Legalize / United Kingdom / Public General Act

Solicitors (Scotland) Act 1980

Type Public General Act

Publication 1980-08-01

Last updated 2026-03-05

State In force

Department Statute Law Database

Source legislation.gov.uk

articles Not indexed

Reform history JSON API

(2A) In the case of an incorporated practice, it shall within 21 days of the material date satisfy the Council that it has made suitable arrangements for making available to its clients or to some other solicitor or solicitors or incorporated practice instructed by its clients or itself—

(a) all deeds, wills, securities, papers, books of accounts, records, vouchers and other documents in its possession or control which are held on behalf of its clients or which relate to any trust of which it is sole trustee or co-trustee only with one or more of its employees; and

(b) all sums of money due from it or held by it on behalf of its clients or subject to any trust as aforesaid.

(3A) If the solicitor or, as the case may be, the incorporated practice fails so to satisfy the Council, the Council may—

(a) require the production or delivery to any person appointed by them at a time and place fixed by them of the documents mentioned in subsection (3B);

(b) take possession of all such documents; and

(c) apply to the Court for an order that no payment be made by any banker, building society or other body named in the order out of any banking account or any sum deposited in the name of the solicitor or his firm or, as the case may be, the incorporated practice without the leave of the Court and the Court may make such order.

(3B) The documents are—

(a) all books, accounts, deeds, securities, papers and other documents in the possession or control of the solicitor or his firm or, as the case may be, the incorporated practice;

(b) all books, accounts, deeds, securities, papers and other documents relating to any trust of which the solicitor is a sole trustee or is a co-trustee only with one or more of his partners or employees or, as the case may be, of which the incorporated practice or one of its employees is a sole trustee or of which the practice is a co-trustee only with one or more of its employees.

(4) If the solicitor, immediately before the striking off or, as the case may be, the suspension,was a sole solicitor, the right to operate on, or otherwise deal with, any client account in the name of the solicitor or his firm shall on the occurrence of that event vest in the Society (notwithstanding any enactment or rule of law to the contrary) to the exclusion of any other person.

(4A) Where—

(a) a solicitor is restricted from acting as a principal; and

(b) immediately before the restriction the solicitor was a sole solicitor,

the right to operate on, or otherwise deal with, any client account in the name of the solicitor or the solicitor's firm shall on the occurrence of those circumstances vest in the Society (notwithstanding any enactment or rule of law to the contrary) to the exclusion of any other person until such time as the Council have approved acceptable other arrangements in respect of the client account.

(4B) Part II of Schedule 3 has effect in relation to the powers of the Council under subsection (3A).

(5) In this section—

“material date” means whichever is the latest of—the date when the order of the Tribunal or Court by or in pursuance of which the solicitor is struck off the roll or suspended from practice or, as the case may be, the recognition under section 34(1A) is revoked. is to take effect;the last date on which—an appeal against that order may be lodged or an application may be made to the Court under section 54(2), oran appeal against a decision of the Council under section 40 may be lodged;the date on which any such appeal is dismissed or abandoned; . . .

“principal” means a solicitor who is a sole practitioner or is a partner in a firm of two or more solicitors or is a director of an incorporated practice which is a company or a solicitor who is a member of a multi-national practice having its principal place of business in Scotland;

“sole solicitor” means a solicitor practising under his own name or as a single solicitor under a firm name.

Safeguarding interests of clients in other cases

46

(1) Where the Council are satisfied that a sole solicitor is incapacitated by illness or accident to such an extent as to be unable to operate on, or otherwise deal with, any client account in the name of the solicitor, or his firm, and that no other arrangements acceptable to the Council have been made, the right to operate on, or otherwise deal with, that account shall vest in the Society (notwithstanding any enactment or rule of law to the contrary) to the exclusion of any other person so long, but only so long, as the Council are satisfied that such incapacity and absence of other acceptable arrangements continues.

(2) Where a sole solicitor ceases to practise for any reason other than that his name has been struck off the roll or that he has been suspended from practice, and the Council are not satisfied that suitable arrangements have been made for making available to his clients or to some other solicitor or solicitors instructed by his clients or on their behalf—

(a) all deed, wills, securities, papers, books of accounts, records, vouchers and other documents in his or his firm’s possession or control which are held on behalf of his clients or which relate to any trust of which he is the sole trustee, or a co-trustee only with one or more of his employees, and

(b) all sums of money due from him or his firm or held by him or his firm on behalf of his clients or subject to any such trust as aforesaid,

the Council may do any of the things mentioned in subsection (3A).

(3) Where the sole solicitor dies—

(a) the right to operate on or otherwise deal with any client account in the name of the solicitor or his firm shall vest in the Society (notwithstanding any enactment or rule of law to the contrary) to the exclusion of any personal representatives of the solicitor, and shall be exercisable as from the death of the solicitor; and

(b) if the Council are not satisfied that suitable arangements have been made for making available to the solicitor’s clients or to some other solicitor or solicitors instructed by his clients or on their behalf—

(i) all deeds, wills, securities, papers, books of accounts, records, vouchers and other documents which were in his or his firm’s possession or control which were held on behalf of his clients or which relate to any trust of which he was the sole trustee, or a co-trustee only with one or more of his employees, and

(ii) all sums of money which were due from him or his firm or were held by him or his firm on behalf of his clients or subject to any such trust as aforesaid,

the Council may do any of the things mentioned in subsection (3A).

(3A) The things are to—

(a) require the production or delivery to any person appointed by the Council at a time and a place fixed by them of the documents mentioned in subsection (3B);

(b) take possession of all such documents; and

(c) apply to the Court for an order that no payment be made by any banker, building society or other body named in the order out of any banking account or any sum deposited in the name of the solicitor or his firm without the leave of the Court and the Court may make such order.

(3B) The documents are—

(a) all books, accounts, deeds, securities, papers and other documents in the possession or control of the solicitor or his firm;

(b) all books, accounts, deeds, securities, papers and other documents relating to any trust of which he is a sole trustee or is a co-trustee only with one or more of his employees.

(4) In a case where the Society have operated on or otherwise dealt with a client account by virtue of subsection (3) the Society shall be entitled to recover from the estate of the solicitor who has died such reasonable expenses as the Society have thereby incurred.

(4A) Part II of Schedule 3 has effect in relation to the powers of the Council under subsection (2) or (3).

(5) In this section “sole solicitor” has the same meaning as in section 45.

Restriction on employing solicitor struck off or suspended

47

(1) Unless he has the written permission of the Council to do so, a solicitor shall not, in connection with his or, as the case may be, its practice as a solicitor, employ or remunerate any person who to his knowledge is disqualified from practising as a solicitor and, unless it has such permission, an incorporated practice shall not by reason of the fact that his name has been struck off the roll or that he is suspended from practice as a solicitor.

