any way there are few, if any, beaches which could occur. The waiver does not undermine our public interest purpose and it is compatible with the regulatory objectives in section 1 of The Legal Services Act 2007.

Conditions

The waiver is granted subject to the following conditions: a) the applicants continue to be recognised bodies; b) the applicants continue to be corporate entities in Jackson Quinn Solicitors; c) the applicants may only provide services through Jackson Quinn Solicitors; d) the applicants do not operate a client account in their names nor otherwise hold any client money, other than in a client account in the name of Jackson Quinn Solicitors; e) that Professional Ethics is notified in writing within 14 days of any change in the circumstances of the application; f) the waiver is expressly granted on the basis that it is without prejudice to any other application; For avoidance of doubt, where there is more than one corporate entity, the waiver is granted to enable each corporate entity to continue as a recognised body without appointing compliance officers. Should any one of the corporate entities fail to fulfil the conditions this will not affect the waiver granted to the remaining named corporate entities. This waiver is revocable by the SRA on the giving of reasonable notice.

Exemption details

Clarkes LLP of , has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 16 June 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Waiver of requirement for corporate managers of firm which are recognised bodies to have a COLP and COFA

Reason

The corporate managers are existing recognised bodies and were previously granted waivers from the requirement for COLPs and COFAs. The corporate managers are not trading bodies and do not provide legal services in their own name. They exist only to act as managers in Clarkes LLP. COLPs and COFAs are required in a firm to ensure compliance with our regulations. If the firms are not practising or serving clients in any way there are few, if any, beaches which could occur. The waiver does not undermine our public interest purpose and it is compatible with the regulatory objectives in section 1 of The Legal Services Act 2007.

Conditions

The waiver is granted subject to the following conditions: a) the applicants continue to be recognised bodies; b) the applicants continue to be corporate entities in Clarkes LLP; c) the applicants may only provide services through Clarkes LLP; d) the applicants do not operate a client account in their name nor otherwise hold any client money, other than in a client account in the name of Clarkes LLP; e) that Professional Ethics is notified in writing within 14 days of any change in the circumstances of the application; f) the waiver is expressly granted on the basis that it is without prejudice to any other application; For avoidance of doubt, where there is more than one corporate entity, the waiver is granted to enable each corporate entity to continue as a recognised body without appointing compliance officers. Should any one of the corporate entities fail to fulfil the conditions this will not affect the waiver granted to the remaining named corporate entities. The waiver is revocable by the SRA on the giving of reasonable notice.

Exemption details

SCG Law Ltd of , has been granted a waiver from Final accountant's report

This waiver is valid from 04 June 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 33.5 of the SRA Accounts Rules 2011.

Decision details

This waiver was granted.

Outcome

SCG Law Ltd are not required to obtain a cease to hold accountants report for the accounting period ending between 15 July 2019 and 12 September 2019.

Reason

SCG Law Limited was a small firm which only traded for a period of seven weeks. During this period the firm had very few transactions and held small amounts of client money. Waiving the requirement to obtain an accountant's report raises a risk to the regulatory objectives of protection of consumer interests and maintaining adherence to the professional principles. Those risks have been mitigated by our review of the transactions that took the firm out of the exemption provisions and us being satisfied these were rare occurrences. 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

H C Group Limited of , has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 22 May 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Granted

Reason

The corporate manager is an existing recognised body and was previously granted a waiver from the requirement for a COLP and COFA. The corporate manager is not a trading body and does not provide legal services in its own name. It exists only to act as a manager in the firm Hunt & Coombs (SRA no. 443035). Firms are required to have a COLP and a COFA to ensure compliance with our regulations. Where a firm is not practising or serving clients in any way there are few, if any breaches that could occur. The waiver does not undermine our public interest purpose and is compatible with the regulatory objectives in the Legal Services Act 2007.

Conditions

Exemption details

Anbananden Sooben of L & L Law Solicitors, 46 High Street, Colliers Wood, London SW19 2BY, has been granted a waiver from Temporary emergency authorisation requirements

This waiver is valid from 18 May 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 15.1(b) of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Mr Sooben will be able to ensure the continuation of L & L Law Solicitors, and therefore the protection of its clients, following the death of its former sole principal, Dorairaj Balasubramaniam.

Reason

L & L Law Solicitors is a recognised sole practice, the sole principal of which was Dorairaj Balasubramaniam. Following the death of Mr Balasubramaniam, his next of kin appointed Mr Sooben to take over running of the practice. Mr Sooben is seeking temporary emergency authorisation (TEA) to enable him to be the acting sole practitioner of L & L Law Solicitors. However, rule 15.1(b) of the SRA Authorisation of Firms Rules sets down eligibility criteria for those seeking TEA. Those are not quite met in this case. In order for Mr Sooben to be granted TEA, the criteria therefore need to be waived. We are satisfied that the intention behind the eligibility criteria is met and Mr Sooben's appointment is appropriate. That appointment also best serves the interests of the current clients of the practice. We are further satisfied that granting this waiver is not contrary to our obligation to support the rule of law and the administration of justice, nor does it undermine our public interest purpose. Any risks to the regulatory objectives have been mitigated by the condition imposed that the waiver only applies as long as Mr Balasubramaniam's widow consents to Mr Sooben's appointment as practice manager.

Conditions

This waiver is subject to the condition that it only applies if Mr Sooben is appointed as a practice manager of L & L Law Solicitors with the consent of the widow of its former sole principal.

Exemption details

Leonard Blomstrand, has been granted a waiver from Indemnity insurance

This waiver is valid from 17 April 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.4 The Rules require firms to take out a policy which includes cover in accordance with the Minimum Terms and Conditions for that part of their practice carried on from offices located in England and Wales..

