Solicitors (Northern Ireland) Order 1976

• Citation: S.I. 1976/582 (N.I.)
• Sections: 173

Section 1 Title

This Order may be cited as the Solicitors (Northern Ireland) Order 1976.

Section 3 Interpretation

(1) The Interpretation Act (Northern Ireland) 1954 shall apply to Article 2 and the following provisions of this Order as it applies to a Measure of the Northern Ireland Assembly.

(2) In this Order—

“building society” means a building society within the meaning of the Building Societies Act 1986; and a reference to an account with a building society is a reference to a deposit account;

“client”, in relation to non-contentious business, includes any person who, as a principal or on behalf of another or as a trustee or executor or in any other capacity, has power, express or implied, to retain or employ, and retains or employs or is about to retain or employ, a solicitor, and any person liable to pay to a solicitor any costs for his services and, in relation to contentious business, includes any person who as a principal or on behalf of another person retains or employs, or is about to retain or employ, a solicitor, and any person who is or may be liable to pay a solicitor's costs ;

“contentious business” means business done, whether as solicitor or advocate, in or for the purposes of proceedings begun before a court (including the Lands Tribunal) or before an arbitrator . . . , not being business which falls within the definition of [ non-contentious probate business contained in Article 2(2) of the Administration of Estates (Northern Ireland) Order 1979] ;

“contentious business agreement” means an agreement made in pursuance of Article 64;

“controlled trust”, in relation to a solicitor, means a trust of which he is a sole trustee or co-trustee only with one or more of his partners or employees;

“the Council” means the Council of the Society;

Definition rep. by 1989 NI 14

“employee” includes an apprentice or clerk

“enactment” includes any statutory provision within the meaning of section 1( f ) of the Interpretation Act (Northern Ireland) 1954 ;

“indemnity regulations” means regulations under Article 63;

“instrument” includes anything which is a statutory instrument or a statutory document within the meaning of paragraph ( d ) or paragraph ( e ) respectively of section 1 of the Interpretation Act (Northern Ireland) 1954;

the Legal Services Oversight Commissioner” means the Legal Services Oversight Commissioner for Northern Ireland;

“local authority” means a district council, a joint committee appointed by two or more such councils, the Education Authority , ... the Regional Business Services Organisation, the Regional Agency for Public Health and Social Well-being or the Northern Ireland Housing Executive established under section 1 of the Housing Executive Act (Northern Ireland) 1971 ;

“non-contentious business” means any business done as a solicitor which is not contentious business as defined by this paragraph;

“notice” means notice in writing;

“officer”, in relation to a limited liability partnership, means a member of the limited liability partnership;

“practising certificate” has the meaning assigned to it by Article 4;

“prescribed” means prescribed by regulations;

“public officer” means an officer whose remuneration is appropriated by Measure or is defrayed out of money provided by Parliament;

“the register” means the register of practising solicitors kept by the registrar under Article 10(2);

“the registrar” means the person appointed under Article 7 to act as registrar of solicitors;

“regulations”, except in Article 61, means regulations made by the Society;

“reward” includes consideration of any kind whether monetary or not;

“the roll” means the roll of solicitors kept by the Society under Article 8;

“secretary” means the secretary of the Society;

“securities” includes documents constituting or evidencing the title to any property;

“the Society” means the Incorporated Law Society of Northern Ireland;

“sole solicitor” means a solicitor who is the sole principal in a practice;

“solicitor” means solicitor of the Court of Judicature ;

Definition rep. by 1989 NI 14

“statutory undertakers” means any person authorised by or under an enactment to construct, work or carry on any railway, airport, canal, inland navigation, dock, harbour, gas, electricity, water or other public undertaking;

“the Tribunal” means the Solicitors Disciplinary Tribunal appointed under Article 43(1);

“trust” and “trustee” extend to implied and constructive trusts and to cases where a trustee has a beneficial interest in the trust property and to the duties incident to the office of a personal representative, and “trustee” includes a personal representative;

“trustee investments” means investments in which trustees may invest under—

the general power of investment in section 3 of the Trustee Act (Northern Ireland) 2001 (as restricted by sections 4 and 5 of that Act); or

section 8(1)(a) of that Act (land).

“unqualified person” means a person not qualified under Article 4 to act as a solicitor.