(2) Any permission given by the Council for the purposes of subsection (1) may be given for such period and subject to such conditions as the Council think fit.

(3) A solicitor or, as the case may be, incorporated practice aggrieved by the refusal of the Council to grant any such permission as aforesaid, or by any conditions attached by the Council to the grant thereof, may appeal to the Court; and on any such appeal the Court may give such directions in the matter as it thinks fit.

(4) If any solicitor acts in contravention of this section or of any condition subject to which any permission has been given thereunder, his name shall be struck off the roll or he shall be suspended from practice as a solicitor for such period as the Tribunal, or, in the case of an appeal, the Court, may think fit and if any incorporated practice so acts its recognition under section 34(1A) shall be revoked.

Restriction on number of apprentices

48

Part IV — Complaints and Disciplinary Proceedings

Lay Observer

Investigation by lay observer of Society's treatment of complaints

49

The Scottish Solicitors’ Discipline Tribunal

The Tribunal

50

(1) For the purposes of this Part of this Act and sections 16 to 23 (which relate to the provision of conveyancing and executry services) of the 1990 Act there shall be a tribunal, which shall be known as the Scottish Solicitors’ Discipline Tribunal and is in this Act referred to as “the Tribunal”.

(2) Part I of Schedule 4 shall have effect in relation to the constitution of the Tribunal.

Complaints to Tribunal

51

(1) A complaint may be made to the Tribunal by the Council; and, for the purpose of investigating and prosecuting complaints, the Council may appoint a solicitor to act as fiscal.

(1A) In subsection (1) above, without prejudice to the generality of that subsection, the reference to a complaint includes a complaint in respect of conveyancing and executry practitioners and the provision by them of conveyancing and executry services (those expressions having the meanings given in section 23 of the 1990 Act).

(2) The persons mentioned in subsection (3) may report to the Tribunal any case where it appears that . . . an incorporated practice may have failed to comply with any provision of this Act or of rules made under this Act applicable to it. . . , and any such report shall be treated by the Tribunal as a complain under subsection (1).

(2A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) The persons referred to in subsection (2) are—

(a) the Lord Advocate;

(aa) the Advocate General for Scotland

(b) any judge;

(ba) the Dean of the Faculty of Advocates;

(ca) the auditor of the Sheriff Appeal Court,

(d) the Auditor of any sheriff court.

(e) the Scottish Legal Aid Board.

(f) the Scottish legal services ombudsman.

(4) Where a report is made to the Tribunal under subsection (2) the Tribunal may, if it thinks fit, appoint a solicitor to prosecute the complaint and the expenses of the solicitor, so far as not recoverable from the solicitor complained against, shall be paid out of the funds of the Tribunal.

Procedure on complaints to Tribunal

52

(1) Part II of Schedule 4, shall have effect in relation to the procedure and powers of the Tribunal in relation to any complaint or appeal concerning a solicitor or an incorporated practice.

(2) Subject to the other provisions of this Part , the provisions of sections 16 to 23 of the 1990 Act, and of any rules of court made under this Act, the Tribunal, with the concurrence of the Lord President, may make rules—

(a) for regulating the making, hearing and determining of complaints made to it under this Act; and

(aa) for regulating the making, hearing and determining of appeals made to it under section . . . 42ZA(9), (10), (11) or (12), 42ZD(1) or 53D(1);

(ab) for regulating the making, hearing and determining of—

(i) inquiries under subsection (2A) of section 20 of the 1990 Act; and

(ii) appeals under subsection (8A)(b), (11)(b) or (11ZC) of that section.

(iii) appeals under section 20ZB(9), (10), (11) or (12) or 20ZE(1) of that Act;

(b) generally as to the procedure of the Tribunal (including provision for hearings taking place in public or wholly or partly in private).

(3) Rules made by the Tribunal under subsection (2) for regulating the making, hearing or determining of appeals referred to in paragraph (aa) or (ab)(ii) of that subsection may include provision as to persons being entitled, or required by the Tribunal, to appear or be represented at the appeal.

Powers of Tribunal

53

(1) Subject to the other provisions of this Part, the powers exercisable by the Tribunal under subsection (2) shall be exercisable if—

(a) after holding an inquiry into a complaint against a solicitor the Tribunal is satisfied that he has been guilty of professional misconduct, or

(b) a solicitor has (whether before or after enrolment as a solicitor), been convicted by any court of an act involving dishonesty (other than a conviction for an economic crime offence) or has (other than in relation to a conviction for an economic crime offence) been fined an amount equivalent to level 4 on the standard scale or more (whether on summary or solemn conviction) or sentenced to imprisonment for a term of 12 months or more , or

(ba) a solicitor has (whether before or after enrolment as a solicitor) been convicted by any court of an economic crime offence, or

(c) an incorporated practice has been convicted by any court of an offence (other than a conviction for an economic crime offence), which conviction the Tribunal is satisfied renders it unsuitable to continue to be recognised under section 34(1A); or

(ca) an incorporated practice has been convicted by any court of an economic crime offence, which conviction the Tribunal is satisfied renders it unsuitable to continue to be recognised under section 34(1A), or

(d) after holding an inquiry into a complaint, the Tribunal is satisfied that an incorporated practice has failed to comply with any provision of this Act or of rules made under this Act applicable to it.

(2) Subject to subsection (1), the Tribunal may—

(a) order that the name of the solicitor be struck off the roll; ...

(aa) if the solicitor's name has been removed from the roll under section 9, by order prohibit the restoration of the solicitor's name to the roll;

(b) order that the solicitor be suspended from practice as a solicitor for such time as it may determine; ...

(ba) order that any right of audience held by the solicitor by virtue of section 25A be suspended or revoked;

(bb) where the solicitor has been guilty of professional misconduct, and where the Tribunal consider that the complainer has been directly affected by the misconduct, direct the solicitor to pay compensation of such amount, not exceeding £5,000, as the Tribunal may specify to the complainer for loss, inconvenience or distress resulting from the misconduct;

(bc) where—

(i) an incorporated practice has been convicted, or has been found to have failed, as referred to in subsection (1)(c) or (d), and

(ii) the Tribunal consider that the complainer has been directly affected by any misconduct by the practice to which the conviction or failure is (to any extent) attributable,

direct the practice to pay to the complainer compensation (for loss, inconvenience or distress resulting from the misconduct) of such amount not exceeding £5,000 as the Tribunal may specify;

(c) subject to subsection (3ZA), impose on the solicitor or, as the case may be, the incorporated practice a fine not exceeding £10,000; ...

