SRA Handbook

Applications, conditions and appeals

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Part 1: Applications, conditions and appeals

Regulation 1: General requirements for applications under these regulations

1.1

An application under these regulations must comprise:

(a)

the prescribed form, correctly completed;

(b)

the prescribed fee or fees;

(c)

if the application is for a practising certificate, for replacement of a practising certificate, for registration or for renewal of registration, any prescribed contribution to the Solicitors' Compensation Fund;

(d)

such additional information, documents and references as may be specified by the SRA; and

(e)

any additional information and documentation which the SRA may reasonably require.

It is not necessary to submit all documents, information and payments simultaneously, but an application will only have been made once the SRA has received all of the documentation, information and payments comprising that application.

1.2

Every applicant must:

(a)

ensure that all details relating to him or her given on any form prescribed under these regulations are correct and complete;

(b)

notify the SRA as soon as he or she becomes aware that any information provided in an application under these regulations has changed.

1.3

Every form submitted under these regulations must be personally signed by the applicant unless:

(a)

a solicitor or REL has been given written permission by the SRA, in exceptional circumstances, to sign on the applicant's behalf; or

(b)

the application is made wholly or partly on a prescribed form which is designed to be completed and signed on behalf of a number of applicants in one firm or organisation. In that case, the form must be signed by a solicitor or REL who:

(i)

is authorised to sign the form by the firm or organisation;

(ii)

has the consent of all the persons named in the form to sign the form on their behalf; and

(iii)

has taken reasonable steps to ensure that all details given on the form are correct and complete.

1.4

The SRA must notify its decision and reasons in writing to the applicant when it:

(a)

refuses an application;

(b)

grants an application subject to a condition; or

(c)

refuses a permission required under a condition on a practising certificate or registration.

1.5

The SRA shall determine the amount of any fees required under these regulations and the SRA's decision shall be final.

1.6

The SRA may prescribe from time to time a fee moderation process under which a recognised sole practitioner may make an application for the fee for renewal of authorisation as a recognised sole practitioner to be varied. A decision under this process shall be final.

Guidance notes

(i)

Please refer to the forms and notes.

(ii)

"In writing" includes any form of written electronic communication normally used for business purposes, such as emails.

(iii)

Fees prescribed for the purposes of these regulations are prescribed:

(a)

under section 11 of the SA for a practising certificate or registration in the register of European lawyers;

(b)

under section 13ZB of the SA for authorisation as a sole practitioner; or

(c)

under paragraph 2 of Schedule 14 to the Courts and Legal Services Act 1990 or section 11 of the SA for registration in the register of foreign lawyers.

Regulation 2: Applications for practising certificates and registration

2.1

The following applications may be made under regulation 2:

(a)

unless regulation 3 applies, initial applications for practising certificates and applications for replacement of practising certificates under section 9 of the SA;

(b)

unless regulation 3 applies, initial applications for registration in the register of European lawyers and applications for renewal of registration in the register of European lawyers under regulation 17 of the European Communities (Lawyer's Practice) Regulations 2000; and

(c)

initial applications for registration in the register of foreign lawyers and applications for renewal of registration in the register of foreign lawyers under section 89 of the Courts and Legal Services Act 1990.

2.2

Where application is made under regulation 2 for a practising certificate or for replacement of a practising certificate the SRA must grant the application if:

(a)

the applicant's name is on the roll of solicitors;

(b)

the applicant is not suspended from practice as a solicitor;

(c)

the applicant has supplied satisfactory evidence that he or she will comply with or be exempt from the SRA Indemnity Insurance Rules; and

(d)

the application is made in accordance with these regulations,

and the SRA must not grant the application unless conditions (a) to (c) are met.

2.3

Applications for initial registration or for renewal of registration in the register of European lawyers

(a)

Where application is made under regulation 2 for initial registration or for renewal of registration in the register of European lawyers the SRA must grant the application if:

(i)

the applicant is not (subject to (c) below) a solicitor, barrister or advocate of any of the UK jurisdictions, a barrister of the Irish Republic, or registered under the Establishment Directive with the Bar Standards Board, the Faculty of Advocates or the Bar Council of Northern Ireland;

(ii)

the applicant is a member, and entitled to practise as such, of an Establishment Directive profession;

(iii)

the applicant is a national of an Establishment Directive state;

(iv)

the applicant applies with the intention of practising on a permanent basis in the UK and is legally entitled to do so;

(v)

the applicant is not struck off the register, suspended from the register, or subject to a direction of the Tribunal prohibiting his or her restoration to the register;

(vi)

the applicant has supplied satisfactory evidence that he or she will comply with or be exempt from the SRA Indemnity Insurance Rules; and

(vii)

the application is made in accordance with these regulations,

except that if the SRA has reasonable cause to believe that the applicant is not a fit and proper person to practise in the UK it may refuse an application for initial registration.