Decision details

This waiver was granted.

Outcome

Granted

Reason

The waiver does not conflict with our regulatory objectives as set out in the waiver criteria. There is no risk to the objectives of protecting and promoting the interests of consumers and the public. This is because the applicant firm closed in excess of 15 years ago and its clients have already had the benefit of six years' run-off cover.

Conditions

The waiver is granted subject to the following conditions: (a) 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

Knightswood Solicitors , a corporate owner manager of Khurram Rashid, has been granted a waiver from Supervision requirements

This waiver is valid from 17 April 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 9.4 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Granted

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 purpose of improving access to justice. A waiver would not undermine our purpose of protecting consumers because the Applicant does have significant experience of running a law firm.

Conditions

(a) 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

Amanda Gerrity, has been granted a waiver from Indemnity rules

This waiver is valid from 17 April 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

Granted

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 only acted for one client providing unreserved legal activities and that client has confirmed that it does not intend to make a claim. The interests of consumers are protected due to the very limited nature of the waiver.

Conditions

The waiver is granted subject to the following conditions: (a) that the Applicant inform its client of the waiver in writing; (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

Shakespeare Martineau of , has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 16 April 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Granted

Reason

The corporate managers are existing recognised bodies which has been granted a waiver from the requirement to have a COLP and COFA. The corporate managers are not trading bodies and do not provide legal services in their own names.They exist only to act as managers in the firm Shakepeare Martineau. Firms are required to have COLPs and COFAs to ensure compliance with our regulations. If firms are not practising or serving clients in any way there are few, if any regulatory breaches that could occur. A waiver does not therefore undermine our public interest purpose and is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007.

Conditions

Exemption details

Les Saunders Limited of , has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 03 April 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Granted

Reason

The corporate manager is an existing recognised body and was previously granted a waiver from the requirement for a COLP and COFA. The corporate manager is not a trading body and does not provide legal services in its own name. It exists only to act as a manager in the Anderson Partnership. A firm is required to have a COLP and COFA to ensure complaince with our regulations. If a firm is not practising or serving clients in any way there are few, if any regulatory breaches that can occur. The waiver does not undermine our public interest purpose and is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007.

Conditions

Exemption details

Obiter Limited, has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 03 April 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Granted

Reason

This coprorate manager is a recognised body. It is not a trading body and does not provide legal services in its own name. It exists only to act as a manager in the firm Gaby Hardwicke. We require firms to have COLPs and COFAs to ensure complaince with our regulations. If a firm is not practising or serving clients in any way there are few, if any, regulatory breaches that can occur. The waiver does not undermine our public interest purpose and is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007.

Conditions

Exemption details

>A. Donamart Solicitors, has been granted a waiver from Contributions to Compensation Fund

This waiver is valid from 03 April 2020 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

Granted

Reason

The circumstances are compatible with the SRA's regulatory objectives in section 1 of the Legal Services Act 2007. 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 held only one relatively small balance in its client account during the practising year. The interests of consumers are protected due to the very limited nature of the waiver.

Conditions

The waiver is granted subject to the following conditions: (a) that there is compliance with the SRA Accounts Rules; 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

Stephen Compton Limited of , has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 03 April 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Granted

Reason

This corporate manager is an existing recognised body and was previously granted a waiver from the requirement for a COLP and COFA. The corporate manager is not a trading body and exists only to be a manager in the firm Comptons Solicitors LLP. Corporate managers are not trading bodies and do not provide legal services in their own name. A firm is required to have a COLP and COFA to comply with our regulations. If a firm is not practising or serving clients in any way there are few, if any, regulatory breaches that could occur. Allowing the waiver does not therefore undermine our public interest purpose and is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007.

Conditions

Exemption details

Robert Barber Solicitors of , has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 03 April 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Granted

Reason

The corporate managers are existing recognised bodies and were previously granted waivers from the requirement for COLPs and COFAs. The corporate managers are not trading bodies and do not provide legal services in their own name. They exist only to act as managers in Rober Barber Solicitors. Firms are required to have COLPS and COFAs to ensure compliance with our regulations. If the firms are practising or serving clients in any way there are few, if any, regulatory breaches that could occur. The waiver does not undermine our public interest purpose and is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007.

Conditions

Exemption details

Johnson & Steller Limited , a corporate owner manager of Amadin Ekhorutomwen, has been granted a waiver from Indemnity rules

This waiver is valid from 02 April 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 2.1 of the SRA Indemnity Insurance Rules.

Decision details

This waiver was granted.

Outcome

Granted

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 purpose of improving access to justice. A waiver would not undermine our purpose of protecting consumers because the firm's clients will be covered by professional indemnity insurance that would pay out in full on any claim. The waiver only allows the firm to agree with the insurer that it will bear some or all of the costs of defending any claim.

Conditions

That the insurance policy meets all the other requirements of the SRA Minimum Terms and Conditions of Professional Indemnity Insurance set out at Annex 1 of the SRA Indemnity Insurance Rules; and The grant is without prejudice to any other application.

Exemption details

London Maritime Arbitration Legal Services Limited , a corporate owner manager of Miquel Roca, has been granted a waiver from Contributions to Compensation Fund

This waiver is valid from 02 April 2020 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

Granted

Reason

The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. A waiver would not undermine our purpose of protecting and promoting the interests of consumers, and it is reasonable in these circumstances to grant the applicant firm a waiver of the requirement to contribute to the Compensation Fund because the firm only held one balance for a relatively short time. The interests of consumers are protected due to the very limited nature of the waiver.