(ca) where the Tribunal is proceeding on the ground in subsection (1)(ba) or (1)(ca), or where subsection (2A) or (2B) applies, impose on the solicitor or, as the case may be, the incorporated practice, a fine of any amount;

(d) censure the solicitor or, as the case may be, the incorporated practice; ...

(e) impose such fine and censure him or, as the case may be, it...

(f) order that the recognition under section 34(1A) of the incorporated practice be revoked; or

(g) order that an investment business certificate issued to a solicitor, a firm of solicitors or an incorporated practice be—

(i) suspended for such time as they may determine; or

(ii) subject to such terms and conditions as it may direct; or

(iii) revoked.

(2A) This subsection applies where the Tribunal is proceeding on the ground referred to in subsection (1)(a) and—

(a) the solicitor has, in relation to the subject matter of the Tribunal’s inquiry, been convicted by any court of an economic crime offence, or

(b) the misconduct referred to in subsection (1)(a) consisted of an act or omission which had the effect of inhibiting the prevention or detection of an economic crime offence.

(2B) This subsection applies where the Tribunal is proceeding on the ground referred to in subsection (1)(d) and the incorporated practice has—

(a) in relation to the subject matter of the Tribunal’s inquiry, been convicted by any court of an economic crime offence, or

(b) failed to comply with a provision or rule as referred to in subsection (1)(d) and—

(i) the failure consisted of an act or omission which had the effect of inhibiting the prevention or detection of an economic crime offence, or

(ii) the provision or rule applies only for purposes relating to the prevention or detection of an economic crime offence.

(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3ZA) The Tribunal shall not impose a fine under subsection (2)(c)—

(a) where the Tribunal is proceeding on the ground referred to in subsection (1)(a) and the solicitor, in relation to the subject matter of the Tribunal's inquiry, has been convicted by any court of an act involving dishonesty (not being an economic crime offence) and sentenced to a term of imprisonment of not less than 2 years;

(b) where the Tribunal is proceeding on the ground referred to in subsection (1)(b) , (1)(ba) or (1)(ca);

(3A) The powers conferred by subsection (2)(bb) to (e) may be exercised by the Tribunal—

(a) in relation to a former solicitor, notwithstanding that his name has been struck off the roll or that he has, since the date of the misconduct, conviction or sentence referred to in subsection (1)(a), (b) or (ba), ceased to practise as a solicitor or been suspended from practice;

(b) in relation to a body corporate which was formerly an incorporated practice, notwithstanding that the body has, since the date of the conviction or failure referred to in subsection (1)(c), (ca) or (d), ceased to be recognised as an incorporated practice by virtue of section 34(1A).

(3B) The power conferred by subsection (2)(ba) may be exercised by the Tribunal either independently of, or in conjunction with, any other power conferred by that subsection.

(4) Any fine imposed by the Tribunal under subsection (2) shall be forfeit to Her Majesty.

(5) Where the Tribunal have exercised the power conferred by subsection (2) to censure, or impose a fine on, a solicitor, or both to censure and impose a fine, the Tribunal may order that the solicitor’s practising certificate shall be subject to such terms and conditions as the Tribunal may direct; and the Council shall give effect to any such order of the Tribunal.

(6) Where the Tribunal order that the name of a solicitor be struck off the roll, or that the solicitor be suspended from practice as a solicitor or that any right of audience held by the solicitor by virtue of section 25A be suspended or revoked, the Tribunal may direct that the order shall take effect on the date on which it is intimated to the solicitor; and if any such direction is given the order shall take effect accordingly.

(6A) Where the Tribunal order that the recognition under section 34(1A) of an incorporated practice be revoked, the Tribunal shall direct that the order shall take effect on such date as the Tribunal specifies, being a date not earlier than 60 days after its order is intimated to the incorporated practice, and such an order shall take effect accordingly.

(6B) Where the Tribunal make an order under subsection (2)(g), they may direct that the order shall take effect on the date on which it is intimated to the solicitor, firm or incorporated practice; and if any such direction is given the order shall take effect accordingly.

(6C) The Council shall give effect to any order of the Tribunal under subsection (2)(g).

(7) Where in relation to any such order as is mentioned in subsection (6) ,(6A) or (6B) the Tribunal give a direction under subsection (6) or, as the case may be, subsection (6A)or (6B), and an appeal against the order is taken to the Court under section 54, the order shall continue to have effect pending the determination or abandonment of the appeal unless, on an application under subsection (2) of section 54, the Court, otherwise directs.

(7A) In subsection (2)(g), section 53D(1) and paragraph 16(h) of Schedule 4, “ investment business certificate ” means a certificate issued by the Council under Rule 2.2 of the Solicitors (Scotland) (Conduct of Investment Business) Practice Rules 1988.

(7B) A direction of the Tribunal under this section is enforceable in like manner as an extract registered decree arbitral in its favour bearing a warrant for execution issued by the sheriff court of any sheriffdom in Scotland.

(7C) The Scottish Ministers may by order made by statutory instrument, after consulting the Council and such groups of persons representing consumer interests as they consider appropriate, amend paragraph (bb) or (bc) of subsection (2) by substituting for the amount for the time being specified in that paragraph such other amount as they consider appropriate.

(7D) A statutory instrument containing an order under subsection (7C) is not to be made unless a draft of the instrument has been laid before, and approved by resolution of, the Scottish Parliament.

(8) The Secretary of State may, by order made by statutory instrument subject to annullment in pursuance of a resolution of either House of Parliament, amend —

(a) paragraph ( c ) of subsection (2) by substituting for the amount for the time being specified in that paragraph such other amount as appears to him to be justified by a change in the value of money.

(b) the definition of “ investment business certificate ” in subsection (7A) by substituting for the reference to Rule 2.2 of the Solicitors (Scotland) (Conduct of Investment Business) Practice Rules 1988, or such reference replacing that reference as may for the time being be specified in that subsection, a reference to such Practice Rule as may from time to time replace Rule 2.2.

(9) In subsection (2)(bb) and (bc) , “ complainer ” has the same meaning as in section 42ZA.

(9A) In this section, an economic crime offence means an economic crime within the meaning given by section 193(1) of the Economic Crime and Corporate Transparency Act 2023.

(10) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(11) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Appeals from decisions of Tribunal

54

(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(1A) A solicitor or an incorporated practice may, before the expiry of the period of 21 days beginning with the day on which any decision by the Tribunal mentioned in subsection (1B) is intimated to him or, as the case may be, it appeal to the Court against the decision.

(1B) The decision is—

(a) where the Tribunal was satisfied as mentioned in section 53(1)(a), the finding that the solicitor has been guilty of professional misconduct;

(b) where the Tribunal was satisfied as mentioned in section 53(1)(d), the finding that the incorporated practice has failed to comply with any provision of this Act or of any rule made under this Act applicable to the practice;

(c) in any case falling within paragraph (a) or (b), or where the decision was made because of the circumstances mentioned in section 53(1)(b) or (c), any decision under section 53(2) or (5).