(b)

The SRA must not grant the application unless the conditions in (a)(i) to (vi) are met.

(c)

The provisions of (a)(i) above will not apply to prevent the renewal of the registration of a European lawyer who has become a solicitor of Scotland or Northern Ireland at a time when he or she was registered both with the SRA and with the Law Society of Scotland and/or the Law Society of Northern Ireland.

2.4

Where application is made under regulation 2 for initial registration or for renewal of registration in the register of foreign lawyers, the following provisions apply.

(a)

The SRA may grant the application (subject to such conditions as it may think fit) if:

(i)

the applicant is not a solicitor, REL or barrister;

(ii)

the applicant is a member, and entitled to practise as such, of a legal profession which is regulated within a jurisdiction outside England and Wales and is approved by the SRA in accordance with paragraph 2(2) of Schedule 14 to the Courts and Legal Services Act 1990;

(iii)

the applicant is not struck off the register, subject to an order of the Tribunal suspending his or her registration or subject to a direction of the Tribunal prohibiting his or her restoration to the register; and

(iv)

the application is made in accordance with these regulations.

(b)

The SRA may (without prejudice to its general discretion under paragraph 2 of Schedule 14 to the Courts and Legal Services Act 1990) reject the application if:

(i)

the SRA is not satisfied that the applicant is eligible for registration;

(ii)

the applicant is prohibited by the rules of his or her profession from practising as a manager of a recognised body;

(iii)

the SRA is not satisfied that the applicant will be in compliance with the SRA Indemnity Insurance Rules;

(iv)

the SRA is not satisfied that the applicant intends to practise in the capacity of an RFL in accordance with Rule 3 of the SRA Practice Framework Rules; or

(v)

the SRA is not satisfied that the applicant is a fit and proper person to practise as an RFL.

(c)

A person who has been reinstated to the register under paragraph 12 of Schedule 14 to the Courts and Legal Services Act 1990 is to be treated as entitled to practise as a member of his or her home legal profession.

2.5

The granting of a practising certificate or registration free of conditions under regulation 2 does not prevent the SRA subsequently imposing a condition in accordance with regulation 7.

Regulation 3: Application following certain events

3.1

Regulation 3 applies (subject to 3.3 below) to an initial application for a practising certificate, an application for replacement of a practising certificate, an initial application for registration in the register of European lawyers and an application for renewal of registration in the register of European lawyers, in any of the following circumstances.

(a)

The applicant has been:

(i)

reprimanded, made the subject of disciplinary sanction or made the subject of an order under section 43 of the SA, ordered to pay costs or made the subject of a recommendation to the Society or the SRA to consider imposing a condition, by the Tribunal, or struck off or suspended by the court;

(ii)

made the subject of an order under section 43 of the SA by the Society or the SRA or rebuked or fined under section 44D of that Act by the SRA;

(iii)

made the subject of, or been a manager, owner or compliance officer of a recognised body, licensed body or an authorised non-SRA firm which has been the subject of, an intervention by the Society or the SRA or by any other approved regulator;

(iv)

made the subject of a disciplinary sanction by, or refused registration with or authorisation by, another approved regulator, professional or regulatory tribunal, or regulatory authority, whether in England and Wales or elsewhere;

(v)

disqualified from acting as a HOLP or a HOFA or from being a manager of, or being employed by, a licensed body or an authorised non-SRA firm;

(vi)

refused authorisation as a recognised sole practitioner or had such authorisation revoked under regulation 10.2(b)(i), (iii), (iv) or (vi);

(vii)

refused approval to be a manager, owner or compliance officer of an authorised body or of an authorised non-SRA firm or had such approval withdrawn;

(viii)

a manager, owner or compliance officer of an authorised body whose authorisation has been suspended or revoked by the SRA under Rule 22 of the SRA Authorisation Rules, except under 22.1(a)(vii), or by another approved regulator; or

(ix)

made subject to a revocation of his or her practising certificate or registration under regulation 10.2(a)(i) or (v).