Conditions

The waiver is granted subject to the following conditions: (a) that there is compliance with the SRA Accounts Rules; 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

Compass Immigration Law Ltd of First Floor, 15 St Andrews Court, Bolton BL1 1LD, has been granted a waiver from Supervision requirements

This waiver is valid from 07 May 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 9.4 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Compass Immigration Law Ltd is permitted to have Georgette Thomas supervise the work undertaken by the practice even though she does not meet the requirements in full.

Reason

Mrs Thomas is a solicitor who has held an unconditional practising certificate for in excess of three years. During that time, she has provided immigration services from an OISC-regulated practice. Under OISC regulations, her services have been provided in the capacity of an OISC-registered adviser rather than as a practising solicitor. Mrs Thomas is now seeking to move the business to SRA-regulation. All SRA-authorised firms are required to have someone supervise the work of the practice who is a lawyer (as defined by our Glossary) and has worked as such for a minimum of three years. Mrs Thomas has been entitled to practise for the required time and conducted work which, if it had been done from an SRA-regulated practice, would have been done as a practising solicitor. Her practising arrangements and her work were done in full compliance with both SRA and OISC regulations. Mrs Thomas' experience therefore meets the intention behind rule 9.4(a). We are satisfied that granting this waiver is not contrary to our obligation to support the rule of law and the administration of justice, nor does it undermine our public interest purpose. Any risks to the regulatory objectives have been mitigated by the condition imposed that the waiver only applies as long as Mrs Thomas is the person providing supervision under rule 9.4(b) of the SRA Authorisation of Firms Rules.

Conditions

This waiver is subject to the condition that it only applies as long Georgette Thomas (SRA number 473205) is the person who supervises work within the practice under rule 9.4(b) of the SRA Authorisation of Firms Rules. Should Mrs Thomas cease to be the one undertaking that supervision, this waiver will no longer apply and Compass Immigration Law Ltd will be required to comply with rule 9.4(a) of the SRA Authorisation of Firms Rules.

Exemption details

SELJ Limited of , has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 27 March 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Granted

Reason

The corporate manager is an existing recognised body and was previously granted a waiver from the requirement to have a COLP and a COFA. The corporate manager is not a trading body and does not provide services in its own name. It exists only to act as a manager in the firm TLJ Law Limited SRA ID 536270. Firms are required to have a COLP and COFA to ensure compliance with our regulations. Where a firm is not practising and does not serve clients directly there are few, if any regulatory breaches that can occur. The waiver does not undermine our public interest purpose and is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007.

Conditions

Exemption details

Mark Hawkins Limited of , has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 25 March 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Granted

Reason

Waiver of requirement to have a COLP and COFA for a recognised body which is a corporate manager of Tallents (SRA ID 68826)

Conditions

The applicant was authorised as a recognised body in 2011 and had a previous waiver of the requirement to have a COLP and COFA while it is a corporate entity in Tallents solicitors. It does not provide any services in it's own name. This is an application to renwew the waiver on the same basis.

Exemption details

Surbiton Law Limited of , has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 23 March 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Granted

Reason

The corporate manager is an existing recognised body and was previously granted a waiver from the requirement for a COLP and COFA. The corporate body is not a trading body and does not provide legal services in it's own name. It exists only to act as a manager in Surbiton Law LLP. COLPs and COFAs are required in a firm to ensure compliance with our regulations. If the firm is not practising or serving clients in any way there are few, if any breaches which could occur. The waiver does not undermine our public interest purpose and is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007.

Conditions

Exemption details

Rabie Abas, has been granted a waiver from QLTS requirements

This waiver is valid from 11 March 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 3F.1(c) and regulation 3F.2 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Mr Abas will not be required to pass the Qualified Lawyers Transfer Scheme assessments in order to be considered eligible to apply for admission to the roll of solicitors.

Reason

This waiver has been granted on the basis that Mr Abas has met the requirements of his Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 1990. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Thakur Solicitors Ltd of First Floor, 1-B Western Road, Southall, Middlesex UB2 5HA, has been granted a waiver from Supervision requirements

This waiver is valid from 30 March 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 9.4 of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Thakur Solicitors Ltd is permitted to have Veera Thakur supervise the work undertaken by the practice even though she does not meet the requirements in full.

Reason

Ms Thakur is a solicitor who has held an unconditional practising certificate for in excess of three years. During that time, she has provided immigration services from an OISC-regulated practice. Under OISC regulations, her services have been provided in the capacity of an OISC-registered adviser rather than as a practising solicitor. Ms Thakur is now seeking to move her business to SRA-regulation. All SRA-authorised firms are required to have a someone supervise the work of the practice who is a lawyer (as defined by our Glossary) and has worked as such for a minimum of three years. Ms Thakur has been entitled to practise for the required time and conducted work which, if it had been done from an SRA-regulated practice, would have been done as a practising solicitor. Her practising arrangements and her work were done in full compliance with both SRA and OISC regulations. Ms Thakur's experience therefore meets the intention behind rule 9.4(a). We are satisfied that granting this waiver is not contrary to our obligation to support the rule of law and the administration of justice, nor does it undermine our public interest purpose. Any risks to the regulatory objectives have been mitigated by the condition imposed that the waiver only applies as long as Ms Thakur is the person providing supervision under rule 9.4(b) of the SRA Authorisation of Firms Rules.

Conditions

This waiver only applies as long Veera Thakur (SRA number 320077) is the person who supervises work within the practice under rule 9.4(b) of the SRA Authorisation of Firms Rules. Should Ms Thakur cease to be the one undertaking that supervision, this waiver will no longer apply and Thakur Solicitors Ltd will be required to comply with rule 9.4(a) of the SRA Authorisation of Firms Rules.