(2A) In this Order—

(a) references to civil legal services funded by the Department of Justice shall be construed in accordance with Article 10 of the Access to Justice (Northern Ireland) Order 2003;

(b) references to criminal defence services funded by the Department of Justice shall be construed—

(i) in relation to any time after the coming into operation of Article 21 of the Access to Justice (Northern Ireland) Order 2003, in accordance with that Article; and

(ii) in relation to any time before the coming into operation of that Article, as references to free legal aid under Part 3 of the Legal Aid, Advice and Assistance (Northern Ireland) Order 1981

(3) A reference in this Order to an employee of a solicitor or of a partner of his is a reference to an employee employed by that solicitor or partner (wholly or mainly) for the purposes of his practice as such solicitor or partner and references in Parts III and IV to an employee of a solicitor include references to any person who is the employee of a partner of that solicitor.

(3A) In this Order—

(a) references to the removal of a solicitor's name from the roll are references to its removal at his own request or in pursuance of regulations under Article 8(3);

(b) references to striking a solicitor's name off the roll are references to striking it off as a disciplinary sanction; and

(c) references to removal or striking off include references to deleting an entry made by means of a computer by whatever means are appropriate.

(4) References in any enactment which came into force before 1st January 1899 to an attorney shall be construed as references to a solicitor.

Section 4 Qualifications for practising as solicitor

A person shall not be qualified to act as a solicitor unless—

(a) he has been admitted as a solicitor; and

(b) his name is on the roll; and

(c) he has in force a certificate issued by the registrar in accordance with the provisions of this Part authorising him to practise as a solicitor (in this Order referred to as a “practising certificate”);

. . . .

Section 5 Admission of solicitors

(1) Subject to paragraph (5), a person shall not, after the commencement of this Article, be admitted as a solicitor unless he has obtained a certificate from the Society that they are satisfied—

(a) that he has complied with the requirements applicable to him by virtue of regulations made under Article 6, and

(b) as to his character and his fitness to be a solicitor.

(2) A person who has been refused a certificate under paragraph (1) may, within one month from the date on which notice of such refusal is served on him, appeal, upon notice to the Society, to the Lord Chief Justice against such refusal; and for the purposes of this paragraph a person who has not received a certificate within three weeks after applying for it shall be deemed to have received notice at the expiration of that period that the certificate has been refused.

(3) On such appeal—

(a) the Society may appear and be heard; and

(b) the Lord Chief Justice may make such order as he thinks proper, including an order directing the Society to issue the certificate and an order for the payment of costs.

(4) On production of a certificate required by paragraph (1), the Lord Chief Justice shall, unless cause to the contrary is shown to his satisfaction, by writing under his hand and in such form as he thinks fit, admit the person to whom the certificate relates to be a solicitor, and may do so at any time whether or not during a term or sittings of the High Court.

(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Section 6 Regulations as to the education, training, etc. , of persons seeking admission or having been admitted as solicitors

(1) The Society may make regulations with respect to the education and training of persons seeking admission or who have been admitted as solicitors and (without prejudice to the generality of the foregoing) such regulations may prescribe—

(a) the education and training, whether by service under apprenticeship or otherwise, to be undergone by persons seeking admission as solicitors;

(b) the examinations or other tests to be undergone by persons seeking admission as solicitors;

(c) the qualications, experience, conduct, duties and responsibilities of persons seeking admission as solicitors or solicitors providing apprenticeships (including the remuneration payable under such apprenticeships) under the regulations;

(d) the circumstances in which apprenticeships may be transferred or discharged or education or training of persons seeking admission as solicitors may be abridged, extended or terminated;

(e) the control and discipline of persons seeking admission as solicitors, including requirements to be imposed in consequence of contraventions of the regulations;

(f) the circumstances in which a person seeking admission as a solicitor may apply to the Society to waive the application of any provision of the regulations in his case or to review any decision taken by the Society in respect of him for the purposes of the regulations and the procedure for such applications;

(g) the education, training and examinations or other tests to be undergone by persons who have been admitted as solicitors;

(h) the charging and application by the Society of fees to be paid by persons undergoing education and training for the purposes of the regulations;

(i) such transitional and incidental matters as the society think necessary.

(2) Regulations under paragraph (1) may make the opinion, consent or approval of the Lord Chief Justice, or of any examining or other body or authority named in the regulations, or of the Society or the Council or any committee of the Council material for the purposes of any provision of the regulations.