(b)

The SRA (or previously the Society) has requested an explanation from the applicant in respect of a matter relating to the applicant's conduct and has notified the applicant in writing that it does not regard the applicant's response, or lack of response, as satisfactory.

(c)

The applicant has failed to deliver within the period allowed an accountant's report required by rules made under section 34 of the SA.

(d)

The applicant's practising certificate or registration has been suspended and the suspension:

(i)

has come to an end;

(ii)

was continuing when the applicant's last practising certificate or previous registration expired or was revoked; or

(iii)

is continuing.

(e)

The applicant has been suspended from practice (or suspended from the register, if the applicant is a European lawyer), and the suspension has come to an end.

(f)

The applicant's last practising certificate or previous registration expired or was revoked whilst subject to a condition.

(g)

The applicant's practising certificate or registration is currently subject to a condition.

(h)

The applicant's right to practise as a lawyer of another jurisdiction or as a lawyer of England and Wales (other than as a solicitor) is subject to a condition or restriction.

(i)

The applicant has been restored to the roll or register, having previously been struck off.

(j)

The applicant is an undischarged bankrupt.

(k)

The applicant:

(i)

has been adjudged bankrupt and discharged;

(ii)

has entered into an individual voluntary arrangement or a partnership voluntary arrangement under the Insolvency Act 1986;

(iii)

has been a manager of a recognised body, a licensed body or an authorised non-SRA firm which has entered into a voluntary arrangement under the Insolvency Act 1986;

(iv)

has been a director of a company or a member of an LLP which has been the subject of a winding up order, an administration order or administrative receivership; or has entered into a voluntary arrangement under the Insolvency Act 1986; or has been voluntarily wound up in circumstances of insolvency.

(l)

The applicant lacks capacity (within the meaning of the Mental Capacity Act 2005) and powers under sections 15 to 20 or section 48 of that Act are exercisable in relation to the applicant.

(m)

The applicant has been committed to prison in civil or criminal proceedings and:

(i)

has been released; or

(ii)

has not been released.

(n)

The applicant has been made subject to a judgment which involves the payment of money, other than one:

(i)

which is limited to the payment of costs; or

(ii)

in respect of which the applicant is entitled to indemnity or relief from another person as to the whole sum; or

(iii)

which the applicant has paid, and supplied evidence of payment to the SRA (or previously to the Society).

(o)

The applicant is currently charged with an indictable offence.

(p)

The applicant has been convicted of an indictable offence or any offence under the SA, the Financial Services and Markets Act 2000, the Immigration and Asylum Act 1999 or the Compensation Act 2006.

(q)

The applicant has been disqualified from being a companydirector.

(r)

The applicant has been removed from the office of charity trustee or trustee for a charity by an order within the terms of section 72(1)(d) of the Charities Act 1993.

(s)

The applicant has been the subject in another jurisdiction of any circumstance equivalent to those listed in (j) to (r).

3.2

If regulation 3 applies:

(a)

an application for replacement of a practising certificate or for renewal of registration in the register of European lawyers must be commenced at least six weeks before the replacement or renewal date by submitting a completed application form, together with the prescribed fee and any Compensation Fund contribution required; and

(b)

the SRA:

(i)

has no discretion under regulation 3 to grant the application if the applicant does not meet the conditions in regulation 2.2(a) to (c) or 2.3(a)(i) to (vi);

(ii)

has discretion to impose a condition or conditions in accordance with regulation 7; and

(iii)

has discretion to refuse the application.

3.3

The provisions of 3.1 and 3.2 above are subject to the following exceptions.

(a)

Regulation 3 does not apply by virtue of 3.1(a), (b), (c), (d)(i), (e), (j), (k), (m)(i), (n), (o), (p), (q), (r) or (s) if the applicant has previously applied for and obtained a practising certificate or registration, provided that:

(i)

the applicant's practising certificate or registration is not subject to a condition relating to any of those provisions;

(ii)

the SRA (or previously the Society) was aware, when granting that application, of all the relevant facts; and

(iii)

no new circumstances have arisen which would bring the application within any of those provisions.

(b)

If regulation 3 applies only by virtue of 3.1(j), (m), (n) or (p) and an appeal has been made to the appropriate court against the order or judgment in question, the following provisions apply.