Exemption details

Heloise Gautier, has been granted a waiver from QLTS requirements

This waiver is valid from 04 March 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Regulation 3F.1(c) and regulation 3F.2 of the SRA Authorisation of Individuals Regulations.

Decision details

This waiver was granted.

Outcome

Miss Gautier will not be required to pass the Qualified Lawyers Transfer Scheme assessments in order to be considered eligible to apply for admission to the roll of solicitors.

Reason

This waiver has been granted on the basis that Miss Gautier has met the requirements of her Certificate of Eligibility issued under the Qualified Lawyers Transfer Regulations 2009. We are satisfied granting the waiver is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and does not pose a risk to our public interest purpose.

Conditions

Exemption details

Stewart & Co Solicitors , a corporate owner manager of Bina Chohan, has been granted a waiver from Contributions to Compensation Fund

This waiver is valid from 24 February 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 1.2 of the SRA Compensation Fund Rules.

Decision details

This waiver was granted.

Outcome

Refused

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 objectives of protecting and promoting consumers. In the circumstances it is not reasonable to allow the applicant firm a waiver from the requirement to contribute to the Compensation Fund when the client account has been used regularly throughout the year and the firm's clients have had the benefit of the protection afforded by the Compensation Fund. A waiver would undermine the public interest provision that the Compensation Fund is intended to safeguard.

Conditions

Exemption details

George Dodd, has been granted a waiver from Business requirements

This waiver is valid from 24 February 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 5.6 of the SRA Code of Conduct for Solicitors, RELs and RFLs.

Decision details

This waiver was granted.

Outcome

Granted

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 is consistent with our regulatory objective of providing consumers with appropriate protection. It is reasonable in these circumstances to allow the solicitors employed by the applicant organisation to undertake reserved legal activities without that organisation taking out and maintaining indemnity insurance because those solicitors are indemnified against any claim that may be made against them.

Conditions

The waiver is granted subject to the following conditions: (a) that there is compliance with the other requirements of the SRA Standards and Regulations; (b) 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 (c) 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

Joanna Atkinson who is a has been denied a waiver from our requirement about Contributions to Compensation Fund.

Details of rules applied for

Details of rules applied for Rule 1.2 of the SRA Compensation Fund Rules.

Decision details

This waiver was denied.

Outcome

Rejected

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 objectives of protecting and promoting consumers. In the circumstances it is not reasonable to allow the applicant firm a waiver from the requirement to contribute to the Compensation Fund when the client account has been used regularly throughout the year and the firm's clients have had the benefit of the protection afforded by the Compensation Fund. A waiver would undermine the public interest provision that the Compensation Fund is intended to safeguard.

Exemption details

Family Law in Cornwall of , has been granted a waiver from Annual accountant's report

This waiver is valid from 24 February 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 32A.1 of the SRA Accounts Rules 2011.

Decision details

This waiver was granted.

Outcome

Family Law in Cornwall will not be required to obtain an accountants report for the accounting period 6 April 2018 to 5 April 2019

Reason

Waiving the requirement to obtain an accountants report raises a risk to the regulatory objectives of protection of consumer interests and maintaining adherence to the professional principles. Those risks have been mitigated by our review of the transactions that took the firm out of the exemption provisions and us being satisfied these were rare occurrences. 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

Peter Wade, has been granted a waiver from Professional Indemnity Insurance requirements

This waiver is valid from 04 February 2020 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

Granted

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 inquest advice and representation.

Conditions

(a) that Inquest Legal Solicitors Limited inform both its clients of the waiver in writing. (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

Simon Watson, has been granted a waiver from Practising address

Details of rules applied for

Details of rules applied for Rule 1.3(b) of the SRA Authorisation of Firms Rules.

Decision details

This waiver was granted.

Outcome

Granted

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 firm to practise law in Luxembourg without a practising address in the UK because the SRA will continue to have regulatory control over the Luxembourg office through its solicitor members. The interests of consumers are protected due to the very limited nature of the waiver.

Conditions

The waiver is granted subject to the following conditions: (a) that there is compliance with the SRA Standards and Regulations; (b) that Colin Passmore (SRA no. 129749), Jeremy Hoyland (152090), Colin Leaver (126583) and Jonathan Hammond (162439) remain as practising solicitors of England and Wales and members of Simmons and Simmons Luxembourg LLP; (c) that the Professional Ethics Unit of the Solicitors Regulation Authority be notified in writing within 14 days of any change in the composition of Simmons and Simmons Luxembourg LLP; (d) that the Professional Ethics Unit of the Solicitors Regulation Authority be notified in writing within 14 days of any other material change in the circumstances of the application; and (e) 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

A1 Solicitors of Suite 1, 74 George Street, Luton, LU1 2BD who is a SRA regulated entity has been denied a waiver from our requirement about Contributions to Compensation Fund.

Details of rules applied for

Details of rules applied for Rule 1.2 of the SRA Compensation Fund Rules.

Decision details

This waiver was denied.

Outcome

Refused

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. It would diminish a key consumer protection. The applicant firm has held a number of client balances for a significant proportion of the practising year and waiving its obligation to contribute to the Compensation Fund presents a risk its clients and so undermines the consumer protection and public interest provisions that the Compensation Fund is intended to safeguard.

Exemption details

Venire Law Limited trading as Venire Solicitors of 322 Slade Lane, Manchester, M19 2BY who is a SRA regulated entity has been denied a waiver from our requirement about Contributions to Compensation Fund.

Details of rules applied for

Details of rules applied for Rule 1.2 of the SRA Compensation Fund Rules.