(3) Subject to regulations made under paragraph (1)(f), on an application by a person seeking to be admitted as a solicitor, the Society may—

(a) waive the application of any provision of regulations under paragraph (1) to that person; or

(b) review any decision taken by the Society with respect to that person under those regulations.

(4) An applicant aggrieved by a decision of the Society under paragraph (3) may, after giving notice to the Society, appeal to the Lord Chief Justice; and on such appeal—

(a) the Society may appear and be heard; and

(b) the Lord Chief Justice may make such order (including an order for the payment of costs) as he thinks proper.

Section 7 Registrar

The Society shall appoint a person to act as registrar of solicitors and section 18(2) of the Interpretation Act (Northern Ireland) 1954 shall apply to such appointment.

Section 8 Keeping and custody of the roll

(1) The registrar shall continue to keep the roll in the form of an alphabetical list of all solicitors.

(2) The Society shall have the custody of the roll and of all documents relating thereto.

(3) The roll shall be kept in accordance with the provisions of this Order and of regulations and may be kept by means of a computer.

(4) If the roll is kept by means of a computer, the Society shall make any entry available for inspection in legible form during office hours, without payment, by any person who applies to inspect it.

(5) If the roll is not kept by means of a computer, any person may inspect it during office hours without payment.

(6) The Society, on the application of a solicitor, may cause his name to be removed from the roll.

(7) Regulations under paragraph (3) may—

(a) provide for the Society, at such intervals as may be specified in the regulations, to enquire of solicitors of any class so specified whether they wish to have their names retained on the roll;

(b) require solicitors of any such class, at such intervals as aforesaid, to pay to the Society a fee in respect of the retention of their names on the roll of such amount as may be prescribed;

(c) authorise the Society to remove from the roll the name of any solicitor who—

(i) fails to reply to any enquiry made in pursuance of sub‐paragraph (a) or to pay any fee payable by virtue of sub‐paragraph (b); or

(ii) replies to any such enquiry by indicating that he does not wish to have his name retained on the roll; and

(d) authorise the Society to remove from the roll the name of any solicitor who has died.

Section 9 Entry of name on roll

(1) On production—

(a) of an admission of any person as a solicitor signed by the Lord Chief Justice; or

(b) of an order for the replacement on the roll of the name of a person whose name has been struck off it,

and on payment to the Society of such fee as may be prescribed, the registrar shall enter the name of that person on the roll.

(2) The Society, on the application of a former solicitor whose name is not on the roll because it has been removed from it, may cause his name to be entered on the roll on payment by him to the Society of such fee as may be prescribed.

Section 9A Authorisation of Society conferring additional rights of audience

(1) A person who is qualified to act as a solicitor may apply to the Society for an authorisation under this Article.

(2) An application under paragraph (1)—

(a) shall be made in such manner as may be prescribed;

(b) shall be accompanied by such information as the Society may reasonably require for the purpose of determining the application; and

(c) shall be accompanied by such fee (if any) as may be prescribed.

(3) At any time after receiving the application and before determining it the Society may require the applicant to provide it with further information.

(4) The Society shall grant an authorisation under this Article if it appears to the Society, from the information furnished by the applicant and any other information it may have, that the applicant has complied with the requirements applicable to him by virtue of regulations under Article 6(1A).

(5) An authorisation granted to a person under this Article ceases to have effect if, and for so long as, that person is not qualified to act as a solicitor.

(6) The Society may by regulations provide that any person who has completed such education, training or experience as may be prescribed, before such date as may be prescribed shall be taken to hold an authorisation granted under this Article.

Section 10 Application for practising certificate and register of practising solicitors

(1) Application by a solicitor for a practising certificate shall be made to the registrar in such form and in accordance with such requirements and shall be accompanied by a fee of such amount as may be prescribed.

(2) Where, on an application duly made to him under paragraph (1), the registrar is satisfied as to the matters specified in Article 11(1)( a ), ( b ) and ( c ) and that no grounds exist under any other provision of this Order for refusing to issue a practising certificate, he shall cause to be entered in a register kept for that purpose the applicant's full name, his place or places of business and the date of his admission, . . . .

(2A) The register may be kept by means of a computer.

(2B) If the register is kept by means of a computer, the Society shall make any entry available for inspection in legible form during office hours, without payment, by any person who applies to inspect it.

