Solicitor Conduct

The Law Society has extensive powers to intervene in practices and take over the running of practices where a solicitor is in the firm or has been struck from the roll.

The Law Society Council may initiate procedures for solicitors being guilty of undue delay in certain types of matters. The Council may impose sanctions for inadequate professional service. This may require a refund of fees, payment of costs, or the undertaking of actions directly.

The Law Society may examine files in connection with the hearing of complaints.

A lay observer may be appointed to report to the Lord Chief Justice and the head of the department and the council on the nature of complaints being made on the conduct of solicitors, to examine written allegations made on behalf of the public concerning the society’s treatment of complainants about a solicitor or solicitor’s employee. The Council shall consider a report received from lay observers and notify them of any action taken in consequence. Where it appears that a lay observer in examining allegations and complaints, a question of professional misconduct or service arises where it should be appropriate to refer to the Tribunal, the lay observer may make an application to the Tribunal.

The Solicitors Disciplinary Tribunal consists of solicitors and non-solicitors appointed by the Lord Chief Justice for the purpose of determining complaints. There must be at least three members present, with at least one of them being a lay member and the majority being solicitor members.

Applications may be made to the Tribunal in respect of complaints by the society or other persons of professional misconduct, contravention of solicitor’s obligations, or conviction of an offence. A solicitor may also make an application to the Tribunal for reinstatement on the rolls or the removal of conditions from practicing certificates.

Where an application or complaint is made, the Tribunal decides whether there is a prima facie case and, if so, gives notice of the application to the solicitor concerned and furnishes documents and affidavits. The Tribunal may decide if there is any cause to inquire further.

The Tribunal may hold an inquiry and exercise their powers of the High Court in relation to summoning witnesses and requiring the production of documents.

Parties may be represented before the Tribunal. The Tribunal may report failures of persons to attend, answer questions, etc., to the High Court, which may inquire into the same and take steps for punishment in the same manner as contempt of court.

The Tribunal may make orders dismissing applications, admonishing solicitors, imposing fines up to £3,000, restricting, suspending solicitors, or striking them off the roll. They may make a variety of other orders.

The Tribunal may impose sanctions for inadequate professional services. It may make orders prohibiting and excluding persons who undertake legal aid work for misconduct. Orders in relation to inadequate professional services include ordering of steps, directing rectification, directing refund or payment of monies, directing refund of monies.

A person aggrieved by a decision of the Tribunal may appeal to the Lord Chief Justice, who may affirm, vary, or revoke the order. Certain other orders are appealed to the High Court.

The Law Society must establish a compensation fund. The council may, on application being made, make grants from the fund where a satisfied person has suffered loss as a consequence of dishonesty on the part of a solicitor or an employee of a solicitor in connection with their practice or purported practice.

Where the Council, on an application for a grant, is satisfied that a person is likely to suffer hardship due to a solicitor’s failure to account for money coming to hand in connection with their practice, it may make a grant. However, the society shall not make a grant unless the council is satisfied that the solicitor in question has been given notice of the application.

The society is entitled to the position of the applicant and may pursue any claims against the solicitor. Receipt of a grant is not a defense to a professional negligence claim.

Where the Council is satisfied that a solicitor has suffered or is likely to suffer loss or hardship due to their liability to pay any of their firm’s claims arising from an act or default of their partners or employers, the Council may make a subvention grant from the compensation fund to relieve such loss or hardship.

The Council makes regulations requiring solicitors to have professional indemnity insurance against civil claims arising in the course of a solicitor’s practice. The claims liability cover extends to employees, solicitors, former solicitors, employees, and former employees of the solicitor.

The regulations may specify an authorized insurer. They may also provide for an indemnity fund. Regulations may specify mandatory terms and conditions for the availability of indemnity. They may require solicitors to make payments to the society’s fund or policy.