Decision details

This waiver was denied.

Outcome

Refused

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. It would diminish a key consumer protection. The applicant firm has held client money for the entire practising year and waiving its obligation to contribute to the Compensation Fund presents a risk to its clients and so undermines the consumer protection and public interest provisions that the Compensation Fund is intended to safeguard.

Exemption details

Symmetry Law Limited of PO Box B30, 35 Westgate, Huddersfield, HD1 1PA who is a SRA regulated entity has been denied a waiver from our requirement about Contributions to Compensation Fund.

Details of rules applied for

Details of rules applied for Rule 1.2 of the SRA Compensation Fund Rules.

Decision details

This waiver was denied.

Outcome

Refused

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. It would diminish a key consumer protection. The applicant firm has held client money in breach of the SRA Accounts Rules 2011 and waiving its obligation to contribute to the Compensation Fund presents a risk to its client and so undermines the consumer protection and public interest provisions that the Compensation Fund is intended to safeguard.

Exemption details

Rothera Sharp Solicitors of 2 Kayes Walk The Lace Market Nottingham NG1 1PZ, has been granted a waiver from Manager(s) of a corporate manager

This waiver is valid from 10 January 2020 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 8.1 of the SRA Authorisation Rules.

Decision details

This waiver was granted.

Outcome

Corporate managers are not required to have compliance officers

Reason

1. The applicants will not be providing any legal services or holding client money. Any legal services will be provided through the main entity, Rothera Sharp. 2. There is an unintended or capricious effect arising from the operation of the rules. This is because there is no substantive role for the compliance officers to carry out if the body is not providing any legal services or holding client money, and yet the rules require that the applicants nonetheless appoints a COLP and a COFA. 3. It would cause undue hardship to require the applicants to go through the authorisation process when there are no substantive duties for them to fulfil.

Conditions

a) the applicants continue to be recognised bodies; b) the applicants continue to be corporate entities in Rothera Sharp; c) the applicants may only provide services through Rothera Sharp; d) the applicants do not operate a client account in their name, nor otherwise hold any client money, other than in a client account in the name of Rothera Sharp; e) that Professional Ethics is notified in writing within 14 days of any change in the circumstances of the application; f) the waiver is expressly granted on the basis that it is without prejudice to any other application;

Exemption details

Harris Cartier Limited of , has been granted a waiver from Final accountant's report

This waiver is valid from 24 December 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Rule 33.5 of the SRA Accounts Rules 2011.

Decision details

This waiver was granted.

Outcome

Harris Cartier Limited has been granted a waiver from the requirement to obtain a final accountants report having ceased to hold client money.

Reason

Harris Cartier Limited has been granted a waiver from the requirement to obtain a final accountants report having ceased to hold client money. 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 current situation with the balance on the client account and being satisfied that a lack of information has meant that detailed and accurate information in a final report cannot be provided. 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 Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

PricewaterhouseCoopers LLP of 1 Embankment Place, London WC2N 6RH, has been granted a waiver from Indemnity rules

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

Details of rules applied for

Details of rules applied for Prescribed definitions under the SRA Indemnity Insurance Rules, and Annex 1 to those rules.

Decision details

This waiver was granted.

Outcome

PricewaterhouseCoopers LLP may practise under cover that, while it does not itself meet all the requirements of the Solicitors Indemnity Insurance Rules and Annex 1 to those rules, we recognise it to be adequate cover and an acceptable substitution.

Reason

The waiver has been granted on the basis of detailed insurance information we have received from PricewaterhouseCoopers LLP. This has been assessed in line with our policy on multi-disciplinary practices and their insurance arrangements. 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 PricewaterhouseCoopers LLPs insurance arrangements provide sufficient protection for consumers, and that granting this waiver is not contrary to our obligation to support the rule of law and the 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 PricewaterhouseCoopers LLP must inform us of any material changes to the insurance arrangements.

Conditions

Should there be any material change in the terms and conditions of the insurance that PricewaterhouseCoopers LLP holds, or a reduction to the level of primary cover, it must immediately inform the SRA and this waiver may be amended or revoked with immediate effect.

Exemption details

Ernst and Young LLP of 1 More London Place, London SE1 2AF, has been granted a waiver from Indemnity rules

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

Details of rules applied for

Details of rules applied for Prescribed definitions under the SRA Indemnity Insurance Rules, and Annex 1 to those rules.

Decision details

This waiver was granted.

Outcome

Ernst and Young LLP may practise under cover that, while it does not itself meet all the requirements of the Solicitors Indemnity Insurance Rules and Annex 1 to those rules, we recognise it to be adequate cover and an acceptable substitution.

Reason

The waiver has been granted on the basis of detailed insurance information we have received from Ernst and Young LLP (EY). This has been assessed in line with our policy on multi-disciplinary practices and their insurance arrangements. 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 EYs insurance arrangements provide sufficient protection for consumers, and that granting this waiver is not contrary to our obligation to support the rule of law and the 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 EY must inform us of any material changes to the insurance arrangements.

Conditions

Should there be any material change in the terms and conditions of the insurance that Ernst and Young LLP holds, or a reduction to the level of primary cover, it must immediately inform the SRA and this waiver may be amended or revoked with immediate effect.

Exemption details

KPMG LLP of 15 Canada Square, London E14 5GL, has been granted a waiver from Indemnity rules

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

Details of rules applied for

Details of rules applied for Prescribed definitions under the SRA Indemnity Insurance Rules, and Annex 1 to those rules.

Decision details

This waiver was granted.

