Administration of Justice Act 1985

Part I — Solicitors

Solicitors’ discipline

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Examination of solicitors' files in connection with complaints

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Powers of lay observers and Solicitors Disciplinary Tribunal in relation to inadequate professional services

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Practising certificates

Issue of practising certificates subject to conditions

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Conditions imposed on current certificates

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After section 13 of the Solicitors Act 1974 there shall be inserted—

(13A) (1) Subject to the provisions of this section, the Society may in the case of any solicitor direct that his practising certificate for the time being in force (his “current certificate”) shall have effect subject to such conditions as the Society may think fit. (2) The power to give a direction under this section in the case of any solicitor shall be exercisable by the Society at any time during the period for which his current certificate is in force if— (a) in the event of an application for a practising certificate being made by him at that time, section 12 would have effect in relation to him by reason of any such circumstances as are mentioned in paragraph (d), (e), (ee), (k) or (l) of subsection (1) of that section; or (b) a receiving order in bankruptcy is in force against him; or (c) he has entered into a composition with his creditors or a deed of arrangement for the benefit of his creditors. (3) Subject to subsection (4), the conditions specified in a direction under this section shall have effect as from the time when the solicitor concerned is notified of the Society’s decision to give the direction. (4) The Society may, if it thinks fit, provide in a direction under this section that the conditions specified in the direction shall not have effect pending the hearing and determination of any appeal under subsection (6). (5) Where there is a pending against any judgment or order an appeal by a solicitor which, if successful, would result in subsection (2) no longer being applicable to him, the Society shall not give a direction under this section in his case so long as the appeal is pending, unless in the opinion of the Society the proceedings on that appeal have been unduly protracted by him or are unlikely to be successful. (6) A solicitor in whose case a direction is given under this section may appeal to the Master of the Rolls against the decision of the Society within one month of being notified of it. (7) On an appeal under subsection (6), the Master of the Rolls may— (a) affirm the decision of the Society; or (b) direct that the appellant’s current certificate shall have effect subject to such conditions as the Master of the Rolls thinks fit; or (c) by order revoke the direction; or (d) make such other order as he thinks fit. (8) Subsection (4A) of section 12 shall apply for the purposes of subsection (1) of this section as it applies for the purposes of subsection (4)(b) of that section.

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Restrictions applying to unqualified persons

Preparation of conveyancing documents by unqualified persons

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Preparation of papers for probate etc., by unqualified persons

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Other amendments

Other amendments of Solicitors Act 1974

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The Solicitors Act 1974 shall have effect subject to the further amendments specified in Schedule 1.

Legal services bodies and sole solicitors’ practices

Incorporated practices

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• (1) The Society may make rules—

• (a) making provision as to the management and control of legal services bodies;

• (b) prescribing the circumstances in which—

• (i) legal services bodies may be recognised by the Society as being suitable bodies to undertake the provision of any solicitor services or other relevant legal services; and

• (ii) sole solicitors’ practices may be recognised by the Society as being suitable to undertake the provision of any such services;

• (c) prescribing the requirements which (subject to any exceptions provided by the rules) must at all times be satisfied by bodies and sole solicitors’ practices . . . so recognised if they are to remain so recognised; and

• (d) regulating the conduct of the affairs of such bodies and sole solicitors’ practices .

• (1A) Where the Society makes rules under subsection (1), it must by rules under subsection (1)(c) prescribe the requirement that (subject to any exceptions provided by the rules) recognised bodies and recognised sole solicitors’ practices must not provide services other than—

• (a) solicitor services, or

• (b) solicitor services and other relevant legal services.

• (1B) “Relevant legal services” means—

• (a) solicitor services, and

• (b) where authorised persons other than solicitors or registered European lawyers are managers or employees of, or have an interest in, a recognised body, or are employees in a recognised sole solicitor’s practice, services of the kind provided by individuals practising as such authorised persons (whether or not those services involve the carrying on of reserved legal activities within the meaning of the Legal Services Act 2007).

• (1C) The Society may by rules under this section provide that services specified, or of a description specified, in the rules are not to be treated as solicitor services or other relevant legal services.

