Ongoing compliance for law firms
- 7 steps
UK Act of Parliament
1974
United Kingdom
Solicitors Act 1974
At a glance
Who this Act binds
Plus 1 non-business duty on Crown ministers, regulators, local authorities or tribunals — shown collapsed under each section below.
Step-by-step journeys using this legislation
Walkthroughs that take you from a real business situation to compliance.
Start a law firm in England and Wales
- 6 steps
Law firm compliance quick check
- 5 steps
Respond to an SRA investigation
- 2 steps
AML compliance for legal services
- 3 steps
Relevant guidance
Practical guides for businesses affected by this Act, ordered by how closely they engage with it.
Direct — cites this Act
9 guidesAnnual 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
Supporting — topic alignment
1 guidesMentioned in related content
4 guidesWhat this Act requires
Sections that create concrete duties on businesses or carry penalties. Procedural and definitional sections are folded into the “Browse other sections” expander at the bottom of each group. Click any section title to read the source text on legislation.gov.uk.
Part I — Right to Practise as Solicitor
Browse 41 other sections in this Part — procedural / definitional / commencement
Qualifications for practising as solicitor.
Practising certificates: employed solicitors.
Restriction on practice as sole solicitor
Training regulations.
Admission as solicitor.
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Keeping of the roll.
Entry of name and restoration of name struck off.
Removal or restoration of name at solicitor’s request.
Applications for practising certificates.
Issue of practising certificates.
Register of holders of practising certificates
Fees payable on issue of practising certificates.
Discretion of Society with respect to issue of practising certificates in special cases.
Additional fee payable by certain solicitors on applying for practising certificates.
Appeals
Imposition of conditions while practising certificates are in force.
Suspension of practising certificates where solicitors convicted of fraud or serious crime.
Application to practise as sole practitioner while practising certificate in force
Fee payable on making of sole solicitor endorsement
Commencement, expiry and replacement of practising certificates.
Suspension of practising certificates.
Duration of suspension of practising certificates.
Publicity in relation to suspension of practising certificates.
Suspension of sole solicitor endorsement
Duration and publicity of suspension of sole solicitor endorsement
Extracts from the roll or register etc as evidence.
Rights of practising and rights of audience.
Unqualified person not to act as solicitor.
Unqualified person not to pretend to be a solicitor.
Unqualified person not to prepare certain instruments.
Powers of entry
Unqualified person not to prepare papers for probate etc.
Application of penal provisions to body corporate.
Costs where unqualified person acts as solicitor.
Time limit for commencement of certain proceedings.
Saving for persons authorised to conduct legal proceedings.
Regulations.
Non–British subjects as solicitors. 12 & 13 Will. 3. c. 2.
Evidence as to solicitors in Scotland.
Part II — Professional Practice, Conduct and Discipline of Solicitors and Clerks
Browse 41 other sections in this Part — procedural / definitional / commencement
Rules as to professional practice, conduct and discipline.
Accounts rules and trust accounts rules.
Interest on clients’ money.
Inspection of practice bank accounts etc.
Accountants’ reports.
Employees of solicitors
Employees of solicitors: accounts rules etc
Intervention in solicitor’s practice.
Compensation grants.
Compensation funds
Professional indemnity.
Redress for inadequate professional services.
Solicitor who is justice of the peace not to act in certain proceedings.
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Solicitor not to commence or defend actions while in prison.
Employment by solicitor of person struck off or suspended.
Failure to disclose fact of having been struck off or suspended.
Control of solicitors’ employees and consultants.
Offences in connection with orders under section 43(2).
Power of Council to impose sanctions for inadequate professional services.
Provision of information and documents by solicitors etc
Power to require explanation of document or information
Provision of information and documents by other persons
Information offences
Power to charge for costs of investigations.
Disciplinary powers of the Society
Appeals against disciplinary action under section 44D
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Solicitors Disciplinary Tribunal.
Funding of the Tribunal
Jurisdiction and powers of Tribunal.
Power of Tribunal to impose sanctions for inadequate professional services.
Orders of Tribunal.
Appeals from Tribunal.
Appeals to the Tribunal instead of the High Court
Jurisdiction of Senior Courts over solicitors.
Procedure upon certain applications to High Court.
Power of Society to draw up order of court.
Production of order of court to Society.
Restrictions on powers to strike names off roll.
Applications to require solicitor to answer allegations.
Part III — Remuneration of Solicitors
Browse 20 other sections in this Part — procedural / definitional / commencement
Orders as to remuneration for non–contentious business.
Non–contentious business agreements.
Remuneration of a solicitor who is a mortgagee.
Contentious business agreements.
Effect of contentious business agreements.
Enforcement of contentious business agreements.
Contentious business agreements by certain representatives.