(1C) The Council may, before the expiry of the period of 21 days beginning with the day on which a decision by the Tribunal under section 53(2) or (5) is intimated to them, appeal to the Court against the decision; but the Council may not appeal to the Court against a decision of the Tribunal under section 53(2)(bb) or (bc) .

(1D) Where the Tribunal has found that a solicitor has been guilty of professional misconduct but has not directed him under section 53(2)(bb) or (bc) to pay compensation, the complainer may, before the expiry of the period of 21 days beginning with the day on which the Tribunal's finding is intimated to him, appeal to the Court against the decision of the Tribunal not to make a direction under that subsection.

(1E) A complainer to whom the Tribunal has directed a solicitor under section 53(2)(bb) or (bc) to pay compensation may, before the expiry of the period of 21 days beginning with the day on which the direction under that subsection is intimated to him, appeal to the Court against the amount of the compensation directed to be paid.

(1F) On an appeal under any of subsections (1A) to (1E), the Court may give such directions in the matter as it thinks fit, including directions as to the expenses of the proceedings before the Court and as to any order by the Tribunal relating to expenses.

(1G) A decision of the Court under subsection (1A), (1B), (1C), (1D), (1E) or (1F) shall be final.

(2) Where

(a) the Tribunal has exercised the power conferred by section 53(6) to direct that its decision shall take effect on the date on which it is intimated to the solicitor concerned, the solicitor may, within 21 days of that date, apply to the Court for an order varying or quashing the direction in so far as it relates to the date of taking effect ;

(b) the Tribunal has ordered the revocation of the recognition under section 34(1A) of an incorporated practice, the incorporated practice may within 21 days of the date when the order is intimated to it apply to the court for an order varying (subject to the limit of 60 days referred to in subsection (6A) of section 53) the direction under that subsection;

(c) the Tribunal has exercised the power conferred by section 53(6B) to direct that its order shall take effect on the day on which it is intimated to the solicitor, firm of solicitors or incorporated practice concerned, the solicitor, firm of solicitors or incorporated practice may, before the expiry of the period of 21 days beginning with that day, apply to the court for an order varying or quashing the direction in so far as it relates to the day on which the order takes effect;

and on any such application the Court may make the order applied for or such other order with respect to the matter as it thinks fit.

(2A) In subsections (1D) and (1E), “complainer” has the same meaning as in section 42ZA.

(2B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

The Court

Powers of Court

55

(1) In the case of professional misconduct by any solicitor the Court may—

(a) cause the name of that solicitor to be struck off the roll; or

(b) suspend the solicitor from practice as a solicitor for such period as the Court may determine; or

(ba) suspend the solicitor from exercising any right of audience held by him by virtue of section 25A for such period as the court may determine; or

(bb) revoke any right of audience so acquired by him; or

(bc) where the Court considers that the complainer has been directly affected by the misconduct, direct the solicitor to pay compensation of such amount, not exceeding £5,000, as it may specify to the complainer for loss, inconvenience or distress resulting from the misconduct; or

(d) censure him; and in any of those events,

(e) find him liable in any expenses which may be involved in the proceedings before the Court.

(2) Subject to subsection (3), a decision of the Court under this section shall be final.

(3) A solicitor whose name has been struck off the roll in pursuance of an order made by the Court under subsection (1), may apply to the Court for an order directing his name to be restored to the roll and the Court may make such order.

(3A) A solicitor whose rights of audience under section 25A have been revoked in pursuance of an order made by the court under subsection (1) may apply to the court for an order restoring those rights, and the court may make such order.

(4) An application under subsection (3) shall be by way of petition and intimation of any such petition shall be made to the Tribunal who shall be entitled to appear and to be heard in respect of the application.

(5) The Scottish Ministers may by order made by statutory instrument—

(a) after consulting the Council and such groups of persons representing consumer interests as they consider appropriate, amend paragraph (bc) of subsection (1) by substituting for the amount for the time being specified in that paragraph such other amount as they consider appropriate;

(b) amend paragraph (c) of subsection (1) by substituting for the amount for the time being specified in that subsection such other amount as appears to them to be justified by a change in the value of money.

(6) A statutory instrument containing an order under—

(a) subsection (5)(a) is not to be made unless a draft of the instrument has been laid before, and approved by resolution of, the Scottish Parliament;

(b) subsection (5)(b) is subject to annulment in pursuance of a resolution of the Scottish Parliament.

(7) In this section, “complainer” has the same meaning as in section 42ZA.

(8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Saving for jurisdiction of courts

56

Except as otherwise expressly provided, nothing in this Part shall affect the jurisdiction exercisable by the Court, or by any inferior court, over solicitors.

PART V — Notaries Public

Admission and enrolment of solicitors as notaries public

57

(1) The offices and functions of—

(a) the clerk to the admission of notaries public; and

(b) the keeper of the register of notaries public,

are hereby transferred to the Council.

(2) Any solicitor qualified to practise in accordance with section 4 may apply to the Court to be admitted as a notary public; and on any such application the Court may so admit the applicant and may direct the Council to register him in the register of notaries public.

(2A) A petition by the Council under section 6(3A) for the admission of a person as a solicitor may, if the person so requests, include an application for the person’s admission as a notary public; and an order on any such petition admitting that person as a solicitor may admit him as a notary public and direct the Council to register him in the register of notaries public.

(2B) A petition by a person under section 6(2) for his admission as a solicitor may include an application for his admission as a notary public; and an order on any such petition admitting that person as a solicitor may admit him as a notary public and direct the Council to register him in the register of notaries public.

(3) It shall not be necessary for any person to find caution on his admission as a notary public.

(4) The procedure to be followed. . . on any application by a person to be admitted a notary public may be prescribed by rules of court.

(5) The Council may charge such reasonable fees as they consider appropriate in respect of the admission of any person as a notary public.

Removal from and restoration to register of names of notaries public

58

(1) In the case of any person who is both a solicitor and a notary public, if his name is struck off the roll of solicitors or is removed from that roll in pursuance of an order under any provision of this Act, the Council shall forthwith strike off or, as the case may be, remove his name from the register of notaries public.

(2) If the name of any such person, having been struck off or removed from the roll as aforesaid, is subsequently restored thereto in pursuance of an order under any provision of this Act, the Council shall forthwith restore the name to the register of notaries public.

(3) Where a person who is both a solicitor and a notary public is suspended from practising as a solicitor under this Act the Council shall forthwith remove the person’s name from the register of notaries public.

(4) If the suspension of such a person as is mentioned in subsection (3) is terminated or otherwise comes to an end the Council shall restore the person’s name to the register.

