Restrictions on services provided by a recognised body or recognised sole practice

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You are reading current version in effect from 25 November 2019

Glossary terms

recognised sole practice

means the practice of a sole solicitor or REL which is recognised by the SRA under section 9 of the AJA

solicitor

means a person who has been admitted as a solicitor of the Senior Courts of England and Wales and whose name is on the roll, save that in the SRA Indemnity Insurance Rules and the MTC this includes a person who practises as a solicitor whether or not the person has in force a practising certificate, and also includes practice under home title of a former REL who has become a solicitor

 

lawyer

means a member of one of the following professions, entitled to practise as such:

  1. the profession of solicitor, barrister or advocate of the UK;
  2. an authorised person other than one authorised by the SRA;
  3. an Establishment Directive profession other than a UK profession; and
  4. any other regulated legal profession specified by the SRA for the purpose of this definition
manager

means:

  1. the sole principal in a recognised sole practice;
  2. a member of a LLP;
  3. a director of a company;
  4. a partner in a partnership; or
  5. in relation to any other body, a member of its governing body
employee

means an individual who is:

  1. engaged under a contract of service by a person, firm or organisation or its wholly owned service company;
  2. engaged under a contract for services, made between a firm or organisation and:
    1. that individual;
    2. an employment agency; or
    3. a company which is not held out to the public as providing legal services and is wholly owned and directed by that individual, or


      under which the person, firm or organisation has exclusive control over the individual's time for all or part of the individual's working week, save that:

      1. for the purposes of the SRA Financial Services (Scope) Rules, means an individual who is employed in connection with the firm's regulated financial services activities under a contract of service or under a contract for services such that he or she is held out as an employee or consultant of the firm
      2. for the purposes of the SRA Indemnity Insurance Rules and the MTC, means any person other than a principal:
        1. employed or otherwise engaged in the insured firm's practice (including under a contract for services) including, without limitation, as a solicitor, lawyer, trainee solicitor or trainee lawyer, consultant, associate, locum tenens, agent, appointed person, office or clerical staff member or otherwise;

        2. seconded to work in the insured firm's practice; or
        3. seconded by the insured firm to work elsewhere,

        but does not include any person who is engaged by the insured firm under a contract for services in respect of any work where that person is required, whether under the SRA Indemnity Insurance Rules or under the rules of any other professional body, to take out or to be insured under separate professional indemnity insurance in respect of that work

and the term "employer" is to be construed accordingly