(2C) If the register is not kept by means of a computer, any person may inspect it during office hours without payment.

(3) If in, or in relation to, an application under this Article any person makes any false statement material to the application, a complaint in respect of that statement may be made by or on behalf of the Society to the Tribunal .

(4) Nothing in this Part shall affect the operation of any restriction in force under or by virtue of this Order whereby a solicitor is restricted from engaging in practice on his own account, whether in partnership or otherwise, for a specified period.

(5) While such a restriction as is mentioned in paragraph (4) is in force, the entry in the register relating to the solicitor who is subject to that restriction and every practising certificate issued under Article 11 to that solicitor shall bear a stamp marked “Restricted from practice on his own account until ” (being the date on which the relevant restriction ends).

Section 11 Issue, date and expiry of practising certificate

(1) Subject to the provisions of Articles 12 and 13, the registrar on being satisfied that—

(a) the name of the applicant is on the roll;

(b) he is not for the time being suspended from practice; and

(c) the application referred to in Article 10 complies with the provisions of that Article and of regulations;

shall within three weeks of the receipt of such application, issue to the applicant a practising certificate in accordance with regulations, and in such form as may be prescribed.

(2) Every practising certificate issued after 5th January in any year and before 6th February next following shall bear the date of 6th January in that year, and every other practising certificate shall bear the date of the day on which it is issued.

(3) Every practising certificate shall have effect from the beginning of the day of which it bears the date, and that date shall be entered by the Society on the register.

(4) Every practising certificate shall expire at the end of 5th January next after it is issued except that, where the name of a solicitor is removed from or struck off the roll, the practising certificate (if any) of that solicitor shall expire forthwith and the date of such expiration shall be entered on the register.

Section 12 Absence of solicitor from Northern Ireland

(1) If a solicitor—

(a) has been absent from Northern Ireland for a period of, or periods exceeding in the aggregate, six months in any period of twelve consecutive months; and

(b) without reasonable excuse, has been so absent without the consent of the Society or without complying with such terms and conditions as may be fixed by the Society in relation to such absence;

the Society may direct the registrar to refuse to issue a practising certificate to the solicitor, or, where such a certificate has been issued to the solicitor, the Society may apply to the Lord Chief Justice to recall that certificate.

(2) Where a direction is given, or an application is made, under this Article then in the former case the registrar shall refuse to issue the practising certificate and in the latter case the Lord Chief Justice may recall a practising certificate which has been issued.

(3) Where the registrar, by direction of the Society under the provisions of this Article, refuses to issue to a solicitor a practising certificate, the solicitor may on serving ten days' notice on the Society, apply for a certificate to the Lord Chief Justice who may make such order in the matter as he thinks fit.

(4) This Article shall not apply in the case of a solicitor who has been absent from Northern Ireland for any such period or periods as are specified in paragraph (1), if that solicitor during the said period or periods was resident in the Republic of Ireland.

Section 13 Discretion of registrar to refuse certificate in special cases

(1) This Article shall have effect in relation to a solicitor's application for a practising certificate in any of the following circumstances:—

(a) where he applies for a first practising certificate after the expiration of five years from the passing of his final examination; or

(b) where he applies for a practising certificate, having neglected so to do for twelve months after the expiration of the last practising certificate issued to him; or

(c) where he applies for a practising certificate while he is an undischarged bankrupt; or

(cc) where he applies for a practising certificate after a finding by the Tribunal on a complaint under Article 10(3) that he made a false statement material to an application for a previous practising certificate; or

(d) where, having been suspended from practice or having had his name struck off the roll, he first applies for a practising certificate after the expiration or termination of his suspension or the replacement of his name on the roll, as the case may be; or

(dd) where, having had a practising certificate suspended under Article 15(2), he first applies for a practising certificate after the expiration of the suspended practising certificate; or

(e) where he applies for a practising certificate while any fine, penalty or costs imposed upon or ordered to be paid by him under this Order remain unpaid; or

(f) where he applies for a practising certificate while—

(i) any power is being exercised in relation to his property or affairs under Part VIII of the Mental Health (Northern Ireland) Order 1986; or

(ii) he is a patient for the time being detained in hospital for treatment or subject to guardianship under Part II of that Order; or