(5) Where a person who is a solicitor and a notary public no longer has in force a practising certificate, the Council shall forthwith remove the person's name from the register of notaries public.

(6) If the person mentioned in subsection (5) becomes qualified to practise as a solicitor in accordance with section 4, the Council shall restore the person's name to the register of notaries public.

Authority of notaries public to administer oaths, etc.

59

(1) Subject to subsection (2), in any case where the administration of an oath, or the receipt of an affidavit or solemn affirmation, is authorised by or under any enactment, it shall be lawful for the oath to be administered, or, as the case may be, for the affidavit or affirmation to be received, by a notary public.

(2) Nothing in this section applies to an oath or affirmation relating to any matter or thing relating to the preservation of the peace or to the prosecution, trial or punishment of an offence, or to any proceedings before either House of Parliament or any committee thereof or before the Scottish Parliament or any committee thereof.

(3) This section is without prejudice to any other statutory provision relating to the administration of oaths by notaries public.

Offence for notaries public to act for unqualified persons

60

PART VI — Miscellaneous And General

Miscellaneous

Protection of banks

61

(1) Subject to the provisions of this section, no bank or building society shall, in connection with any transaction on any account of a solicitor or an incorporated practice kept with it or with any other bank or building society—

(a) incur any liability, or

(b) be under any obligation to make any enquiry, or

which it would not incur, or be under, or be deemed to have (as the case may be) in the case of an account kept by a person entitled absolutely to all money paid or credited to it; but nothing in this subsection shall relieve a bank or building society from any liability or obligation under which it would be apart from this Act.

(2) In subsection (1) “account” does not include an account kept by a solicitor or an incorporated practice as trustee for a specified beneficiary.

(3) Notwithstanding anything in the preceding provisions of this section a bank or building society at which a solicitor or an incorporated practice keeps a special account for clients’ money shall not, in respect of any liability of the solicitor or, as the case may be, the incorporated practice to the bank or building society (not being a liability in connection with that account) have or obtain any recourse or right, whether by way of set-off, counter-claim, charge or otherwise, against money standing to the credit of that account.

Charge for expenses out of property recovered

62

(1) Where a solicitor has been employed by a client to pursue or defend any action or proceeding, the court before which the action or proceeding has been heard or is depending may declare the solicitor entitled, in respect of the taxed expenses of or in reference to the action or proceeding, to a charge upon, and a right to payment out of, any property (of whatsoever nature, tenure or kind it may be) which has been recovered or preserved on behalf of the client by the solicitor in the action or proceeding; and the court may make such order for the taxation of, and for the raising and payment of, those expenses out of the said property as the court thinks just.

(2) Where a declaration has been made under subsection (1) any act done or deed granted by the client after the date of the declaration except an act or deed in favour of a bona fide purchaser or lender, shall be absolutely void as against the charge or right.

General

Penalties and time limit for prosecution of offences

63

(1) Any person guilty of an offence under this Act shall be liable on summary conviction to a fine not exceeding level 4 on the standard scale . . ..

(2) Notwithstanding any provision of the Criminal Procedure (Scotland) Act 1975, the prosecution of any offence under this Act shall be commenced within 6 months of its first discovery by the prosecutor or in any event within 2 years after the commission of that offence.

(3) Where an offence under this Act is committed by a body corporate and is proved to have been committed with the consent or connivance of or to be attributable to any neglect on the part of—

(a) any director, secretary or other similar officer of the body corporate; or

(b) any person who was purporting to act in any such capacity,

he (as well as the body corporate) shall be guilty of the offence and shall be liable to be proceeded against and punished accordingly.

(4) Where an offence under this Act is committed by a partnership or by an unincorporated association (other than a partnership) and is proved to have been committed with the consent or connivance of a partner in the partnership or, as the case may be, a person concerned in the management or control of the association, he (as well as the partnership or association) shall be guilty of the offence and shall be liable to be proceeded against and punished accordingly.

Service of notices etc.

64

Any notice or other document which is required or authorised under this Act to be given to, or served on, any person shall be taken to be duly given or served if it is delivered to him or left at, or sent by post to, his last-known place of business or residence or, in the case of an incorporated practice, it is left at, or delivered or sent by post to, its registered office.

Interpretation

65

(1) In this Act, except in so far as the context otherwise requires—

“accounts rules” has the meaning given by section 35;

“accountant’s certificate rules” has the meaning given by section 37(3);

“accounts fee” has the meaning given by section 37A(1);

“advocate” means a member of the Faculty of Advocates;

“anti-money laundering fee” has the meaning given by section 37A(1);

“building society” means a building society within the meaning of the Building Societies Act 1986;

“charity” means a body entered in the Scottish Charity Register,

“citizens advice body” means an association which is formed (and operates)—otherwise than for the purpose of making a profit, andwith the sole or primary objective of providing legal and other advice (including information) to the public for no fee, gain or reward;

“client account” means a current or deposit or savings account at a bank or with a building society, or a deposit receipt, at a bank, being an account or, as the case may be, a deposit receipt in the title of which the word “client”, “trustee”, “trust” or other fiduciary term appears, including—an account or deposit receipt for a client whose name is specified in the title of the account on deposit receipt, andan account such as is mentioned in paragraphs (a) and (b) of section 35(1);

“the Commission” means the Scottish Legal Complaints Commission;

“the CMA” means the Competition and Markets Authority;

“the CMA Board” has the same meaning as in Schedule 4 to the Enterprise and Regulatory Reform Act 2013;

“the Council” has the meaning given by section 3;

“the Court” means the Court of Session;

“foreign lawyer” means a person who is not a solicitor or an advocate but who is a member, and entitled to practise as such, of a legal profession regulated within a jurisdiction outwith Scotland;

“functions” includes powers and duties;

“incorporated practice” has the meaning given by section 34(1A)(c);

“judge” includes sheriff;

“law centre” means a body— established for the purpose of providing legal services to the public generally as well as to individual members of the public; andwhich does not distribute any profits made either to its members or otherwise, but reinvests any such profits for the purposes of the law centre;

“licensed legal services provider” (or “licensed provider”)” is to be construed in accordance with Part 2 of the 2010 Act;

“Lord President” means the Lord President of the Court of Session;

“multi-national practice” means— a partnership whose members are solicitors or incorporated practices and registered foreign lawyers; ora body corporate whose members include registered foreign lawyers, and membership of which is restricted to solicitors, incorporated practices, registered foreign lawyers and other multi-national practices;

“the 1990 Act” means the Law Reform (Miscellaneous Provisions) (Scotland) Act 1990 (c. 40);

“the 2007 Act” means the Legal Profession and Legal Aid (Scotland) Act 2007 (asp 5);