Outcome

KPMG LLP may practise under cover that, while it does not itself meet all the requirements of the Solicitors Indemnity Insurance Rules and Annex 1 to those rules, we recognise it to be adequate cover and an acceptable substitution.

Reason

The waiver has been granted on the basis of detailed insurance information we have received from KPMG LLP. This has been assessed in line with our policy on multi-disciplinary practices and their insurance arrangements. 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 KPMG LLPs insurance arrangements provide sufficient protection for consumers, and that granting this waiver is not contrary to our obligation to support the rule of law and the 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 KPMG LLP must inform us of any material changes to the insurance arrangements.

Conditions

Should there be any material change in the terms and conditions of the insurance that KPMG LLP holds, or a reduction to the level of primary cover, it must immediately inform the SRA and this waiver may be amended or revoked with immediate effect.

Exemption details

Riverview Law Limited of Hilbre Riverside Park, Southwood Road, Bromborough, Wirral CH62 3QX, has been granted a waiver from Indemnity rules

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

Details of rules applied for

Details of rules applied for Prescribed definitions under the SRA Indemnity Insurance Rules, and Annex 1 to those rules.

Decision details

This waiver was granted.

Outcome

Riverview Law Limited may practise under cover that, while it does not itself meet all the requirements of the Solicitors Indemnity Insurance Rules and Annex 1 to those rules, we recognise it to be adequate cover and an acceptable substitution.

Reason

The waiver has been granted on the basis of detailed insurance information we have received from Riverview Law Limited (Riverview), which is a subsidiary of an SRA-authorised multi-disciplinary practice (MDP). Riverview utilises the same insurance provisions as its parent, and that has been assessed in line with our policy on MDPs and their insurance arrangements. 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 Riverviews insurance arrangements provide sufficient protection for consumers, and that granting this waiver is not contrary to our obligation to support the rule of law and the 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 must inform us of any material changes to the insurance arrangements.

Conditions

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 this waiver may be amended or revoked with immediate effect.

Exemption details

Deloitte LLP of 1 New Street Square, London EC4A 3HQ, has been granted a waiver from Indemnity rules

This waiver is valid from 10 December 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Prescribed definitions under the SRA Indemnity Insurance Rules, and Annex 1 to those rules.

Decision details

This waiver was granted.

Outcome

Deloitte LLP may practise under cover that, while it does not itself meet all the requirements of the Solicitors Indemnity Insurance Rules and Annex 1 to those rules, we recognise it to be adequate cover and an acceptable substitution.

Reason

The waiver has been granted on the basis of detailed insurance information we have received from Deloitte LLP. This has been assessed in line with our policy on multi-disciplinary practices and their insurance arrangements. 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 Deloitte LLPs insurance arrangements provide sufficient protection for consumers, and that granting this waiver is not contrary to our obligation to support the rule of law and the 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 Deloitte LLP must inform us of any material changes to the insurance arrangements.

Conditions

Should there be any material change in the terms and conditions of the insurance that Deloitte LLP holds, or a reduction to the level of primary cover, it must immediately inform the SRA and this waiver may be amended or revoked with immediate effect.

Exemption details

Moore Kingston Smith LLP of Devonshire House, 60 Goswell Road, London EC1M 7AD, has been granted a waiver from Indemnity rules

This waiver is valid from 29 November 2019 and has no fixed end date.

Details of rules applied for

Details of rules applied for Prescribed definitions under the SRA Indemnity Insurance Rules, and Annex 1 to those rules.

Decision details

This waiver was granted.

Outcome

Moore Kingston Smith LLP may practise under cover that, while it does not itself meet all the requirements of the Solicitors Indemnity Insurance Rules and Annex 1 to those rules, we recognise it to be adequate cover and an acceptable substitution.

Reason

The waiver has been granted on the basis of detailed insurance information we have received from Moore Kingston Smith LLP. This has been assessed in line with our policy on multi-disciplinary practices and their insurance arrangements. 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 Moore Kingston Smith LLPs insurance arrangements provide sufficient protection for consumers, and that granting this waiver is not contrary to our obligation to support 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 Moore Kingston Smith LLP must inform us of any material changes to the insurance arrangements.

Conditions

Should there be any material change in the terms and conditions of the insurance that Moore Kingston Smith LLP holds, or a reduction to the level of primary cover, it must immediately inform the SRA and this waiver may be amended or revoked with immediate effect.

Exemption details

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

This waiver is valid from 13 November 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 Ashworth Limited will not require a COLP and COFA in order to be authorised as a recognised body.

Reason

Robert Ashworth Limited will not be a trading body and exists purely for the purpose of acting as a partner in the connected firm of Thompson Smith and Puxon. A COLP and COFA is required in a firm to ensure compliance with our regulations. If the firm itself is not practising or serving clients in any way there are few, if any, beaches which could occur. Waving the requirement for Robert Ashworth 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 Ashworth 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 the waiver due to the conditions, and that it does nothing to impede support of the rule of law and the 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 Ashworth Limited is appointed as, and remains, a partner in the authorised body Thompson Smith and Puxon (SRA number 56440). (b) Robert Ashworth Limited does not provide legal services except as a partner of Thompson Smith and Puxon. (c) Robert Ashworth Limited does not hold client money except as a partner of, and in the client account of, Thompson Smith and Puxon. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation Team within 14 days.

Exemption details

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

This waiver is valid from 12 November 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

Aileen Hirst Limited will not require a COLP and COFA in order to be authorised as a recognised body.