(g) where, having more than one office or place of business at any one time (disregarding, where he has a Belfast agent, the office or place of business of such agent), he has been invited by the Society to satisfy them that he exercises adequate personal supervision over each such office or place of business and, having failed so to satisfy the Society, has been notified in writing by the Society that he has so failed; or

(gg) where he has been invited by the Society to satisfy them that he has complied with any regulations made under Article 6 in relation to education or training, and, having failed so to satisfy the Society, has been notified in writing by the Society that he has so failed;

(h) where, having been invited by the Society to give an explanation in respect of any matter relating to his conduct and having failed to give the Society such an explanation as appears to them to be satisfactory, he has been notified in writing by the Society that he has so failed; or

(hh) where, having been required by Article 35(1) to deliver an accountant's report to the Society—

(a) he has not delivered that report within the period allowed by Article 35(2); or

(b) he has been invited by the Society to satisfy them that, in relation to any report delivered to the Society, he has complied with regulations made under Article 35, and, having failed so to satisfy the Society, has been notified in writing by the Society that he has so failed;

(i) where he has had an order of attachment made against him which has not been discharged; or

(j) where he has had a judgment or decree made against him which—

(i) involves the payment by him of a sum of money other than costs; and

(ii) is not a judgment or decree in relation to which he is entitled, as respects the whole effect of the judgment or decree upon him, to indemnity or relief from any other person;

and has not produced to the registrar evidence of the satisfaction of such judgment or decree or of his intention to appeal against such judgment or decree; or

(k) where he has been adjudged a bankrupt and discharged or a composition or scheme proposed by the solicitor has been approved under Chapter 2 of Part 8 of the Insolvency (Northern Ireland) Order 1989.

(l) where he has been the subject of a bankruptcy restrictions order; or

(m) where a debt relief order has been made in respect of him and at the end of the moratorium period applicable to the order he has been discharged from all the qualifying debts specified in the order; or

(n) where he has been the subject of a debt relief restrictions order.

(2) The solicitor shall, unless the registrar or the Lord Chief Justice otherwise orders, give to the registrar, at least three weeks before the application for a practising certificate is made, notice of his intention to make the application.

(3) Subject to paragraph (4), the registrar may in his discretion refuse the application.

(4) Where a solicitor applies for a practising certificate in a case in which paragraph (1) has effect by virtue only of an order, judgment or decree such as is mentioned in sub-paragraph ( i ) or ( j ) of that paragraph and an appeal has been made to the appropriate court against that order, judgment or decree, the registrar shall not refuse the application before the determination of that appeal unless he is of the opinion that the proceedings on that appeal have been unduly protracted by the appellant or are unlikely to be successful.

Section 14 Appeals in connection with issue of practising certificates

(1) A solicitor who has been refused a practising certificate under Article 13(3) may, within one month from the date on which notice of such refusal is served on him, apply to the Council to review the refusal; and on such application the Council may in their discretion direct the registrar—

(a) to grant or refuse the application;

(b) to issue—

(i) the certificate; or

(ii) the certificate and any subsequent practising certificate issued to the solicitor,

subject to such terms and conditions as the Council think fit.

(2) A solicitor aggrieved by a decision of the Council under paragraph (1) may, within one month from the date on which notice of that decision is served on him, appeal to the Lord Chief Justice who may—

(a) affirm the decision; or

(b) give to the registrar any direction which could have been given to him by the Council under paragraph (1).

(3) For the purposes of this Article a solicitor who has not received a practising certificate within three weeks after he applied to the registrar for it or, as the case may be, applied to the Council to review the refusal of a practising certificate, shall be deemed to have received notice at the expiration of that period that the certificate has been refused.

Section 14A Imposition of terms and conditions on current and subsequent practising certificates

(1) Subject to the provisions of this Article, the Council may in the case of any solicitor direct that—

(a) his practising certificate for the time being in force (his “current certificate”); or

(b) his current certificate and any subsequent practising certificate issued by the registrar to the solicitor,

shall have effect subject to such terms and conditions as the Council think fit.

(2) The power to give a direction under this Article in the case of any solicitor shall be exercisable by the Society at any time during the period for which his current certificate is in force if—

(a) in the event of an application for a practising certificate being made by him at that time, Article 13 would have effect in relation to him by reason of any such circumstances as are mentioned in subparagraph (e), (g), (h), (hh), (i) or (j) of paragraph (1) of that Article;

(b) a composition or scheme proposed by the solicitor has been approved under Chapter 2 of Part 8 of the Insolvency (Northern Ireland) Order 1989; or

(c) Schedule 1 applies in relation to him, by virtue of any provision of this Order.

