Application of the Rules

You are reading current version in effect from 25 November 2019
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You are reading current version in effect from 25 November 2019

Glossary terms

practice (2012)

means the activities, in that capacity, of:

(i)

a solicitor;

(ii)

an REL, from an office or offices within the UK;

(iii)

a member of an Establishment Directive profession registered with the BSB under the Establishment Directive, carried out from an office or offices in England and Wales;

(iv)

an RFL, from an office or offices within England and Wales, as:

(A)

an employee of a recognised sole practice; or

(B)

a manager, employee, member or interest holder of an authorised body or a manager, employee or owner of an authorised non-SRA firm;

(v)

an authorised body;

(vi)

a manager of an authorised body;

(vii)

a person employed in England and Wales by an authorised body;

(viii)

a lawyer of England and Wales; or

(ix)

an authorised non-SRA firm;

and "practise" and "practising" should be construed accordingly; save for in:

(i)

the SRA Indemnity Insurance Rules where "practice" means the whole or such part of the private practice of a firm as is carried on from one or more offices in England and Wales;

(ii)

the SRA Indemnity Rules where it means a practice to the extent that:

(A)

in relation to a licensed body, it carries on regulated activities; and

(B)

in all other cases, it carries on private practice providing professional services as a sole solicitor or REL or as a partnership of a type referred to in Rule 6.1(d) to 6.1(f) and consisting of or including one or more solicitors and/or RELs, and shall include the business or practice carried on by a recognised body in the providing of professional services such as are provided by individuals practising in private practice as solicitors and/or RELs or by such individuals in partnership with RFLs, whether such practice is carried on by the recognised body alone or in partnership with one or more solicitors, RELs and/or other recognised bodies; and

(iii)

in the SRA Overseas Rules where it shall be given its natural meaning.

solicitor (2012)

means a person who has been admitted as a solicitor of the Senior Courts of England and Wales and whose name is on the roll kept by the Society under section 6 of the SA, save that in the SRA Indemnity Insurance Rules includes a person who practises as a solicitor whether or not he or she has in force a practising certificate, and also includes practice under home title of a former REL who has become a solicitor.

REL (2012)

means registered European lawyer, namely, an individual registered with the SRA under regulation 17 of the European Communities (Lawyer's Practice) Regulations 2000 (SI 2000/ no.1119).

sole practitioner (2012)

means a solicitor or an RELæpractising as a sole principal in a practice (other than an incorporated practice) and does not include a solicitor or an RELæpractisingæin-house, save for the purposes of:

(i)

the SRA Accounts Rules and SRA Indemnity Insurance Rules where references to "practising" are to be given their natural meaning; and

(ii)

the SRA Authorisation Rules where it includes (as the context may require) a solicitor or REL intending to practise as a sole principal in a practice (other than incorporated practice).

recognised body (2012)

means a body recognised by the SRA under section 9 of the AJA.

partnership (2012)

means a body that is not a body corporate in which persons are, or are held out as, partners, save that in the MTC means an unincorporated insured firm in which persons are or are held out as partners and does not include an insured firm incorporated as an LLP.

licensed body (2012)

means a body licensed by the SRA under Part 5 of the LSA.

RFL (2012)

means registered foreign lawyer, namely, an individual registered with the SRA under section 89 of the Courts and Legal Services Act 1990.

non-registered European lawyer (2012)

means:

(i)

in the SRA Indemnity Rules, a member of a legal profession which is covered by the Establishment Directive, but who is not:

(A)

a solicitor, REL or RFL,

(B)

a barrister of England and Wales, Northern Ireland or the Irish Republic, or

(C)

a Scottish advocate; and

(ii)

in the SRA Financial Services (Scope) Rules, a member of a profession covered by the Establishment Directive who is based entirely at an office or offices outside England and Wales and who is not a solicitor, REL or RFL.

Establishment Directive (2012)

means the Establishment of Lawyers Directive 98/5/EC.

regulated activity (2012)

means:

(i)

subject to sub-paragraph (ii) below:

(A)

any reserved legal activity;

(B)

any non-reserved legal activity except, in relation to an MDP, any such activity that is excluded on the terms of the licence;

(C)

any other activity in respect of which a licensed body is regulated pursuant to Part 5 of the LSA; and

(ii)

in the SRA Financial Services (Scope) Rules, an activity which is specified in the Regulated Activities Order.