“the 2010 Act” means the Legal Services (Scotland) Act 2010;

“notary public” means a notary public duly admitted in Scotland;

“practice year” means the year ending on 31st October;

“practising certificate” has the meaning given by section 4;

“property” includes property, whether heritable or moveable, and rights and interests in, to or over such property;

“registered European lawyer” means a person registered with the Society in accordance with regulation 17 of the European Communities (Lawyer’s Practice) (Scotland) Regulations 2000 , as those Regulations have effect by virtue of regulation 6 or 7 of the Services of Lawyers and Lawyer's Practice (EU Exit) (Scotland) (Amendment etc.) Regulations 2019;

“registered foreign lawyer” means a foreign lawyer who is registered under section 60A;

“regulatory committee” means the regulatory committee formed in accordance with section 3B(1);

“the roll” has the meaning given by section 7;

“the Society” has the meaning given by section 1;

“Scottish legal services ombudsman” means the ombudsman appointed under section 34 of the Law Reform (Miscellaneous Provisions) (Scotland) Act 1990;

“solicitor” means any person enrolled or deemed to have been enrolled as a solicitor in pursuance of this Act;

“the Tribunal” has the meaning given by section 50;

“unqualified person” means a person ... who is not qualified under section 4 to act as a solicitor ;

“unsatisfactory professional conduct” as respects a solicitor has the meaning given (as respects a practitioner who is a solicitor) by section 46 of the 2007 Act.

(2) Unless the context otherwise requires a reference—

(a) in any enactment to law agents includes solicitors and registered European lawyers;

(b) in any enactment to the register of law agents kept in pursuance of the Law Agents (Scotland) Act 1873 includes the roll;

(c) in any enactment or instrument to the Solicitors Discipline (Scotland) Committee shall be construed as a reference to the Tribunal;

(d) in any enactment or instrument or other document to the General Council of Solicitors in Scotland shall be construed as a reference to the Council;

(e) in any enactment to a solicitor’s or registered European lawyer’s being entitled to practise in the Court, or in any other court, or to act in any matter, by reason of his being enrolled in, or of his having subscribed, the list of solicitors practising in that court, shall be construed as a reference to his being entitled so to practise or act be reason of his name being included in the appropriate list provided under section 20.

(3) In this Act references to any enactment shall, except in so far as the context otherwise requires, be construed as references to that enactment as amended, extended or applied by or under any other enactment, including any enactment contained in this Act.

(4) In this Act, except in so far as the context otherwise requires,—

(a) any reference to a numbered Part, section or Schedule is a reference to the Part or Section of, or the Schedule to, this Act so numbered;

(b) a reference in a section to a numbered subsection is a reference to the subsection of that section so numbered;

(c) a reference in a section, subsection or Schedule to a numbered or lettered paragraph is a reference to the paragraph of that section, subsection or Schedule so numbered or lettered; and

(d) a reference to any provision of an Act (including this Act) includes a reference to any Schedule incorporated in the Act by that provision.

(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Transitional and savings provisions, and repeals

66

(1) Schedule 6 (Transitional and savings provisions) shall have effect, but the provisions of that Schedule shall not be taken as prejudicing the operation of section 16 of the Interpretation Act 1978 (general savings in respect of repeals).

(2) The enactments specified in Schedule 7 are hereby repealed to the extent shown in column 3 of that Schedule.

Citation, extent and commencement

67

(1) This Act may be cited as the Solicitors (Scotland) Act 1980.

(2) This Act extends to Scotland only.

(3) This Act shall come into operation on the expiration of one month from the date on which it is passed.

SCHEDULE 1

Constitution and Proceedings

1

The Society shall be a body corporate with a common seal and may sue and be sued in its own name.

2

The Council shall prepare a scheme providing for—

(a) the constitution... and proceedings of the Council;

(aa) election, co-option and appointment to the Council;

(b) the meetings of the Society;

(d) the appointment and constitution of committees and sub-committees.

3

The scheme prepared under paragraph 2—

(a) may make provision enabling the Council to admit as honorary members of the Society persons who have ceased to be practising solicitors, no such honorary member being entitled to vote at meetings of the Society or liable to pay an annual subscription;

(b) shall make provision for the admission on application made in that behalf and on payment of the annual subscription as a member of the Society of any solicitor who by virtue of the provisions of section 24 is exempted from taking out a practising certificate;

(bza) shall make provision for—

(i) the election or co-option of solicitor members to the Council,

(ii) the appointment of non-solicitor members to the Council;

(ba) may make provision for persons other than solicitors to be members of a committee or sub-committee of the Council (including provision for such persons to constitute a majority of the members of the committee or sub-committee);

(c) may contain such other provisions with respect to the administration, management and proceedings of the Society as are considered necessary or proper and are consistent with the provisions of this Act.

4

A scheme prepared under paragraph 2 shall have effect on being approved by a resolution passed by a majority of the members present in person or by proxy at a general meeting of the Society, or at an adjournment of such meeting.

5

The Society may by a resolution passed by a majority consisting of not less than two-thirds of the members of the Society present in person or by proxy at a meeting of the Society of which due notice specifying the intention to propose the resolution has been given, or at any adjournment of such meeting, rescind, add to or amend any of the provisions of the scheme so approved.

Revenue

6

Subject to paragraph 7, every member of the Society shall, for each year, pay to the Society such subscription as may be fixed from time to time by the Society in general meeting.

7

The. . . subscription payable by a solicitor in respect of the year or part thereof in which he is first included in the roll of solicitors and in respect of each of the two years immediately following shall be one half of the amount of the. . . subscription fixed under paragraph 6 (reduced, in the case of a solicitor first included in the roll for only part of a year, in that year proportionately).

8

Except as otherwise provided in this Act, the expenses of the Society shall be defrayed out of the subscriptions and other income received by the Society or the Council and out of other property belonging to the Society.

9

Paragraph 8 does not affect any trust constituted for a special purpose.

Powers

10

The Society may—

(a) purchase or otherwise acquire land for any of the purposes of this Act;

(b) sell, lease or otherwise dispose of land so acquired;

(d) invest any monies not immediately required to meet expenses and other outlays of the Society in any investment in which trustees in Scotland are by law authorised to invest (but nothing in this sub-paragraph prevents the investment of any monies forming any part of any property held in trust for a special purpose in any class of investment authorised by the deed constituting the trust);

(e) accept any gift of property for the purposes of the Society;

(f) accept, hold and administer any gift of property or hold as trustees any property for any purpose which the Society consider to be for the benefit of solicitors in Scotland or their dependants or employees or any substantial body of such solicitors or dependants or employees; and

(g) subject to the provisions of this Act exercise the functions formerly exercised by the General Council of Solicitors in Scotland.

