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You are reading current version in effect from 25 November 2019

Guidance

Guidance

Reporting duties under the SRA Overseas Rules - Guidance

Guidance: To explain your duties to report matters to us under the SRA Overseas and Cross Border Practice Rules.

Glossary terms

regulated individual

means:

  1. a solicitor;
  2. an REL; and
  3. a manager, member or owner of an overseas practice.
practising overseas

means the conduct of a practice:

  1. of an overseas practice;
  2. of a manager, member or owner of an overseas practice in that capacity;
  3. of a solicitor established outside England and Wales for the purpose of providing legal services in an overseas jurisdiction; and
  4. of an REL established in Scotland or Northern Ireland for the purpose of providing legal services in those jurisdictions
SRA Code of Conduct for Individuals

means SRA Code of Conduct for Solicitors, RELs and RFLs

responsible authorised body

in respect of an overseas practice means the authorised body referred to in whichever of paragraph (a) to (f) of the definition of "overseas practice" is applicable to that practice

overseas practice

means:

  1. a branch office of an authorised body;
  2. a subsidiary company of an authorised body;
  3. a subsidiary undertaking, within the meaning of section 1162 of the Companies Act 2006, of an authorised body;
  4. an entity whose business, management or ownership are otherwise in fact or law controlled by an authorised body;
  5. an individual acting as a representative (whether as an employee or agent) of an authorised body; or
  6. a sole principal whose business, management or ownership are otherwise in fact or law controlled by an authorised body,

established outside England and Wales and providing legal services

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
member

means:

  1. in relation to a company, a person who has agreed to be a member of the company and whose name is entered in the company's register of members; and
  2. in relation to an LLP, a member of that LLP
owner

means, in relation to a body, a person with any interest in the body, save that:

  1. in the SRA Authorisation of Firms Rules, and the SRA Authorisation of Individuals Regulations, owner means any person who holds a material interest in an authorised body, and in the case of a partnership, any partner regardless of whether they hold a material interest in the partnership; and
  2. for the purposes of the SRA Principles and the SRA Code of Conduct for Firms means a person who holds a material interest in the body; and
  3. for the purposes of the SRA Assessment of Character and Suitability Rules includes owners who have no active role in the running of the business as well as owners who do,

and "own" and "owned" shall be construed accordingly

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

 

REL

means a European lawyer registered in the register of European lawyers

client

means the person for whom you act and, where the context permits, includes prospective and former clients

in the SRA Financial Services (Scope) Rules, in relation to any regulated financial services activities carried on by an authorised body for a trust or the estate of a deceased person (including a controlled trust), means the trustees or personal representatives in their capacity as such and not any person who is a beneficiary under the trust or interested in the estate

asset

includes money, documents, wills, deeds, investments and other property