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

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.

Individual or firm waivers

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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.

Exemption details

Gladstones Holdings Limited of The High Legh Park Golf Club, High Legh Park, Knutsford, Cheshire WA16 6AA, has been granted a waiver from COLP and COFA

This waiver is valid from 19 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

Gladstone Holdings Limited will not require a COLP and a COFA in order to be authorised as a recognised body.

Reason

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

Conditions

(a) Gladstones Holdings Limited is appointed as, and remains, a shareholder in the authorised body, Gladstone Solicitors Limited (SRA number 559050). (b) Gladstones Holdings Limited does not provide legal services except as a shareholder of Gladstones Solicitors Limited. (c) Gladstones Holdings Limited does not hold client money except as a shareholder of, and in the client account of, Gladstones Solicitors Limited. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

Carters Solicitors Pontefract Limited of 33 Ropergate, Pontefract, West Yorkshire WF8 1LE, has been granted a waiver from COLP and COFA

This waiver is valid from 07 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

Carters Solicitors Pontefract Limited will not require a COLP and COFA in order to be authorised as a recognised body.

Reason

Carters Solicitors Pontefract Limited will not be a trading body and exists purely to be a manager and owner of the connected firm of Carters Solicitors 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 Carters Solicitors Pontefract 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 Carters Solicitors Pontefract Limited so it cannot trade or provide services to the public. If it wishes to do so in the future, the waiver will be revoked, and it will need to appoint a COLP and COFA. We are satisfied that adequate protection for consumers is maintained under this waiver due to the conditions, and that it does nothing to impede support of the rule of law and administration of justice. The waiver therefore does not undermine our public interest purpose. By granting the waiver subject to the specified conditions, we are satisfied the waiver meets all the requirements of our waivers policy. Specifically, it is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007, it best serves our public interest purpose, and no circumstances exist that would prevent us granting the waiver.

Conditions

(a) Carters Solicitors Pontefract Limited is appointed as, and remains, a member in the authorised body, Carters Solicitors LLP (SRA number 566519). (b) Carters Solicitors Pontefract Limited does not provide legal services except as a member of Carters Solicitors LLP. (c) Carters Solicitors Pontefract Limited does not hold client money, except as a member of, and in the client account of, Carters Solicitors LLP. (d) Any change in circumstances is to be notified in writing to the SRA Firm Based Authorisation team within 14 days.

Exemption details

Russell Orde Mishcon of 20 Reynolds Close London NW11 7EA, has been granted a waiver from Framework of practice: solicitors

This waiver is valid from 01 August 2019 until 25 November 2019.

Details of rules applied for

Details of rules applied for Rule 1 of SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

Granted with conditions

Reason

Granting the waiver will improve access to justice which is one of the SRA Regulatory objectives, a competing objective is the protection of consumers and this waiver poses minimal risk as it is limited to advising two commercial clients.

Conditions

Exemption details

Adeel Abrar of 14 Loxwood Close Walton Le Dale Preston PR5 4NQ who is a Solicitor has been denied a waiver from our requirement about Experience required to set up a firm.

Details of rules applied for

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

Decision details

This waiver was denied.

Outcome

Reason

The waiver conflicts with our regulatory objectives as set out in the waiver criteria. A waiver would undermine our public interest purpose, due to the applicant's lack of management experience

Exemption details

Cleggs Solicitors of Apex Court, Ruddington Lane, Wilford, Nottingham NG11 7DD, has been granted a waiver from Individual authorised manager

This waiver is valid from 07 August 2019 and has no fixed end date.

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

Cleggs Solicitors can be authorised as a licensed body without having to have an authorised individual manager.

Reason

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

Conditions

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

Exemption details

Shepherd and Wedderburn LLP of 10 St Pauls Churchyard London EC4M 8AL, has been granted a waiver from Qualifications of COLP/COFA

This waiver is valid from 29 July 2019 until 29 July 2022.

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

To allow Paul Hally a Scottish Solicitor to be the firm's COLP

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 applicant to appoint a Scottish solicitor Paul Hally as their COLP due to his seniority and compliance experience.

Conditions

1. That there is compliance with the SRA Handbook; 2. Paul Hally undergoes training on SRA regulation within three months; 3. That 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 time limited for three years, but revocable upon reasonable notice.

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

Alston & Bird (City) LLP of Octagon Point, 5 Cheapside, London EC2V 6AA, has been granted a waiver from Definition of 'partnership'

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

Details of rules applied for

Details of rules applied for Rule 23.1 PFR applying to the definition of 'partnership' in Rule 15.1 of the PFR..