11

The Council may—

(a) act for and in the name of the Society in any matter other than a matter which in accordance with the provisions of this Schedule is to be determined by the Society in general meeting;

(b) without prejudice to any other powers they may have, take into consideration and make recommendations or representations with regard to any matters which are in their opinion of importance to solicitors in Scotland

Attestation

12

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

SCHEDULE 2

1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . the Council (as registrar of solicitors) for the purpose of maintaining the roll as correctly as is reasonably practicable shall have power—

(a) to remove from the roll the name of any solicitor who has died;

(b) to send to any solicitor at his address as shown in the roll a letter enquiring whether he wishes to continue to have his name included in the roll and intimating that if no reply is made within the period of 6 months beginning with the date of the posting of the letter his name may be removed from the roll;

(c) to send any solicitor on the roll who has for at least 3 years been so enrolled in pursuance of regulations made by the Council under section 5 on an undertaking by him to serve a post qualifying year for practical training which the Council are not satisfied that he has implemented, a letter enquiring whether he intends to fufil that undertaking and intimating that unless a reply which the Council regard as satisfactory is received within the period of 6 months beginning with the date of the posting of the letter his named may be removed from the roll; and

(d) if a reply indicating that he does not wish that his name shall continue to be included in the roll is returned by any solicitor to whom a letter has been so sent, or if no reply or in a case of a letter sent under subparagraph (c) a reply which the Council do not regard as satisfactory is returned within the period mentioned in subparagraph (b) or (c), as the case may be, by any such solicitor, to remove the name of that solicitor from the roll.

2

The Council may, on the application of a solicitor whose name has been removed from the roll in pursuance of paragraph 1(d), and on payment by him to the Council of such reasonable fee in respect of restoration as the Council may fix, order that his name shall be restored to the roll.

3

Any person aggrieved by a decision of the Council under paragraph 2 may appeal against the decision to the Court, and the provisions of section 40(3) shall, subject to any necessary modifications, apply to any such appeal.

SCHEDULE 3

PART I — The Scottish Solicitors Guarantee Fund

Contributions by Solicitors

1

(1) Subject to the provisions of this Act, there shall be paid to the Society on behalf of the Guarantee Fund by every solicitor in respect of each year during which, or part of which, he is in practice as a solicitor, along with his application for a practising certificate, a contribution (hereafter referred to as an “annual contribution”). . .

(2) The sum payable by a solicitor in respect of the year in which he first commences to practise after admission and in respect of each of the 2 years immediately following shall be one half of the annual contribution.

(2A) Sub-paragraphs (1) and (2) do not apply to solicitors who are

(a) directorsor members of incorporated practices or

(b) investors in licensed legal services providers.

(2B) Subject to the provisions of this Act, there shall be paid to the Society on behalf of the Guarantee Fund

(a) by every incorporated practice in respect of each year during which, or part of which, it is recognised under section 34(1A) a contribution (hereafter referred to as an “ annual corporate contribution ”) in accordance with the relevant scale of annual corporate contributions refered to in sub-paragraph (3)., and

(b) by every licensed provider, in respect of each year during which or part of which it operates as such under the licence issued by its approved regulator, a contribution (also an “annual corporate contribution”) in accordance with the relevant scale of annual corporate contributions referred to in sub-paragraph (3).

(3) The Council shall not later than 30 September in each year fix the amount, if any, of the annual contribution to be paid in respect of the following year and the scales of the annual corporate contributions to be so paid....

(3A) The scales of annual corporate contributions—

(a) are to be fixed under sub-paragraph (3) by reference to all relevant factors, including—

(i) in the case of incorporated practices, the number of solicitors that they have as directors, members or employees,

(ii) in the case of licensed providers, the number of solicitors that they have as investors or employees,

(b) may otherwise make different provision as between incorporated practices and licensed providers.

(4) No annual contribution shall be payable by a solicitor and no annual corporate contribution by an incorporated practice or a licensed provider so long as the amount of the Guarantee Fund including the value of all investments forming part of the Fund and after providing for all outstanding liabilities, is in the opinion of the Council not less than £250,000 or such other sum as the Council may from time to time determine.

(5) If at any time the Council are of the opinion that the liabilities of the Guarantee Fund render it expedient in order to secure the financial stability of the Fund, the Council may, by resolution of which not less than 10 days’ previous notice in writing has been given to each member of the Council impose upon every solicitor a contribution (hereafter referred to as a “special contribution”) of the amount specified in the resolution, and upon every incorporated practice and licensed provider a contribution (hereafter referred to as a “special corporate contribution”) in accordance with a scale of such contributions fixed by the Council as under sub-paragraph (3), and a special or special corporate contribution shall be payable to the Society in one sum or, if the Council so determine, by instalments on or before such date or dates as may be specified in the resolution.

(6) No special contribution shall be payable by a solicitor in the year in which he first commences to practise after admission nor in either of the 2 years immediately following.

(7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(8) No annual contribution and no special contribution shall be payable by any solicitor who is in the employment of another solicitor or of a firm of solicitors or of an incorporated practice or a licensed provider and who does not engage in practice as a solicitor on his own account.

(9) Without prejudice to any other method of recovering contributions payable to the Society under this Schedule whether annual or special a practising certificate shall not be issued to a solicitor except on production of evidence of payment of the contributions (if any) due by him to the Fund on or before the issue of the certificate.

(10) In this schedule the expression “year” means the period of 12 months commencing on 1 November or such other day as may be fixed by the Council.

Investment etc.

2

(1) Monies not immediately required to meet sums payable out of the Guarantee Fund may be invested by the Society in any investments in which trustees in Scotland are by law authorised to invest.

(2) The Society may borrow money for the purposes of the Guarantee Fund in such manner and on such security as they may determine but the total sum due at any time in respect of any such loans shall not exceed £1,250,000.

(3) The accounts of the Guarantee Fund shall be made up annually for the year ending 31 October or on such other day as may be fixed by the Council and shall be audited by an auditor appointed by the Society.

(4) As soon as the audit is completed the audited accounts and the auditor’s report on the accounts shall be submitted to the Council and a copy of the audited accounts and the auditor’s report shall be sent to the Lord Advocate and to every solicitor who is contributing to the Fund.

(5) All investments and other monies forming part of the Guarantee Fund and the books and accounts relating to that Fund shall be kept separate from the other investments and monies, books and accounts of the Society, and the investments and other monies forming part of the Guarantee Fund shall not be liable for any obligations, debts or liabilities incurred by the Society or the Council in relation to any business of the Society other than the business of the Guarantee Fund, nor shall the investments and other monies of the Society held for the purposes other than those relating to the Guarantee Fund be liable for any obligations, debts or liabilities incurred by the Society or the Council in relation to the Guarantee Fund.

