SRA Handbook

Application to be a recognised sole practitioner

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Version 1 of the Handbook was published on 16/09/2011. For more information, please click 'History' Above

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.