(3) Subject to paragraph (4), the terms and conditions specified in a direction under this Article shall have effect as from the time when the solicitor concerned is notified of the Council's decision to give the direction.

(4) The Council may, if they think fit, provide in a direction under this Article that the terms and conditions specified in the direction shall not have effect pending the hearing and determination of any appeal under paragraph (6).

(5) Where there is pending against any judgment, order or decree an appeal by a solicitor which, if successful, would result in paragraph (2) no longer being applicable to him, the Council shall not give a direction under this Article in his case so long as the appeal is pending, unless in the opinion of the Council the proceedings on that appeal have been unduly protracted by him or are unlikely to be successful.

(6) A solicitor aggrieved by a decision of the Council under paragraph (1) may, within one month from the date on which notice of that decision is served on him, appeal to the Lord Chief Justice who may—

(a) affirm or revoke the decision;

(b) give any direction which could have been given by the Council under paragraph (1).

Section 15 Suspension of practising certificate

(1) The making of an order suspending a solicitor from practice and the adjudication of bankruptcy of a solicitor or his becoming the subject of a bankruptcy restrictions order or the making of a debt relief order in respect of him or his becoming the subject of a debt relief restrictions order, shall operate to suspend any practising certificate of that solicitor for the time being in force.

(2) Where, under any provision of this Order, Schedule 1 applies in relation to a solicitor, the Council may in their discretion suspend any practising certificate of that solicitor for the time being in force.

(3) For the purposes of this Order a practising certificate shall be deemed not to be in force at any time while it is suspended.

(4) A solicitor aggrieved by a decision of the Council under paragraph (2) suspending his practising certificate may, within one month from the date on which notice of that decision is served on him, appeal to the Lord Chief Justice who may—

(a) affirm or revoke the decision;

(b) direct that—

(i) the certificate; or

(ii) the certificate and any subsequent certificate issued by the registrar to the solicitor,

shall have effect subject to such terms and conditions as the Lord Chief Justice thinks fit.

(5) The registrar shall be entitled without payment of any fee to inspect the file of proceedings in bankruptcy relating to any solicitor against whom proceedings in bankruptcy have been taken and to be supplied with office copies of those proceedings on payment of the usual charges for the copies.

Section 16 Duration of suspension of practising certificate

(1) Subject to the provisions of this Article, the suspension of a practising certificate by virtue of Article 15 shall continue until the certificate expires.

(2) The suspension of a practising certificate by virtue of Article 15(1) by reason of an adjudication in bankruptcy shall terminate if—

(a) the adjudication is annulled; and

(b) an office copy of the order annulling the adjudication has been served on the Society.

(2A) The suspension of a practising certificate by virtue of Article 15(1) by reason of the making of a debt relief order shall terminate —

(a) where the debt relief order is revoked on the grounds mentioned in Article 208L(2)(c) or (d) of the Insolvency (Northern Ireland) Order 1989 and a copy of the notice provided to the debtor under Rule 5A.20 of the Insolvency Rules (Northern Ireland) 1991 is served on the Society or the debt relief order is revoked by the High Court under Article 208M(6)(e) of that Order and a copy of the Court order is served on the Society;

(b) the debt relief order is revoked and a period of one year has elapsed beginning with the effective date of that order.

(3) Where a solicitor's practising certificate is suspended—

(a) by virtue of Article 15(1) by reason of his adjudication in bankruptcy or his becoming the subject of a bankruptcy restrictions order or the making of a debt relief restrictions order ;

(b) by virtue of Article 15(1) by reason of his suspension from practice and the period of his suspension from practice expires or is terminated under Article 51(1)(f) before the date of expiry of the certificate; or

(c) under Article 15(2),

the solicitor may at any time before the certificate expires (and, in the case of adjudication in bankruptcy or his becoming the subject of a bankruptcy restrictions order or the making of a debt relief restrictions order , while the adjudication remains unannulled) apply to the Council to terminate the suspension.

