| Guvnor

Enforced by: SRA, LSB
Status: Amended (in force with amendments)
Penalty ceiling: Prosecution 2 of 14 obligations carry a fine up to £1,000. 1 carries different penalties and 11 have no criminal penalty — flagged in the list below.

Does it bind you?

Business-side roles with duties under this instrument.

Any Person3 Director or Officer1

Plus 10 duties on the regulator, Crown ministers and public bodies — folded into the section list below.

Other Acts binding the same actors

If a role above is yours, these are the other instruments that most often bind it.

Any Person — also bound by 2340 other Acts

Human Medicines Regulations 2012 184 duties

Merchant Shipping Act 1995 144 duties

Insolvency (England and Wales) Rules 2016 104 duties

Communications Act 2003 92 duties

Road Traffic Act 1988 92 duties

Director or Officer — also bound by 429 other Acts

Insolvency (England and Wales) Rules 2016 162 duties

Companies Act 2006 126 duties

Insolvency Act 1986 77 duties

The Large and Medium-sized Companies and Groups (Accounts and Reports) Regulations 2008 68 duties

Building Societies Act 1986 32 duties

What it requires

Sections creating concrete business duties or carrying penalties, grouped as the instrument is structured. Titles link to the source text — blue means you’re leaving for legislation.gov.uk.

Part 1

Right to Practise as Solicitor

3 of 41 sections shown

s.003 Admission as solicitor. Regulated

Other duties (1) — Crown / regulator

Law Society must admit qualified applicants as solicitorsStatutory regulator

s.006 Keeping of the roll. Regulated

Other duties (1) — Crown / regulator

Society must keep the roll of all solicitorsStatutory regulator

s.017 Publicity in relation to suspension of practising certificates. Regulated

Other duties (1) — Crown / regulator

Law Society must publish and record solicitor practising certificate suspensionsStatutory regulator

38 other sections in this Part — procedural and definitional

s.001 Qualifications for practising as solicitor.

s.001 Practising certificates: employed solicitors.

s.001 Restriction on practice as sole solicitor

s.002 Training regulations.

s.004 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

s.005 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

s.007 Entry of name and restoration of name struck off.

s.008 Removal or restoration of name at solicitor’s request.

s.009 Applications for practising certificates.

s.010 Issue of practising certificates.

s.010 Register of holders of practising certificates

s.011 Fees payable on issue of practising certificates.

s.012 Discretion of Society with respect to issue of practising certificates in special cases.

s.012 Additional fee payable by certain solicitors on applying for practising certificates.

s.013 Appeals

s.013 Imposition of conditions while practising certificates are in force.

s.013 Suspension of practising certificates where solicitors convicted of fraud or serious crime.

s.013 Application to practise as sole practitioner while practising certificate in force

s.013 Fee payable on making of sole solicitor endorsement

s.014 Commencement, expiry and replacement of practising certificates.

s.015 Suspension of practising certificates.

s.016 Duration of suspension of practising certificates.

s.017 Suspension of sole solicitor endorsement

s.017 Duration and publicity of suspension of sole solicitor endorsement

s.018 Extracts from the roll or register etc as evidence.

s.019 Rights of practising and rights of audience.

s.020 Unqualified person not to act as solicitor.

s.021 Unqualified person not to pretend to be a solicitor.

s.022 Unqualified person not to prepare certain instruments.

s.022 Powers of entry

s.023 Unqualified person not to prepare papers for probate etc.

s.024 Application of penal provisions to body corporate.

s.025 Costs where unqualified person acts as solicitor.

s.026 Time limit for commencement of certain proceedings.

s.027 Saving for persons authorised to conduct legal proceedings.

s.028 Regulations.

s.029 Non–British subjects as solicitors. 12 & 13 Will. 3. c. 2.

s.030 Evidence as to solicitors in Scotland.

Part 2

Professional Practice, Conduct and Discipline of Solicitors and Clerks

3 of 41 sections shown

s.031 Rules as to professional practice, conduct and discipline. Regulated

Other duties (1) — Crown / regulator

Law Society must require sole solicitors to hold recognition under s.9 of the Administration of Justice Act 1985Statutory regulator

s.046 Funding of the Tribunal Regulated

Other duties (1) — Crown / regulator

Tribunal must submit annual budget to the Law SocietyTribunal / Court

s.053 Production of order of court to Society. Regulated

Other duties (1) — Crown / regulator

SRA must record court orders striking off or suspending solicitorsStatutory regulator

38 other sections in this Part — procedural and definitional

s.032 Accounts rules and trust accounts rules.

s.033 Interest on clients’ money.

s.033 Inspection of practice bank accounts etc.

s.034 Accountants’ reports.

s.034 Employees of solicitors

s.034 Employees of solicitors: accounts rules etc

s.035 Intervention in solicitor’s practice.

s.036 Compensation grants.

s.036 Compensation funds

s.037 Professional indemnity.

s.037 Redress for inadequate professional services.

s.038 Solicitor who is justice of the peace not to act in certain proceedings.