Effect on contentious business agreement of death, incapability or change of solicitor.
Form of bill of costs for contentious business.
Security for costs and termination of retainer.
Assessments with respect to contentious business.
Inclusion of disbursements in bill of costs.
Power of court to order solicitor to deliver bill, etc.
Action to recover solicitor’s costs.
Assessment on application of party chargeable or solicitor.
Assessment on application of third parties.
Supplementary provisions as to assessments.
Charging orders.
Special provisions as to contentious business done in county courts.
Saving for certain enactments.
Part IV — Miscellaneous and General
Browse 17 other sections in this Part — procedural / definitional / commencement
Non–practising solicitors eligible for membership of Society.
Annual subscription to Society.
Cessation and suspension of membership of Society.
Discharge of the Council's functions
Powers to act on behalf of Society.
Administration of oaths and taking of affidavits.
Fees for administering oaths and taking affidavits.
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Power of Society to inspect file of proceedings in bankruptcy of solicitor.
Service of documents at solicitor’s place of business.
Bank accounts.
Bankers’ books.
Rules
Interpretation.
Saving for solicitors to public departments and City of London.
Consequential amendments, repeals, savings, etc.
Short title, commencement and extent.
Schedules
Where an offence under this Schedule committed by a body...
- Personal liability for corporate offence under Solicitors Act
(1) Without prejudice to paragraph 5, if the Society passes...
Fine up to £1,000- Pay out client money after receiving SRA prohibition notice
(1) Without prejudice to paragraph 5, if the Society passes...
Other duties (1) — Crown / regulator
- Society must serve notice of debt vesting resolution on solicitor and debtor Statutory regulator
(1) The Society may give notice to the solicitor or...
Fine up to £1,000- Fail to comply with document production notice
Browse 41 other Schedules — structural / supplementary
(1) Subject to sub–paragraph (2), the powers conferred by Part...
(1) The High Court, on the application of the Society,...
(1) If the solicitor or his personal representative is a...
The powers in relation to sums of money , documents...
Subject to any order for the payment of costs that...
(1) The High Court, on the application of the Society,...
Any application to the High Court under this Schedule may...
The Society may do all things which are reasonably necessary...
On the death of a sole solicitor paragraphs 6 to...
The powers conferred by Part II of this Schedule shall...
(1) Where the powers conferred by Part II of this...
(1) The High Court, on the application of the Society,...
(1) The Society may make rules governing its treatment of...
(1) If the Society takes possession of any sum of...
Without prejudice to paragraphs 5 to 7, if the High...
Circumstances in which Council’s powers may be exercised
Directions which may be given
Compensation
Taxation of costs
Failure to comply with direction
Fees
Costs
Duty of Tribunal
Interpretation
The fund shall be maintained and administered by the Society...
(1) Subject to sub–paragraphs (2) and (2A), every solicitor—
The Society may invest any money which forms part of...
. . . the Society may borrow for the purposes...
The Society may insure with authorised insurers for such purposes...
There shall be carried to the credit of the fund—...
All money from time to time forming part of the...
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In section 20(3) of the Justices of the Peace Act...
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In section 192(2) of the County Courts Act 1959 (as...
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In section 4(2) of the Matrimonial Causes Act 1967, for...
In section 223(1) of the Local Government Act 1972, for...
Official guidance
Authoritative sources published by regulators or government explaining this legislation.
- Case studies: applying for a senior management function | FCA (opens in a new tab) from FCA Detailed Guidance
- SRA | SQE Assessment Regulations (opens in a new tab) from SRA Detailed Guidance
- SRA | Delegation framework (opens in a new tab) from SRA Detailed Guidance
- SRA | Who can make decisions at the SRA (opens in a new tab) from SRA Detailed Guidance
- SRA | SRA adjudication (opens in a new tab) from SRA Detailed Guidance
- SRA | SRA adjudication (opens in a new tab) from SRA Detailed Guidance
- SRA | Topic guide: Anti-money laundering (opens in a new tab) from SRA Detailed Guidance
- SRA | Statutory Trust Rules (opens in a new tab) from SRA Detailed Guidance
- SRA | SQE Assessment Regulations (opens in a new tab) from SRA Detailed Guidance
- SRA | Roll, Registers and Publication Regulations (opens in a new tab) from SRA Detailed Guidance
- ... and 69 more
Enforcement and responsible bodies
The regulators that administer or enforce this legislation.
SRA
PrimarySolicitors Regulation Authority
Regulates solicitors and law firms in England and Wales. Sets standards, authorises firms, investigates misconduct, and can impose sanctions including fines and …
Legal Services Board
Oversight regulator for legal services in England and Wales. Supervises approved regulators including SRA, Bar Standards Board, and CILEx. Ensures regulation serves …
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Regulators
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