Insurance

3

(1) The society may enter into a contract of insurance with any person, body of persons or corporation authorised by law to carry on insurance business for guaranteeing the sufficiency of the Guarantee Fund or for any other purpose in relation to the Fund.

(2) Any such contract of insurance may be entered into in relation to solicitors , incorporated practices and licensed providers generally or in relation to any solicitor or solicitors , incorporated practice or practices or licensed provider or providers named therein.

(3) No person other than the Society shall have any right of action against a person, body or corporation with whom any such contract of insurance was entered into or have any right to any monies payable under that contract.

Grants

4

(1) Every application for a grant from the Guarantee Fund shall be in such form as may be prescribed by rules made under this Schedule and shall be accompanied, if so required, by the Council by a statutory declaration and the applicant shall produce to the Council such documents and other evidence as they demand.

(2) The Council may, as a condition of making a grant out of the Guarantee Fund, require the person to whom the grant is made to assign to the Society at the expense of the Society any rights and remedies competent to him against the solicitor in question, his partner or employee or the incorporated practice in question or its employee or any other person in respoect of the loss.

(3) A grant from the Guarantee Fund may at the descretion of the Council be paid in one sum or in such instalments as the Council may determine.

(3A) The amount of an individual grant from the Guarantee Fund may not exceed £1.25 million.

(4) The Council may make rules with regard to the procedure to be followed in giving effect to the provisions of this Act relating to the Guarantee Fund, including matters to be prescribed thereunder, and also with respect to any matters incidental, ancilliary or supplemental to those provisions or concerning the administration, management or protection of the Guarantee Fund.

Part II

Power of Council to investigate

5

(1) The Scottish Ministers may by regulations amend the sum specified in paragraph 4(3A).

(2) Before making regulations under sub-paragraph (1), the Scottish Ministers must consult the Council (and take account of sections 4 and 5 of the 2010 Act).

(3) The power to make regulations under sub-paragraph (1) is exercisable by statutory instrument; but a statutory instrument containing any such regulations is not to be made unless a draft of the instrument has been laid before, and approved by resolution of, the Scottish Parliament.

SCHEDULE 4

Part I

Constitution

1

The Tribunal shall consist of not more than 28 members.

2

Each member of the Tribunal shall retire from office on the expiry of 5 years from the date of his appointment, but in the case—

(a) of a non-lawyer member, may be re-appointed by the Lord President after consultation with the Secretary of State; and

(b) of a solicitor member, may be re-appointed by the Lord President on the recommendation of the Council.

3

The Lord President may from time to time terminate the appointment of any member of the Tribunal, and may fill any vacany therein by the appointment of a solicitor recommended by the Council or, as the case may be, after consultation with the Secretary of State, by the appointment of a non-lawyer member.

4

The Tribunal may appoint one of their number to be chairman, and may also appoint a clerk, who shall not be a member of the Tribunal, and, subject to the provisions of this Act, may regulate their procedure in such way as they may think fit.

5

The Tribunal shall be deemed to be properly constituted if—

(a) at least 4 members are present, and

(b) at least 2 solicitor members are present, and

(d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6

There shall be paid to the non-lawyer members of the Tribunal out of money provided by Parliament such fees and allowances as the Secretary of State may . . . determine.

Part II — Procedure and Powers of Tribunal

Complaints

7

The making of a complaint to the Tribunal or the giving of any information in connection with a complaint shall confer qualified privilege.

8

A complaint made to the Tribunal shall not be withdrawn except with the Tribunal’s leave and subject to such conditions with respect to expenses or otherwise as the Tribunal thinks fit.

9

Subject to Part IV, the Tribunal may dismiss a complaint against a solicitor or an incorporated practice—

(a) without requiring the solicitor or the incorporated practice to answer the allegations made against him or, as the case may be, it or without holding any enquiry if—

(i) they are of the opinion that the complaint discloses noprima facie case of professional misconduct on the part of the solicitor or, of failure on the part of the incorporated practice to comply with any provision of this Act or of rules made under this Act. . . ; or

(ii) the complainer fails to comply with any rule made under section 52; or

(b) without hearing parties if they are of the opinion upon consideration of the complaint and other documents that they disclose no case of professional misconduct on the part of the solicitor or, of failure on the part of the incorporated practice to comply with any provision of this Act or of rules made under this Act. . . .

10

The Tribunal shall give notice of the complaint to the solicitor or incorporated practice against whom the complaint is made (“the respondent”) and shall enquire into the complaint, giving him or, as the case may be, it reasonable opportunity of making his or, as the case may be, its defence.

11

For the purpose of enquiring into the complaint the Tribunal may administer oaths and receive affirmations; and the complainer and respondent shall each be entitled—

(a) to require the evidence of parties, witnesses and others interested, and

(b) to call for and recover such evidence and documents, and examine such witnesses, as they think proper, but no person shall be compelled to produce any document which he could not be compelled to produce in an action.

12

On a petition by the complainer or the respondent to the Court, or to the sheriff having jurisdiction in any place in which the respondent carries on business, the Court or, as the case may be, the sheriff, on production of copies (certified by the Clerk of the Tribunal) of the complaint and answers, if lodged, together with a statement signed by the clerk specifying the place and date of the hearing of the complaint and certifying that notice to that effect has been given to the complainer and to the respondent, and on being satisfied that it would be proper to compel the giving of evidence by any witness or the production of documents by any haver, may—

(a) grant warrant for the citation of witnesses and havers to give evidence or to produce documents before the Tribunal, and for the issue of letters of second diligence against any witness or haver failing to appear after due citation;

(b) grant warrant for the recovery of documents; and

Decisions

13

The Tribunal shall set out in their decision—

(a) in the case of a complaint, the facts proved, and

(b) in the case of a conviction, particulars of the conviction and sentence.

and shall in the case of a complaint add to their decision a note stating the grounds on which the decision has been arrived at.

14

Every decision on the Tribunal shall be signed by the chairman or other person presiding and shall, subject to paragraph 14A, be published in full.

15

A copy of every decision by the Tribunal certified by the clerk shall be sent forthwith by the clerk to the respondent , the complainer and, as the case may be, the person who made the complaint as respects which the appeal was made to the Tribunal intimating the right of appeal available from that decision under this Act.

16

In the case of a decision by the Tribunal—

(a) ordering a solicitor to be struck off the roll; or

(b) ordering a solicitor to be suspended from practice; or

(d) fining a solicitor or an incorporated practice, or

(e) order that the recognition under section 34(1A) of an incorporated practice be revoked; or

(f) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(g) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(h) ordering that an investment business certificate issued to a solicitor, a firm of solicitors or an incorporated practice be—

(i) suspended; or

(ii) subject to such terms and conditions as they may direct; or

(iii) revoked,

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