Reason

Aileen Hirst 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 few, if any, breaches that could occur. Waiving the requirement for Aileen Hirst 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 Aileen Hirst 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) Aileen Hirst Limited is appointed as, and remains, a partner in the authorised body, Thompson Smith and Puxton (SRA number 56440). (b) Aileen Hirst Limited does not provide legal services except as a partner of Thompson Smith and Puxton. (c) Aileen Hirst 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

Peninsula Business Services Limited, has been granted a waiver from Framework of practice: in-house

This waiver is valid from 30 September 2019 until 25 November 2019.

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

This allows solicitors employed by Peninsula Business Services Limited to provide unreserved legal activities to its members, without that work being limited to telephone advice only, and to describe themselves as solicitors in doing so

Reason

The applicant wanted its employed solicitors to be able to provide employment law advice to its members and to describe themselves as solicitors in doing so. Allowing solicitors to practise in reliance of their 'solicitor' title will enable the business to build consumer confidence. This is of public benefit as it facilitates access to cost effective legal services from qualified solicitors.

Conditions

(1) The employed solicitors do not carry out any reserved legal activities or immigration work, (2) Peninsula has in place professional indemnity insurance that is reasonably equivalent to that required to that required under the SRA Indemnity Insurance Rules, (3) that there is compliance with all relevant provisions in the SRA Handbook, including having in place systems and controls to identify potential conflicts of interest, (4) to ensure all staff receive training on client confidentiality, (5) clients of Peninsula are made aware of how the services provided by solicitors are regulated and the protections available to them, (6) Peninsula does not operate a client account, (7) the applicant provides agreed progress updates as and when requested, (8) the waiver is limited to 25 November 2019, (9) any change of circumstances to be notified, (10) the grant to be without prejudice to any other application

Exemption details

Parental Choice Limited , has been granted a waiver from Framework of practice: in-house

This waiver is valid from 30 September 2019 until 25 November 2019.

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

This allows Sarah-Jane Butler and solicitors employed by Parental Choice Limited to provide unreserved legal activities to Parental Choice Limited's clients and to describe themselves as solicitors in doing so.

Reason

The applicant wanted Parental Choice Limited's solicitors to be able to provide accountancy and consultancy legal services to its clients and to describe themselves as solicitors in doing so. Allowing solicitors to practise in reliance of their 'solicitor' title will enable the business to build consumer confidence and to increase its client base. This is of public benefit as it facilitates access to cost effective legal services from qualified solicitors

Conditions

(a) Parental Choice Limited has in place professional indemnity insurance reasonably equivalent to that required under the SRA Indemnity Insurance Rules, (b) Neither the company or the solicitors employed by the company can undertake reserved legal activities or immigration work, (c) The applicant provides agreed progress updates as and when requested, (d) There is compliance with all relevant provisions in the SRA Handbook, including having systems and controls in place to identify potential conflicts of interest, (e) To ensure that all staff receive training on client confidentiality, (f) Clients of Parental Choice Limited are made aware of how the services provided by its solicitors are regulated and the protections available to them, (g) The waiver is limited to 25 November 2019, (h) 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, (i) 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

GS Dispute Resolution Limited of 2a Isis Drive, Upminster, Essex RM14 1LJ, has been granted a waiver from COLP and COFA

This waiver is valid from 12 September 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

that GS Dispute Resolution 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

GS Dispute Resolution Limited will not be a trading body and exists purely for the purpose of acting as a shareholder of the connected firm, ELS Law Limited. 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 GS Dispute Resolution 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 GS Dispute Resolution 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) GS Dispute Resolution Limited is appointed as, and remains, a shareholder in the authorised body, ELS Law Limited (SRA number 631819). (b) GS Dispute Resolution Limited does not provide legal services except as a shareholder of ELS Law Limited. (c) GS Dispute Resolution Limited does not hold client money except as a shareholder of, and in the client account of, ELS Law Limited. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

Richard Spector Limited of 10-12 Ely Place, London EC1N 6RY, has been granted a waiver from COLP and COFA

This waiver is valid from 12 September 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 Spector 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

Richard Spector Limited will not be a trading body and exists purely for the purpose of acting as a shareholder of the connected firm, ELS Law Limited. 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 Richard Spector 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 Spector 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) Richard Spector Limited is appointed as, and remains, a shareholder in the authorised body ELS Law Limited (SRA number 631819) (b) Richard Spector Limited does not provide legal services except as a shareholder of ELS Law Limited. (c) Richard Spector Limited does not hold client money except as a shareholder of, and in the client account of, ELS Law Limited. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

Constant Team Limited of 1 Kings Avenue, London N21 3NA, has been granted a waiver from COLP and COFA

This waiver is valid from 12 September 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

Constant Team 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

Constant Team Limited will not be a trading body and exists purely for the purpose of acting as a shareholder of the connected firm, ELS Law Limited. 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 Constant Team 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 Constant Team 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) Constant Team Limited is appointed as, and remains, a shareholder in the authorised body, ELS Law Limited (SRA number 631819). (b) Constant Team Limited does not provide legal services except as a shareholder of ELS Law Limited. (c) Constant Team Limited does not hold client money except as a shareholder of, and in the client account of, ELS Law Limited. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

ALW Law Limited of 2 A C Court, High Street, Thames Ditton, Surrey KT7 0SR, has been granted a waiver from COLP and COFA

This waiver is valid from 12 September 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

ALW Law 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

ALW Law Limited will not be a trading body and exists purely for the purpose of acting as a shareholder of the connected firm, ELS Law Limited. 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 ALW 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 ALW Law 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) ALW Law Limited is appointed as, and remains, a shareholder in the authorised body, ELS Law Limited (SRA number 631819). (b) ALW Law Limited does not provide legal services except as a shareholder of ELS Law Limited. (c) ALW Law Limited does not hold client money except as a shareholder of, and in the client account of, ELS Law Limited. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