Decision details

This waiver was granted.

Outcome

Alston & Bird (City) LLP, a body corporate partnership registered in Georgia, USA, can be authorised as a licensed body.

Reason

Rule 15.1 PFR was drafted with the express intention of allowing corporate partnerships to become authorised bodies. However, the word partnership was erroneously made a defined term, causing the rule to contradict itself. Without the waiver, Rule 15.1 essentially states that an authorised body partnership (which is not a body corporate) can be formed under the law of any country and may be a legal person. However, any partnership which is a legal person is a body corporate. Granting the waiver simply corrects an error in the drafting of that rule and enables Alston & Bird (City) LLP to be authorised in compliance with the rule as intended. 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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

Which Legal , a corporate owner manager of Neil Roberts, has been granted a waiver from Framework of practice: solicitors

This waiver is valid from 16 April 2019 until 25 November 2019.

Details of rules applied for

Details of rules applied for Rule 1 of SRA Practice Framework Rules 2011.

Decision details

This waiver was granted.

Outcome

Granted with conditions

Reason

Granting this waiver will improve access to justice for consumers which is affordable and is compatible with the SRA regulatory objective. A competing objective is protection of consumers and this is negated by the organisation having the benefit of suitable insurance and there is redress to the Legal Ombudsman. Solicitors will be able to support unqualified staff.

Conditions

The following conditions apply The solicitors do not carry our reserved legal activites or immigration work. The work is covered by indemnity insurance reasonably equivalent to that set out in the Solicitor Indemnity Insurance Rules. There is complaince with the SRA Handbook 2011 including suitable systems in place to identify conflicts of interest. To ensure all staff receive training on client confidentiality. The users of Which? Leal are made aware of how the services the solicitors provide are regulated and the protections available to them. The applicant provides agreed progress updates as and when required. To notify the SRA of changes in circumstances within 14 days.

Exemption details

Kempner and Partners LLP , a corporate owner manager of Jason Andrew Dainty, has been granted a waiver from Professional Indemnity Insurance requirements

This waiver is valid from 16 April 2019 until 16 April 2025.

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

Removal of requirement for run-off cover

Reason

By removing the requirement for run-off cover on the take-over of an SRA authorised firm by an IPReg authorised firm, this waiver promotes access to justice and competition in the provision of legal services. A condition which requires the IPReg firm to meet claims made against the closed SRA firm addresses the risk of reduced consumer protection to clients of the SRA firm.

Conditions

That Haseltine Lake LLP (the IPReg firm) effects and maintains insurance that will meet historic claims against the applicant after its closure. This insurance must comply with IPReg MTC; * If the IPReg firm changes it insurer from PAMIA, they ensure that their new insurer will also meet historic claims against the applicant after its closure, and that this insurance must comply with IPReg MTC; * For six years from the grant of this waiver, we are notified of any material change of circumstances within 14 days; * The grant is without prejudice to any other application;

Exemption details

Cuatrecasas Goncalves Pereira LLP, has been granted a waiver from Framework of practice: registered European lawyer (RELs)

This waiver is valid from 15 February 2019 until 14 February 2022.

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

Waiver allows RELS to practise through Cuartrecasa Goncalves Pereira LLP which is not an Exempt European Practice

Reason

This is a renewal of a waiver which was originally granted on 16 February 2016 to allow RELs to practise through the Applicant firm, despite the Applicant not being an Exempt European Practice as its main place of business was in London. The Applicants circumstances are unchanged since 2016. There is sufficient regulatory oversight of the Applicant and the individual RELs practising through the Applicant. Granting this waiver will improve access to justice, which is one of the SRAs regulatory objectives. The interests of consumers will be protected by the conditions to the waiver, which prohibit the provision of reserved legal activities and require professional indemnity insurance equivalent to that required for authorised firms.