(i)

The application must not be refused before the determination of that appeal, unless in the opinion of the SRA the proceedings on that appeal have been unduly protracted by the appellant or are unlikely to be successful.

(ii)

The SRA may in the meantime postpone a decision on the application and may impose a condition on the applicant's practising certificate or registration.

(c)

If regulation 3 applies only by virtue of 3.1(o), the application may not be refused unless the applicant is convicted, but the SRA may postpone a decision on the application and may impose a condition on the applicant's practising certificate or registration.

Guidance note

(i)

"In writing" includes any form of written electronic communication normally used for business purposes, such as emails.

Regulation 4: Application to be a recognised sole practitioner

4.1

An application may be made under regulation 4 by a solicitor or European lawyer:

(a)

for initial authorisation as a recognised sole practitioner:

(i)

when making an initial application for a practising certificate or for registration in the register of European lawyers;

(ii)

when applying for replacement of a practising certificate or for renewal of registration in the register of European lawyers; or

(iii)

at any time during the currency of a solicitor's practising certificate or an REL's registration; or

(b)

for renewal of an existing authorisation as a recognised sole practitioner when applying for replacement of a practising certificate or for renewal of registration in the register of European lawyers.

4.2

When the SRA may grant an application

(a)

The SRA may grant an application under regulation 4 if the applicant:

(i)

will be practising as a sole practitioner from an office in England and Wales;

(ii)

is not, and is not about to be made, subject to a condition on his or her practising certificate or registration which would prohibit practice as a sole practitioner;

(iii)

has adopted a name under which his or her firm is to be recognised, and which will comply with chapter 8 of the SRA Code of Conduct (Publicity);

(iv)

will comply with (or has a waiver of) Rule 12 of the SRA Practice Framework Rules (Persons who must be qualified to supervise); and

(v)

will comply with the SRA Indemnity Insurance Rules in respect of his or her firm.

(b)

The SRA may refuse an application under regulation 4 if it is not satisfied that the applicant is suitable to run and manage a business providing regulated legal services or if for any other reason the SRA reasonably considers that it would be against the public interest to grant recognition.

(c)

In reaching a decision on an application under regulation 4 the SRA may take into account:

(i)

any event listed in regulation 3.1 applying to the applicant;

(ii)

any other conduct on the part of the applicant which calls into question his or her honesty, integrity or respect for law;

(iii)

failure or refusal to disclose, or an attempt to conceal, any matter within (i) or (ii) above in relation to the application; or

(iv)

that the SRA is not satisfied that the applicant has sufficient skills or knowledge in relation to the running and management of a business which provides regulated legal services.

(d)

When granting an application under regulation 4 the SRA may impose a condition on the applicant's practising certificate or registration in accordance with regulation 6.

4.3

If a change to the composition of a recognised body or a licensed body which was a partnership results in a solicitor or REL becoming its sole principal:

(a)

the SRA must be notified within seven days; and

(b)

temporary emergency recognition may be granted, subject to 4.4 below, so as to enable that sole principal to continue in practice without breach of Rule 1 or Rule 2, as appropriate, of the SRA Practice Framework Rules.

4.4

Application for temporary emergency recognition

(a)

An application for temporary emergency recognition must be made on the prescribed form within 7 days of the change and accompanied by all information and documentation the SRA reasonably requires.

(b)

The SRA may grant an application for temporary emergency recognition if the following conditions are met:

(i)

the SRA must be satisfied that the applicant could not reasonably have commenced an application for recognition as a sole practitioner in advance of the change; and

(ii)

the sole practitioner:

(A)

must be practising from an office in England and Wales;

(B)

is not, and is not about to be made, subject to a condition on his or her practising certificate or registration which would prohibit practice as a sole practitioner;

(C)

must have adopted a name under which the firm is to be recognised, and which complies with chapter 8 of the SRA Code of Conduct (Publicity);

(D)

must comply with or have a waiver of Rule 12 of the SRA Practice Framework Rules (Persons who must be qualified to supervise); and

(E)

must comply with the SRA Indemnity Insurance Rules in respect of his or her firm.