Legalman Limited of Kemp House, 160 City Road, London EC1V 2NX, has been granted a waiver from COLP and COFA

This waiver is valid from 12 September 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

Legalman 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

Legalman Limited will not be a trading body and exists purely for the purpose of acting as a shareholder of the connected firm, ELS Law Limited. 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 Legalman 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 Legalman 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) Legalman Limited is appointed as, and remains, a shareholder in the authorised body, ELS Law Limited (SRA number 631819). (b) Legalman Limited does not provide legal services except as a shareholder of ELS Law Limited. (c) Legalman Limited does not hold client money except as a shareholder of, and in the client account of, ELS Law Limited. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

Osman Aboubakr, has been granted a waiver from Framework of practice: in-house

This waiver is valid from 04 September 2019 until 25 November 2019.

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 UKCO to act for UKCO's clients

Reason

This waiver is granted in our 'space for innovation' The applicant wanted its employed solicitors to be able to provide corporate and commercial legal services to its clients and to describe themselves as solicitors in doing so. Allowing solicitors to practise in reliance of their 'solicitor' title will enable the business to build consumer confidence and to increase its client base. This is of public benefit as it facilitates access to cost effective legal services from qualified solicitors.

Conditions

1. The solicitors employed by UKCO do not undertake any reserved activities or immigration work; 2. There is compliance with the relevant provisions in the SRA Handbook, including having in place systems and procedures for identifying conflicts of interest and to ensure client confidentiality; 3. All UKCO staff receive training on client confidentiality; 4. Clients are made aware of how the employed solicitors are regulated and the differences in the protections available to them; 5. UKCO provide progress updates to us if they are requested to do so; 6. The solicitors employed by UKCO do not personally hold client money; 7. That we are notified of any material change of circumstances within 14 days; 8. The grant is without prejudice to any other application; 9. The waiver is granted until 25 November 2019 but is revocable on reasonable notice.

Exemption details

Kennedys Law LLP of 25 Fenchurch Avenue, London EC3M 5AD, has been granted a waiver from Definition of legally qualified body

This waiver is valid from 04 September 2019 until 25 November 2019.

Details of rules applied for

Details of rules applied for Rule 23.1 PFR applying the definition of legally qualified body to Rule 13.1(b) of the PFR.

Decision details

This waiver was granted.

Outcome

Kennedys Law LLP, as a recognised body, can have a member that meets the definition of a legally qualified person under section 9A(6) of the Administration of Justice Act 1985.

Reason

Kennedys Law LLP wishes to have the French entity of SELARL Nicolas Bouckaert as a member. Under Rule 13.1 of the SRA Practice Framework Rules 2011 (PFR), all managers and interest holders in a recognised body must be lawyers or legally qualified bodies. Our current definition of legally qualified body excludes SELARL Nicholas Bouckaert as its sole owner and manager is dual-qualified as a French avocat and a solicitor of England and Wales. This waiver substitutes our definition of legally qualified body in Rule 13.1 PFR with the definition of legally qualified person under section 9A(6) of the Administration of Justice Act 1985. This is the same definition that will be used under our new Standards and Regulations. By granting the waiver, we are ensuring Kennedys Law LLP can remain authorised with SELARL Nicholas Bouckaert as a member. With no non-authorised managers or interest holders, not granting the waiver would mean Kennedys Law LLP would be ineligible to be authorised as either a recognised body or a licensed body. This waiver is therefore 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. 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 LSA, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

Exemption details

Mark Harris, has been granted a waiver from Framework of practice: in-house

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 acting for NWSSP to act for Health Education and Improvement Wales

Reason

The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. A waiver would not undermine our public interest purpose, and it is reasonable in these circumstances to allow the applicants to act for the statutory body Health Education and Improvement Wales; the interests of consumers are protected due to the very limited nature of the waiver.

Conditions

(a) The Applicant must identify conflicts of interest and ensure that there are appropriate safeguards for confidentiality; (b) the Professional Ethics Unit of the Solicitors Regulation Authority must be notified in writing within 14 days of any change in the circumstances of the application; (c) 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

J L Robinson Limited of St Michaels, Queen Street, Derby, Derbyshire DE1 3SU , has been granted a waiver from COLP and COFA

This waiver is valid from 28 August 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

J L Robinson 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

J L Robinson Limited will not be a trading body and exists purely to be a manager and owner of the connected firm of Timms. 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 J L Robinson 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 J L Robinson 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) J L Robinson Limited is appointed as, and remains, a partner in the authorised body, Timms (SRA number 56618). (b) J L Robinson Limited does not provide legal services except as a partner of Timms. (c) J L Robinson Limited does not hold client money, except as a partner of, and in the client account of, Timms. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

Brett and Wilson Limited of Grant House, 56-60 St. John Street, London EC1M 4HG, has been granted a waiver from COLP and COFA

This waiver is valid from 23 August 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

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

Reason

Brett and Wilson Limited is not a trading body and exists purely to be a manager and owner of the trading firm, Brett Wilson LLP. 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 few, if any, breaches that could occur. Waiving the requirement for Brett and Wilson 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 Brett and Wilson 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 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 existing that would prevent us granting the waiver.

Conditions

(a) Brett and Wilson Limited is appointed as, and remains, a member in the authorised body, Brett Wilson LLP (SRA number 538174). (b) Brett and Wilson Limited does not provide legal services except as a member of Brett Wilson LLP. (c) Brett and Wilson Limited does not hold client money except as a member of, and in the client account of, Brett Wilson LLP. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation Team within 14 days.