Conditions

1. no member, interest holder, manager or employee of the Applicant is a practising solicitor of England and Wales 2. no member or interest holder of the Applicant is a lawyer of England and Wales practising as such or an authorised body 3. Any REL who is a member, manager or employee of the Applicant or, who conducts work on behalf of the Applicant, does not themselves do or supervise or assume responsibility for doing any of the following: 3.1. the drawing or preparing of any instrument or papers comprising reserved legal activities under section 12(1)(c) or (d) of the Legal Services Act 2007 3.2. exercising any right of audience, or right to conduct litigation (including making any application or lodging any document relating to litigation), before a court or immigration tribunal; or 3.3. providing any immigration advice or immigration services, unless the employer, or a senior fellow employee, is registered with the Immigration Services Commissioner 4. the Applicant does not carry on any reserved legal activities 5. the Applicant maintains professional indemnity insurance reasonably equivalent to that required under the SRA Indemnity Insurance Rules to cover any work done for its clients. 6. any REL who is a member, manager, interest holder or employee of the Applicant or, who conducts work on behalf of the Applicant, must: 6.1. inform their client that the Applicant is not regulated by the SRA and that the SRA's compulsory insurance scheme does not apply, and must either give or confirm this information in writing; and 6.2. ensure that if they are identified on the notepaper of the Applicant as a REL the notepaper also states that the Applicant is not regulated by the SRA. 7. the SRA Handbook 2011 shall apply to any REL who is a member, manager, interest holder or employee of the Applicant or, who conducts work on behalf of the Applicant, as though they are practising in an Exempt European Practice 8. any change of circumstances to be notified 9. the grant to be without prejudice to any other application.

Exemption details

LCP Management Limited, has been granted a waiver from Framework of practice: in-house

This waiver is valid from 25 March 2019 until 25 March 2022.

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

The waiver is granted to the solicitors employed by LCP Management Limited to enable them to act for Sheet Anchor Properties Investments Limited.

Reason

Granting this waiver will improve access to justice, which is one of the SRAs regulatory objectives. A waiver will promote competition in the provision of services. A competing objective is the protection of consumers, and this waiver poses a nominal risk to consumer protection. We are satisfied that consumer protection is maintained.

Conditions

that the applicants satisfy themselves as to whether their employer needs to be authorised as per section 15.(4)of the Legal Services Act 2007, that there is compliance with the SRA Handbook, that we are notified of any material change of circumstances within 14 days, that the grant is without prejudice to any other application and that the grant is time limited to three years, but revocable upon reasonable notice.

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

LawWorks Clinics, has been granted a waiver from Complaints handling

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

Exemption details

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

Details of rules applied for

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

Decision details

This waiver was denied.

Outcome

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

Reason

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

Exemption details

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

Details of rules applied for

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

Decision details

This waiver was denied.

Outcome

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

Reason

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

The waiver does not conflict with any of our regulatory objectives as set out in the waiver criteria. A waiver will not undermine our public interest purpose. It is reasonable in these specific circumstances to waive the Compensation Fund contribution. The Applicant firm is dormant and does not trade. There is a sister firm with the same owners and managers that still actively practises, and which has paid its own contribution. During the 2017/2018 period the Applicant firm held only a single residual balance of £57.50, which related to one historic matter. This has now been paid out. The risk of a claim on the Compensation Fund is nominal only.

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

Details of rules applied for

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

Decision details

This waiver was denied.

Outcome

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

Reason

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

The Applicant does not need to appoint compliance officers

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

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

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

The background to this application is that as a result of the Policing and Crime Act 2017, the government requires greater collaboration between emergency services, including fire and rescue services. Currently the rules do not permit the in-house solicitors of Derbyshire Constabulary to provide legal services to the Northamptonshire Fire and Rescue Service. We are satisfied the waiver meets the requirements of our waivers policy. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007. There are no risks to consumer protection and the waiver does not otherwise undermine the public interest. Granting this waiver will improve access to justice for the Northamptonshire Fire and Rescue Service and enable Derbyshire Constabulary to meet its own statutory obligations. A waiver protects and promotes the public interest by allowing savings out of shared resources. It permits police and fire legal services collaboration as envisaged by the Policing and Crime Act 2017. Both organisations are public bodies and subject to financial and governance scrutiny. Derbyshire Constabulary (in-house legal department) will only provide services to the Northamptonshire Fire and Rescue Service.

Conditions

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

Exemption details

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

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

Details of rules applied for

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

Decision details

This waiver was granted.

Outcome

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

Reason

The background to this application is that Schneider Investments Associates LLP has entered a joint venture arrangement. That joint venture has established a company in which Schneider Investments Associates LLP is the 50% shareholder. That company itself wholly owns two subsidiaries companies. Schneider Investments Associates LLP's in-house legal team is unable to act for these two subsidiary companies as that is outside the permitted exception at rule 4.7. We are satisfied the waiver meets the requirements of our waivers criteria. It is compatible with the regulatory objectives in section 1 of the Legal Services Act 2007 and serves our public interest purpose. There are nominal risks to consumer protection as Schneider Investments Associates LLP's in-house solicitors will not provide legal services directly to the public, and the waiver does not otherwise undermine the public interest.

Conditions

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

Exemption details

Mohsin Masaud of Masaud Solicitors, 430 Cheetham Hill Road, Manchester, M8 9LE , has been granted a waiver from