(c)

Temporary emergency recognition:

(i)

may be granted initially for 28 days;

(ii)

may be granted to have effect from the date of the partnership split or any other appropriate subsequent date;

(iii)

may be extended for a further specified period or periods in response to a reasonable request by the applicant;

(iv)

must be extended (subject to (viii) below) pending determination of a substantive application for initial recognition commenced during the currency of a temporary emergency recognition;

(v)

may be granted or extended subject to such conditions as the SRA thinks fit, in circumstances falling within regulation 7;

(vi)

is to be treated as initial recognition for the purpose of these regulations;

(vii)

if granted, cannot prejudice the discretion of the SRA to refuse a substantive application for recognition under this regulation (which is also, for the purpose of these regulations, to be treated as initial recognition); and

(viii)

in exceptional circumstances, and for reasonable cause, may be revoked at any time.

4.5

If a recognised sole practitioner dies:

(a)

the SRA must be notified within 7 days;

(b)

within 28 days of the death an emergency application may be made, on the prescribed form, for recognition in the capacity of personal representative, practice manager or employee by a solicitor or an REL who is:

(i)

the sole practitioner's executor;

(ii)

a practice manager appointed by the sole practitioner's personal representatives;

(iii)

an employee of the firm.

4.6

If the application for recognition in the capacity of personal representative, practice manager or employee is granted:

(a)

recognition will be deemed to run from the date of death;

(b)

recognition will not be renewed for any period after the winding up of the estate or 12 months from the date of death, whichever is the earlier.

Guidance note

(i)

The approval process for authorisation under regulation 4 will cease when recognised sole practitioners are passported to become recognised bodies and are transitioned to be regulated under the SRA Authorisation Rules. The SRA will establish a process for those practising as recognised sole practitioners at that time to be deemed approved as managers for the purpose of Rule 8.6 of the SRA Authorisation Rules.

Regulation 5: Fee determinations for acquisitions, mergers and splits

The turnover of a recognised sole practitioner for the purpose of determining the fee for renewal of authorisation as a recognised sole practitioner is based on a historic turnover figure submitted to the SRA. Where in the 12 months following the submission of that figure a recognised sole practitioner merges or splits, a notice of succession identifying all recognised bodies, licensed bodies and recognised sole practitioners affected by the merger or split and any resulting apportionment of historic turnover figures for those firms will enable the SRA to ensure that the turnover figure on which the fee is based reflects the impact of the merger or split.

5.1

A recognised sole practitioner who has succeeded to the whole or a part of one or more recognised bodies, licensed bodies or recognised sole practitioners must within 28 days of the change taking place deliver to the SRA a notice of succession in the prescribed form.

5.2

For the purposes of regulation 5.1, "succeeded" includes any taking over of the whole or any part of a recognised body, licensed body or recognised sole practitioner, for value or otherwise.

5.3

A recognised sole practitioner who:

(a)

has split or ceded part of the practice to a recognised body, licensed body or recognised sole practitioner; and

(b)

wishes this change to be considered by the SRA when determining the recognised sole practitioner's next fee for renewal of authorisation as a recognised sole practitioner

must within 28 days of the change taking place deliver to the SRA a notice of succession in the prescribed form.

5.4

A notice of succession delivered under these regulations must:

(a)

identify all recognised bodies, licensed bodies and recognised sole practitioners affected by the succession; and

(b)

provide details of any resulting apportionment of the turnover figures for those recognised bodies, licensed bodies and recognised sole practitioners.

5.5

A recognised sole practitioner delivering a notice of succession under these regulations must seek the agreement of all affected recognised bodies, licensed bodies or recognised sole practitioners to the contents of the notice of succession.

5.6

Where a notice of succession is delivered to the SRA which has not been agreed by all affected recognised bodies, licensed bodies or recognised sole practitioners, the recognised sole practitioner delivering the notice of succession shall be treated as having made an application for the SRA to apportion the turnover figures of the affected recognised bodies, licensed bodies or recognised sole practitioners for the purposes of determining the fee for renewal of recognition.

5.7

Before apportioning the turnover figures under regulation 5.6, the SRA will contact any affected recognised body, licensed body or recognised sole practitioner identified in the notice of succession who has not agreed with the notice of succession and may require the production of additional information.

5.8

A turnover figure submitted to the SRA under this regulation shall be calculated in accordance with the SRA's prescribed method of calculation.

Guidance note

(i)

Regulation 5 will be repealed when Rule 8.3 of the SRA Authorisation Rules (which contains equivalent provisions) comes into force for sole practitioners.