• (2) Rules made by the Society may also make provision—

• (a) for the manner and form in which applications for recognition under this section , or for the renewal of such recognition, are to be made, and requiring such applications to be accompanied by a fee of such amount as the Society may from time to time determine;

• (aa) for the manner and form in which other applications under the rules are to be made, and requiring such applications to be accompanied by a fee of such amount as the Society may from time to time determine;

• (ab) requiring recognised bodies, recognised sole solicitors’ practices, or descriptions of such bodies or practices , to pay periodical fees of such amount as the Society may from time to time determine;

• (b) for regulating the names that may be used by recognised bodies or recognised sole solicitors’ practices ;

• (c) about the time when any recognition, or renewal of recognition, takes effect and the period for which it is (subject to the provisions made by or under this Part) to remain in force;

• (d) for the suspension or revocation of any such recognition, on such grounds and in such circumstances as may be prescribed by the rules;

• (e) about the effect on the recognition of a partnership or other unincorporated body (“the existing body”) of any change in the membership of the existing body, including provision for the existing body's recognition to be transferred where the existing body ceases to exist and another body , or a sole solicitor’s practice, succeeds to the whole or substantially the whole of its business;

• (eza) about the effect on the recognition of a sole solicitor’s practice where the sole solicitor ceases to practise as a sole principal and—

• (i) another sole solicitor succeeds that sole solicitor as sole principal in the practice; or

• (ii) a body or another sole solicitor succeeds to the whole or substantially the whole of the practice’s business;

• (ea) for the keeping by the Society of a register containing the names and places of business of all bodies and sole solicitors’ practices which are for the time being recognised under this section, and such other information relating to them as may be specified in the rules;

• (eb) for information (or information of a specified description) on such a register to be made available to the public, including provision about the manner in which, and times at which, information is to be made so available;

• (f) for rules made under any provision of the 1974 Act to have effect in relation to recognised bodies or recognised sole solicitors’ practices with such additions, omissions or other modifications as appear to the Society to be necessary or expedient;

• (fa) about the education and training requirements to be met by managers and employees of recognised bodies or employees in recognised sole solicitors’ practices ;

• (fb) for rules made under any provision of the 1974 Act to have effect in relation to managers and employees of recognised bodies or employees in recognised sole solicitors’ practices with such additions, omissions or other modifications as appear to the Society to be necessary or expedient;

• (fc) requiring recognised bodies to appoint a person or persons to monitor compliance, by the recognised body, its managers and its employees, with requirements imposed on them by or by virtue of this Act or any rules applicable to them by virtue of this section;

• (fd) requiring the sole solicitor in a recognised sole solicitor’s practice to appoint a person or persons to monitor compliance, by the sole solicitor and the employees in the practice, with requirements imposed on them by or by virtue of this Act, the 1974 Act or any rules applicable to them by virtue of this section or the 1974 Act;

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

• (h) for the manner of service on recognised bodies , or on sole solicitors in relation to recognised sole solicitors’ practices, of documents authorised or required to be served ... under or by virtue of this Part.

• (2ZA) Rules under subsection (2)(fd) may provide that the person appointed under that paragraph may be the sole solicitor.

• (2A) If rules under this section provide for the recognition of legal services bodies which have one or more managers who are not legally qualified, the rules must make provision—

• (a) for the recognition of such bodies to be suspended or revoked, on such grounds and in such circumstances as may be prescribed by the rules;

• (b) as to the criteria and procedure for the Society's approving, as suitable to be a manager of a recognised body, an individual who is not legally qualified (and for the Society's withdrawing such approval).

• (2B) Rules under this section may make provision for appeals to the High Court against decisions made by the Society under the rules—

• (a) to suspend or revoke the recognition of any body or sole solicitor’s practice ;

• (b) not to approve, as suitable to be the manager of a recognised body, an individual who is not legally qualified (or to withdraw such approval).

• (2C) The rules may provide for appeals against decisions within subsection (2B)(b) to be brought by the individual to whom the decision relates (as well as the body).

• (2D) In relation to an appeal under rules made by virtue of subsection (2B), the High Court may make such order as it thinks fit as to payment of costs.

• (2E) The decision of the High Court on such an appeal shall be final.

• (2F) Where the Society decides to recognise a body or a sole solicitor’s practice under this section it must grant that recognition subject to one or more conditions if—

• (a) the case is of a kind prescribed for the purposes of this section by rules made by the Society, and

• (b) the Society considers that it is in the public interest to do so.

• (2G) While a body or a sole solicitor’s practice is recognised under this section, the Society—

• (a) must direct that the ... recognition is to have effect subject to one or more conditions if—

• (i) the case is of a prescribed kind, and

• (ii) the Society considers that it is in the public interest to do so;

• (b) may, in such circumstances as may be prescribed, direct that the ... recognition is to have effect subject to such conditions as the Society may think fit.

“Prescribed” means prescribed by rules made by the Society.