s.039 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

s.040 Solicitor not to commence or defend actions while in prison.

s.041 Employment by solicitor of person struck off or suspended.

s.042 Failure to disclose fact of having been struck off or suspended.

s.043 Control of solicitors’ employees and consultants.

s.044 Offences in connection with orders under section 43(2).

s.044 Power of Council to impose sanctions for inadequate professional services.

s.044 Provision of information and documents by solicitors etc

s.044 Power to require explanation of document or information

s.044 Provision of information and documents by other persons

s.044 Information offences

s.044 Power to charge for costs of investigations.

s.044 Disciplinary powers of the Society

s.044 Appeals against disciplinary action under section 44D

s.045 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

s.046 Solicitors Disciplinary Tribunal.

s.047 Jurisdiction and powers of Tribunal.

s.047 Power of Tribunal to impose sanctions for inadequate professional services.

s.048 Orders of Tribunal.

s.049 Appeals from Tribunal.

s.049 Appeals to the Tribunal instead of the High Court

s.050 Jurisdiction of Senior Courts over solicitors.

s.051 Procedure upon certain applications to High Court.

s.052 Power of Society to draw up order of court.

s.054 Restrictions on powers to strike names off roll.

s.055 Applications to require solicitor to answer allegations.

Part 3

Remuneration of Solicitors

0 of 20 sections shown

20 other sections in this Part — procedural and definitional

s.056 Orders as to remuneration for non–contentious business.

s.057 Non–contentious business agreements.

s.058 Remuneration of a solicitor who is a mortgagee.

s.059 Contentious business agreements.

s.060 Effect of contentious business agreements.

s.061 Enforcement of contentious business agreements.

s.062 Contentious business agreements by certain representatives.

s.063 Effect on contentious business agreement of death, incapability or change of solicitor.

s.064 Form of bill of costs for contentious business.

s.065 Security for costs and termination of retainer.

s.066 Assessments with respect to contentious business.

s.067 Inclusion of disbursements in bill of costs.

s.068 Power of court to order solicitor to deliver bill, etc.

s.069 Action to recover solicitor’s costs.

s.070 Assessment on application of party chargeable or solicitor.

s.071 Assessment on application of third parties.

s.072 Supplementary provisions as to assessments.

s.073 Charging orders.

s.074 Special provisions as to contentious business done in county courts.

s.075 Saving for certain enactments.

Part 4

Miscellaneous and General

0 of 17 sections shown

17 other sections in this Part — procedural and definitional

s.076 Non–practising solicitors eligible for membership of Society.

s.077 Annual subscription to Society.

s.078 Cessation and suspension of membership of Society.

s.079 Discharge of the Council's functions

s.080 Powers to act on behalf of Society.

s.081 Administration of oaths and taking of affidavits.

s.081 Fees for administering oaths and taking affidavits.

s.082 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

s.083 Power of Society to inspect file of proceedings in bankruptcy of solicitor.

s.084 Service of documents at solicitor’s place of business.

s.085 Bank accounts.

s.086 Bankers’ books.

s.086 Rules

s.087 Interpretation.

s.088 Saving for solicitors to public departments and City of London.

s.089 Consequential amendments, repeals, savings, etc.

s.090 Short title, commencement and extent.

Schedules

8 of 45 shown

s.sch001 (1) The High Court, on the application of the Society,... Regulated

Other duties (1) — Crown / regulator

High Court may redirect a solicitor's communications to the SRATribunal / Court

s.sch001 Subject to any order for the payment of costs that... Regulated

Pay Law Society costs incurred under intervention scheduleAny Person

s.sch001 Where an offence under this Schedule committed by a body... Regulated

Personal liability for corporate offence under Solicitors ActDirector or Officer

s.sch001 (1) Without prejudice to paragraph 5, if the Society passes... Prosecution

Pay out client money after receiving SRA prohibition noticeAny Person

Fine up to £1,000

s.sch001 (1) Without prejudice to paragraph 5, if the Society passes... Regulated

Other duties (1) — Crown / regulator

Society must serve notice of debt vesting resolution on solicitor and debtorStatutory regulator

s.sch001 (1) The Society may give notice to the solicitor or... Prosecution

Fail to comply with document production noticeAny Person

Fine up to £1,000

s.sch002 The fund shall be maintained and administered by the Society... Regulated

Other duties (1) — Crown / regulator

Law Society must maintain and administer the compensation fundStatutory regulator

s.sch002 There shall be carried to the credit of the fund—... Regulated

Other duties (1) — Crown / regulator

Society must credit all receipts to the Compensation FundStatutory regulator

37 other schedules

s.sch001 (1) Subject to sub–paragraph (2), the powers conferred by Part...

s.sch001 (1) If the solicitor or his personal representative is a...

s.sch001 The powers in relation to sums of money , documents...

s.sch001 (1) The High Court, on the application of the Society,...

s.sch001 Any application to the High Court under this Schedule may...

s.sch001 The Society may do all things which are reasonably necessary...