Regulation 6: Applications for reinstatement

6.1

The following applications are to be treated as made under these regulations:

(a)

an application for reinstatement of a suspended practising certificate or suspended registration in the register of European lawyers under section 16(3) of the SA; and

(b)

an application for reinstatement of a suspended registration in the register of foreign lawyers under paragraph 12(2) of Schedule 14 to the Courts and Legal Services Act 1990 or under section 16(3)(b) of the SA.

Regulation 7: Conditions

7.1

The SRA may impose one or more conditions on a practising certificate or on the registration of a European lawyer when granting an application under regulation 3 to 6, or at any time during the practising year, for the following purposes.

(a)

The SRA considers the individual concerned unsuitable to undertake certain activities in relation to a legal practice, either at all or save as specified in the condition, and that imposing the condition will, in the public interest, limit, restrict, halt or prevent the involvement of the individual concerned in those activities.

(b)

The SRA considers that the individual concerned is putting or is likely to put at risk the interests of clients, third parties or the public by taking certain steps in relation to a legal practice, and that imposing the condition will, in the public interest, limit, restrict, halt or prevent the taking of such steps by the individual concerned.

(c)

The SRA considers the individual concerned unsuitable to engage in certain business agreements, business associations or practising arrangements and that imposing a condition requiring the applicant to obtain the SRA's written approval before taking certain steps will, in the public interest, limit, halt or prevent a risk to clients, third parties or the public.

(d)

The SRA considers that imposing the condition will, in the public interest, require the individual concerned to take specified steps conducive to the carrying on of efficient practice by the individual concerned.

(e)

The SRA considers that imposing the condition will, in the public interest, facilitate closer monitoring by the SRA of compliance by the individual concerned with rules and regulations.

(f)

The SRA considers that it would be in the public interest to impose the condition in any other case during the currency of a practising certificate or registration.

7.2

Without prejudice to the powers of the SRA under paragraph 2A, 12 or 13 of Schedule 14 to the Courts and Legal Services Act 1990, the SRA may when granting an application under regulation 2.1(c) or at any time during the currency of a registration, impose such conditions on a foreign lawyer's registration as it sees fit:

(a)

if any event listed in regulation 3.1 applies to the individual concerned;

(b)

for a purpose within regulation 7.1(a) to (f); or

(c)

where the SRA considers in any other case that imposing the condition would be in the public interest.

7.3

When the SRA decides, on an initial application for a practising certificate or registration or on an application for replacement of a practising certificate or renewal of registration, to grant the application subject to a condition:

(a)

the SRA may postpone the issue of the certificate or the registration pending determination or discontinuance of any appeal; but

(b)

the postponement may be rescinded if in the SRA's opinion proceedings on appeal have been unduly protracted by an appellant or are unlikely to be successful.

7.4

Notice and effective date of conditions

(a)

The SRA must, subject to (b) below, give 28 days written notice, with reasons, to the individual concerned, when the SRA decides to impose a condition on a practising certificate or registration, except when conditions are imposed in the following applications:

(i)

initial application for a practising certificate;

(ii)

initial application for registration in the register of European lawyers or in the register of foreign lawyers;

(iii)

application for replacement of a practising certificate;

(iv)

application for renewal of registration in the register of European lawyers or in the register of foreign lawyers;

(v)

application for reinstatement under regulation 6.

(b)

The SRA may shorten or dispense with the 28 day period under (a) if it is satisfied on reasonable grounds that it is in the public interest to do so.

(c)

A condition is effective from the date on which the condition is imposed unless a later date is specified in the condition.

Regulation 8: Appeals

8.1

The rights of appeal conferred by regulation 8 supplement the statutory rights of appeal referred to in 8.4.

8.2

A person who is the subject of any of the following decisions has a right of appeal to the High Court against:

(a)

revocation, under regulation 10.2(a)(i), (iii), (iv) or (v), of a solicitor's practising certificate;

(b)

revocation, under regulation 10.2(b), of a solicitor's or European lawyer's authorisation as a recognised sole practitioner.

8.3

A solicitor, REL or RFL may appeal under the SRA's own appeals procedure against:

(a)

refusal to revoke a practising certificate or registration under regulation 10.2(c);

(b)

refusal to withhold a solicitor's, European lawyer's or foreign lawyer's place of business from the relevant register under regulation 11, 12 or 13.