• (2H) The conditions which may be imposed under subsection (2F) or (2G) include—

• (a) conditions requiring the body , or the sole solicitor, to take specified steps that will, in the opinion of the Society, be conducive to the carrying on ... of an efficient business;

• (b) conditions which prohibit the body , or the sole solicitor, from taking any specified steps except with the approval of the Society;

• (c) if rules under this section provide for the recognition of legal services bodies which have one or more managers who are not legally qualified, a condition that all the managers of the body must be legally qualified.

“Specified” means specified in the condition.

• (2I) Rules made by the Society may make provision about when conditions imposed under this section take effect (including provision conferring power on the Society to direct that a condition is not to have effect until the conclusion of any appeal in relation to it).

• (2J) Section 86A of the 1974 Act applies to rules under this section as it applies to rules under that Act.

• (2K) Rules under this section may contain such incidental, supplemental, transitional or transitory provisions or savings as the Society considers necessary or expedient.

• (3) Despite section 24(2) of the 1974 Act, section 20 of that Act (prohibition on unqualified person acting as solicitor) does not apply to a recognised body; and nothing in section 24(1) of that Act applies in relation to such a body.

• (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

• (5) A certificate signed by an officer of the Society and stating that any body or sole solicitor’s practice . . . is or is not, or was or was not at any time, recognised under this section shall, unless the contrary is proved, be evidence of the facts stated in the certificate; and a certificate purporting to be so signed shall be taken to have been so signed unless the contrary is proved.

• (6) Schedule 2 (which makes provision with respect to the application of provisions of the 1974 Act to recognised bodies, with respect to other matters relating to such bodies , and with respect to matters relating to recognised sole solicitors’ practices ) shall have effect.

• (7) Subject to the provisions of that Schedule, the Lord Chancellor may by order made by statutory instrument subject to annulment in pursuance of a resolution of either House of Parliament provide for any enactment or instrument passed or made before the commencement of this section and having effect in relation to solicitors to have effect in relation to recognised bodies with such additions, omissions or other modifications as appear to the Lord Chancellor to be necessary or expedient.

• (8) In this section—

• “the 1974 Act” means the Solicitors Act 1974;

• “the Society” has the meaning given by section 87(1) of the 1974 Act; . . .

• “legally qualified” and “legal services body” have the meaning given by section 9A;

• “manager”, in relation to a body, has the same meaning as in the Legal Services Act 2007 (see section 207 of that Act);

• “authorised person” means an authorised person in relation to an activity which is a reserved legal activity (within the meaning of the Legal Services Act 2007);

• references to employment in a recognised sole solicitor’s practice are references to employment by a sole solicitor for the purposes of a practice recognised under this section;

• “multi-national partnership” means a partnership whose members consist of one or more registered foreign lawyers and one or more solicitors;

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• “recognised body” means a body . . . for the time being recognised under this section.

• “recognised sole solicitor’s practice” means a sole solicitor’s practice for the time being recognised under this section;

• “registered European lawyer" means a person who is registered with the Law Society under regulation 17 of the European Communities (Lawyers’s Practice) Regulations 2000 , as that regulation has effect by virtue of regulation 6 of the Services of Lawyers and Lawyer’s Practice (Revocation etc.) (EU Exit) Regulations 2020.

• “sole solicitor” has the meaning given by section 87(1) of the 1974 Act;

• “solicitor services” means professional services such as are provided by individuals practising as solicitors or lawyers of other jurisdictions;and a person has an interest in a body if the person has an interest in the body within the meaning of Part 5 of the Legal Services Act 2007 (see sections 72 and 109 of that Act).

• (9) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Penalty for pretending to be a body recognised under s. y

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• (1) A body . . . shall not describe itself or hold itself out as a body . . . for the time being recognised under section 9 unless it is so recognised.

• (2) Any body . . . which contravenes subsection (1) shall be guilty of an offence and liable on summary conviction to a fine not exceeding the fourth level on the standard scale.

• (3) Where an offence under this section committed by a body corporate is proved to have been committed with the consent or connivance of or to be attributable to any neglect on the part of an officer of the body corporate, that officer (as well as the body corporate) is guilty of the offence and is liable to be proceeded against and punished accordingly.

• (4) Where the affairs of a body corporate are managed by its members, subsection (3) applies in relation to the acts and defaults of a member in connection with the member's functions of management as it applies to an officer of the body corporate.

• (5) Proceedings for an offence under this section alleged to have been committed by an unincorporated body are to be brought in the name of that body (and not in that of any of its members) and, for the purposes of any such proceedings, any rules of court relating to the service of documents have effect as if that body were a corporation.

• (6) A fine imposed on an unincorporated body on its conviction of an offence under this section is to be paid out of the funds of that body.