SRA Handbook

Solicitors Keeping of the Roll Regulations

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Solicitors Keeping of the Roll Regulations 2011

These regulations, dated 17 June 2011, commencing on 6 October 2011, made by the Solicitors Regulation Authority Board, under sections 28, 79 and 80 of the Solicitors Act, with the approval of the Legal Services Board under paragraph 19 of Schedule 4 to the Legal Services Act 2007.

Part 1: The roll and information

Regulation 1: The roll

1.1

The SRA shall continue to keep a list of all solicitors of the Senior Courts of England and Wales, called "the roll".

Regulation 2: Mode of keeping the roll

2.1

The roll will be kept in electronic form.

Regulation 3: Content of the roll

3.1

In respect of entries made or altered as from 6 October 2011, the roll must contain, in respect of each solicitor, the following information:

(a)

full name, including title;

(b)

date of birth;

(c)

registration number;

(d)

date of admission;

(e)

principal place of business in the case of a practising solicitor;

(f)

address for correspondence in the case of a non-practising solicitor;

(g)

a note about any suspension of the solicitor from practice, or suspension of the solicitor's practising certificate, or suspension of the solicitor from practice as a sole practitioner, or suspension of the solicitor's authorisation as a recognised sole practitioner, or the termination of any such suspension;

(h)

a note of any order of the Tribunal under section 47 of the SA in respect of the solicitor (or former solicitor), and a note of any order of the High Court or the Court of Appeal striking the solicitor off the roll; and

(i)

any other reasonable information, necessary for carrying out the SRA's statutory objectives, from time to time prescribed by the SRA.

Guidance note

(i)

Because sole practitioners are not authorised by means of endorsement on their practising certificate after 31 March 2012 or the date on which an order made pursuant to section 69 of the Legal Services Act 2007 relating to the status of sole practitioners comes into force, whichever is the later, the roll shows only suspensions of authorisation occurring up to that date. For information on sole practitioner firms after that please refer to the register of authorised bodies (see rule 34 of the SRA Authorisation Rules).

Regulation 4: Public access to information

4.1

Entries on the roll under regulation 3.1 (a), (c), (d), (e), (g) and (h) must be available for inspection by any member of the public during office hours without charge, except that the SRA may in exceptional circumstances, and if it considers that to do so would be in the public interest, withhold the address of a solicitor's principal place of business.

4.2

The date on which a solicitor's name was

(a)

removed from or

(b)

struck off

the roll must be made available to a member of the public on request.

Regulation 5: Address for correspondence

5.1

When the SRA writes to any person under these regulations it shall write to the solicitor's last notified address.

Regulation 6: Annual enquiry

6.1

The SRA shall once a year ask every solicitor without a practising certificate whether the solicitor wishes his or her name to remain on the roll.

Part 2: Removal, restoration and change of name

Regulation 7: Removal from the roll

7.1

The SRA may remove from the roll the name of any solicitor who:

(a)

replies, following an enquiry under regulation 6, that he or she does not wish to remain on the roll; or

(b)

fails to reply within eight weeks to an enquiry under regulation 6; or

(c)

fails, within eight weeks of an enquiry under regulation 6, to pay the fee prescribed by regulation 15.1 for remaining on the roll; or

(d)

applies to have his or her name removed from the roll; or

(e)

has died.

Regulation 8: Application for restoration to the roll

8.1

A person whose name has been removed from the roll may apply to the SRA for his or her name to be restored to the roll.

8.2

This regulation does not apply if:

(a)

the Tribunal has made an order prohibiting the restoration of the person's name to the roll except by order of the Tribunal; or

(b)

the person's name has been struck off the roll.

8.3

The SRA shall not restore a person's name to the roll unless satisfied as to that person's character and suitability to be a solicitor.

Guidance note

(i)

The SRA will satisfy itself as to a person's character and suitability in a number of ways. These may include, but are not limited to, CRB disclosures and Police National Computer checks, as well as self-disclosure, in accordance with the Suitability Test. This will be in addition to taking into account the factors set out in regulations 10 and 11.

Regulation 9: Application for change of name on the roll

9.1

A solicitor whose name has changed may apply to the SRA to change his or her name on the roll.

Regulation 10: Outstanding complaints

10.1

The SRA may refuse to remove from or restore to the roll the name of a solicitor or former solicitor against whom there is an outstanding complaint.

Regulation 11: Disciplinary proceedings

11.1

The SRA shall not remove from or restore to the roll the name of any solicitor or former solicitor against whom disciplinary proceedings are pending before the Senior Courts or the Tribunal.

Regulation 12: Notice of intention to remove name

12.1

Where regulation 7.1(b) or (c) applies, the SRA shall not remove a solicitor's name from the roll until it has notified the solicitor in writing that it intends to remove his or her name.

Regulation 13: Letter of confirmation or notice of refusal

13.1

The SRA shall write to a solicitor or former solicitor:

(a)

confirming that his or her name on the roll has been removed from, restored to or changed on the roll; or

(b)

giving notice that the SRA has refused to remove from, restore to or change his or her name on the roll.

Part 3: Forms, fees and appeals

Regulation 14: Forms

14.1

The SRA may prescribe forms for replies or applications to the SRA and in the case of an application under regulation 9 may require such evidence as it sees fit.

Regulation 15: Fees

15.1

Subject to regulation 15.2 any reply, following an enquiry under regulation 6, that a solicitor wishes to remain on the roll must be accompanied by a fee of £20.

15.2

No fee is payable under regulation 6 by any solicitor whose name has been on the roll for 50 years or more or for such shorter prescribed period.

15.3

Any application under regulation 8 for restoration of a person's name to the roll shall be accompanied by the prescribed fee.

Regulation 16: Appeals

16.1

Any person who is aggrieved because:

(a)

the SRA has removed his or her name from the roll;

(b)

the SRA refused to remove his or her name from the roll; or

(c)

the SRA refused to change his or her name on the roll

may appeal to the High Court under this regulation.

16.2

Any person aggrieved by the SRA's refusal to restore his or her name to the roll under regulation 8 may appeal to the High Court under section 8(4) of the SA.

16.3

A person must invoke the SRA's own appeals procedure before appealing to the High Court under this regulation, and may invoke the SRA's own appeals procedure before appealing to the High Court under section 8(4) of the SA.

16.4

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

16.5

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 within 28 days of the date of notification of the relevant decision, whether that is the SRA's initial decision or a decision under the SRA's own appeals procedure.

16.6

Under sections 8(4B) and 28(3F) of the SA the decision of the High Court is final.

Part 4: Interpretation and transitional arrangements

Regulation 17: Interpretation

17.1

The SRA Handbook Glossary 2012 shall apply and, unless the context otherwise requires:

(a)

all italicised terms shall be defined; and

(b)

all terms shall be interpreted,

in accordance with the Glossary.

Regulation 18: Transitional provision

18.1

From 31 March 2012 or the date on which an order made pursuant to section 69 of the LSA relating to the status of sole practitioners comes into force, whichever is the later, in regulation 3.1(g) the words "or suspension of the solicitor from practice as a sole practitioner, or suspension of the solicitor's authorisation as a recognised sole practitioner," shall be omitted.