8.4

A solicitor, European lawyer or foreign lawyer may invoke the SRA's own appeals procedure before exercising a right of appeal to the High Court:

(a)

under section 13(1) of the SA, against refusal to issue or replace a practising certificate or refusal to renew registration in the register of European lawyers;

(b)

under regulation 20 of the European Communities (Lawyer's Practice) Regulations 2000 (S.I. 2000/1119), against refusal to grant initial registration in the register of European lawyers; 

(c)

under paragraph 14 of Schedule 14 to the Courts and Legal Services Act 1990, against refusal to grant or renew registration in the register of foreign lawyers, or against a decision of the SRA to revoke his or her registration;

(d)

under section 13(1) or 13ZA(6) of the SA or regulation 20 of the European Communities (Lawyer's Practice) Regulations 2000, against refusal to grant or renew authorisation of a solicitor or REL as a recognised sole practitioner;

(e)

under section 13(1), 13ZA(6), 13A(6) or 16(5) of the SA, regulation 20 of the European Communities (Lawyer's Practice) Regulations 2000 or paragraph 14 of Schedule 14 to the Courts and Legal Services Act 1990, against the imposition of a condition on a practising certificate or the registration of a European lawyer or foreign lawyer;

(f)

under section 13(2) or 13A(9) of the SA, against refusal of permission to take a step for which the SRA's permission is required under a condition on a practising certificate or the registration of a European lawyer or foreign lawyer;

(g)

under section 13B(7) of the SA, against suspension of a practising certificate or suspension of registration in the register of foreign lawyers;

(h)

under regulation 20 of the European Communities (Lawyer's Practice) Regulations 2000, against suspension of registration in the register of European lawyers;

(i)

under section 13B(7) of the SA, against extension of suspension of a practising certificate or suspension of the registration of a European lawyer or foreign lawyer;

(j)

under section 13B(7) of the SA, against suspension of authorisation of a solicitor or REL as a recognised sole practitioner;

(k)

under section 16(5) of the SA or paragraph 14 of Schedule 14 to the Courts and Legal Services Act 1990, against refusal to reinstate a suspended practising certificate or the suspended registration of a European lawyer or foreign lawyer;

(l)

under section 16(5) of the SA, against refusal to reinstate a suspended authorisation as a recognised sole practitioner;

(m)

under regulation 20 of the European Communities (Lawyer's Practice) Regulations 2000 against revocation of registration in the register of European lawyers;

(n)

under regulation 19 and 20 of the European Communities (Lawyer's Practice) Regulations 2000 against failure to determine, within four months, an application for initial registration in the register of European lawyers;

(o)

under paragraph 14 of Schedule 14 to the Courts and Legal Services Act 1990, against failure to determine, within a reasonable time, an application for registration, renewal of registration or reinstatement of a suspended registration in the register of foreign lawyers;

(p)

against a decision mentioned in regulation 8.2(a) or (b).

8.5

Deemed refusal

(a)

If an application is made in accordance with regulation 1.1, and the SRA has not notified the applicant of its decision:

(i)

by the end of the 90th day, in the case of any application except an application for renewal of a practising certificate or registration which is made under regulation 3; or

(ii)

by the end of the 180th day, in the case of an application for renewal of a practising certificate or registration including, where applicable, the renewal of an existing authorisation as a recognised sole practitioner endorsed on the practising certificate or registration, which is made under regulation 3,

the application is to be treated as having been refused and the refusal having been duly notified to the applicant on that day for the purpose of an appeal. For the avoidance of doubt, the fact that an application is treated as refused under regulation 8.5 does not prevent the application being granted or refused with reasons after expiry of the time limits above.

(b)

The provisions of (a) above do not apply to an application from which an appeal lies under 8.4(n) or (o).

8.6

Appeal time limits

(a)

Appeals under the SRA's own appeals procedure must be commenced within 28 days of notification of the relevant decision.

(b)

Unless otherwise provided in the relevant statute, regulations or rules of Court or in the relevant decision, an appeal to the High Court must be commenced:

(i)

within the period of 28 days from the date on which the notice of the decision that is subject to appeal is given to the appellant;

(ii)

within a period of 28 days from the date on which the notice of the refusal of an appeal under the SRA's own appeals procedure is given to the appellant; or

(iii)

within a period of 28 days from the date on which the notice of the decision to impose a condition under the SRA's own appeals procedure is given to the appellant,

as appropriate.