s.sch001 On the death of a sole solicitor paragraphs 6 to...

s.sch001 The powers conferred by Part II of this Schedule shall...

s.sch001 (1) Where the powers conferred by Part II of this...

s.sch001 (1) The High Court, on the application of the Society,...

s.sch001 (1) The Society may make rules governing its treatment of...

s.sch001 (1) If the Society takes possession of any sum of...

s.sch001 Without prejudice to paragraphs 5 to 7, if the High...

s.sch001a Circumstances in which Council’s powers may be exercised

s.sch001a Directions which may be given

s.sch001a Compensation

s.sch001a Taxation of costs

s.sch001a Failure to comply with direction

s.sch001a Fees

s.sch001a Costs

s.sch001a Duty of Tribunal

s.sch001a Interpretation

s.sch002 (1) Subject to sub–paragraphs (2) and (2A), every solicitor—

s.sch002 The Society may invest any money which forms part of...

s.sch002 . . . the Society may borrow for the purposes...

s.sch002 The Society may insure with authorised insurers for such purposes...

s.sch002 All money from time to time forming part of the...

s.sch004 . . . . . . . . . ....

s.sch004 In section 20(3) of the Justices of the Peace Act...

s.sch004 . . . . . . . . . ....

s.sch004 In section 192(2) of the County Courts Act 1959 (as...

s.sch004 . . . . . . . . . ....

s.sch004 In section 4(2) of the Matrimonial Causes Act 1967, for...

s.sch004 In section 223(1) of the Local Government Act 1972, for...

Help complying

Guvnor’s practical routes through this instrument.

Ongoing compliance for law firms

Learning path for maintaining regulatory compliance at an authorised law firm: annual renewal cycle, COLP and COFA reporting, client account management, AML …

Start a law firm in England and Wales

End-to-end learning path for setting up a law firm: choosing entity type, SRA authorisation, appointing COLP and COFA, professional indemnity insurance, client …

Law firm compliance quick check

Rapid compliance audit for law firms: SRA authorisation, practising certificates, PII, client accounts, AML, complaints procedure, price transparency, and the annual declaration.

Respond to an SRA investigation

Problem path for law firms facing SRA investigation: immediate steps, cooperation obligations, instructing specialist regulatory defence, responding to proposed conditions or fines, …

AML compliance for legal services

Learning path for law firms implementing anti-money laundering compliance: firm-wide risk assessment, client due diligence, source of funds verification, legal professional privilege …

Annual compliance checklist for law firms

A checklist of annual regulatory obligations for SRA-authorised law firms in England and Wales. Covers practising certificate renewal, professional indemnity insurance, Compensation …

COLP and COFA: Roles, Responsibilities, and Reporting

Understand what the Compliance Officer for Legal Practice (COLP) and Compliance Officer for Finance and Administration (COFA) do, who can be appointed, …

Client account reconciliation: quick reference

Quick reference for client account reconciliation obligations under the SRA Accounts Rules 2019. Covers five-weekly reconciliation requirements, central record keeping, SRA reporting …

Comply with SRA Standards and Regulations

Implement the SRA Standards and Regulations in your law firm. Covers the SRA Principles, Codes of Conduct for solicitors and firms, appointing …

Get SRA authorisation for your law firm

How to apply to the Solicitors Regulation Authority for authorisation to set up a law firm in England and Wales. Covers choosing …

Manage client money under SRA Accounts Rules

Set up and manage a client account to comply with the SRA Accounts Rules 2019. Covers what counts as client money, when …

PII renewal checklist for law firms

Annual checklist to verify your firm's PII renewal is on track. Covers claims history, risk management review, insurer notification, SRA confirmation, cover …

Professional indemnity insurance for law firms

Understand your professional indemnity insurance obligations as an SRA-authorised law firm. Covers how to obtain qualifying PII, the annual renewal cycle, what …

6 more guides that reference this instrument

Respond to an SRA investigation of your law firm Understanding legal services regulation in the UK Anti-money laundering compliance for law firms Apply for ABS licensing as an alternative business structure Comply with SRA Price Transparency Rules Legal professional privilege and SAR reporting: when the exemption applies

Duty extraction and severity labels are Guvnor’s analysis of the instrument, not the instrument itself. Always verify against the linked source text.

Solicitors Act 1974

Does it bind you?

Other Acts binding the same actors

What it requires

Right to Practise as Solicitor

Professional Practice, Conduct and Discipline of Solicitors and Clerks

Remuneration of Solicitors

Miscellaneous and General

Schedules

Help complying

Ongoing compliance for law firms

Start a law firm in England and Wales

Law firm compliance quick check

Respond to an SRA investigation

AML compliance for legal services

Annual compliance checklist for law firms

COLP and COFA: Roles, Responsibilities, and Reporting

Client account reconciliation: quick reference

Comply with SRA Standards and Regulations

Get SRA authorisation for your law firm

Manage client money under SRA Accounts Rules

PII renewal checklist for law firms

Professional indemnity insurance for law firms