(4) On an application under paragraph (3) the Council may in their discretion—

(a) refuse the application;

(b) by order terminate the suspension; or

(c) by order terminate the suspension and direct that—

(i) the practising certificate of the solicitor; or

(ii) the practising certificate of the solicitor and any subsequent practising certificate issued by the registrar to the solicitor,

shall have effect subject to such terms and conditions as the Council think fit.

(5) Subject to paragraph (6), the terms and conditions specified in a direction under paragraph (4)(c) shall have effect as from the time when the solicitor concerned is notified of the Council's decision to give the direction.

(6) The Council may, if they think fit, provide in a direction under paragraph (4)(c) that the terms and conditions specified in the direction shall not have effect pending the hearing and determination of any appeal under paragraph (7).

(7) A solicitor aggrieved by a decision of the Council under paragraph (4) may, within one month from the date on which notice of that decision is served on him, appeal to the Lord Chief Justice who may—

(a) affirm the decision; or

(b) make any order and give any direction which could have been made or given by the Council under paragraph (4).

(8) For the purposes of paragraph (7) a solicitor who has not received notification of the termination of the suspension of his practising certificate within three weeks after he made application for such termination shall be deemed to have received notice at the expiration of that period that the application has been refused.

(9) Where a solicitor's practising certificate is suspended by virtue of Article 15(1) by reason of his suspension from practice and the suspension of his practising certificate is terminated under paragraph (4) or (7) without any direction mentioned in paragraph (4)(c) being made, then, notwithstanding Article 13(1)(d), that Article shall not thereafter have effect in relation to that solicitor by virtue of that suspension from practice.

Section 17 Publication of suspension or termination of suspension of practising certificate

(1) Where a solicitor's practising certificate is suspended the Society shall forthwith cause—

(a) notice of that suspension to be published in the Belfast Gazette;

(b) a note thereof to be entered against the name of the solicitor in the roll.

(2) Where the suspension of a practising certificate is terminated the Society shall forthwith—

(a) cause a note of that termination to be entered against the name of the solicitor in the roll; and

(b) if so requested in writing by the solicitor, cause notice thereof to be published in the Belfast Gazette.

Section 17A Application for issue of practising certificate freed from terms and conditions

(1) Where, in accordance with a direction given under Article 14, 14A, 15, 16 or this Article, a subsequent practising certificate is issued to a solicitor subject to any terms and conditions, the solicitor may, within one month from the date on which the certificate is issued, apply to the Council for the issue of the certificate free from those terms and conditions; and on such an application the Council may in their discretion—

(a) grant or refuse the application;

(b) direct the registrar to issue—

(i) the certificate; or

(ii) the certificate and any subsequent practising certificate issued to the solicitor,

subject to such other terms and conditions as the Council may think fit.

(2) A solicitor aggrieved by a decision of the Council under paragraph (1) may, within one month from the date on which notice of that decision is served on him, appeal to the Lord Chief Justice who may—

(a) affirm the decision; or

(b) give to the registrar any direction which could have been given to him by the Council under paragraph (1).

(3) For the purposes of this Article a solicitor who has not received a practising certificate free from terms and conditions within three weeks after he applied to the Council for it shall be deemed to have received notice at the expiration of that period that the application has been refused.

Section 17B Terms and conditions in practising certificates

(1) Any power of the Council or the Lord Chief Justice under Article 14, 14A, 15, 16 or 17A to direct that a practising certificate shall have effect or shall be issued subject to terms and conditions, includes (without prejudice to the generality of that power) power to direct that the certificate shall have effect or shall be issued subject to terms and conditions—

(a) requiring the solicitor to take any specified steps that will in the opinion of the Council or the Lord Chief Justice (as the case may be) be conducive to his carrying on an efficient practice as a solicitor; and

(b) notwithstanding that they may result in expenditure being incurred by the solicitor.

(2) If a solicitor contravenes any of the terms and conditions subject to which a practising certificate has effect or is issued in accordance with a direction under Article 14, 14A, 15, 16 or 17A any person may make a complaint in respect of the contravention to the Tribunal.

Section 18 Evidence of holding or not holding practising certificate

(1) Any list purporting to be published by the authority of the Society and to contain the names of solicitors who have obtained practising certificates for the year referred to in the list shall, unless the contrary is proved, be evidence that the persons named in that list are solicitors holding those certificates.

(2) The absence from such list of the name of any person shall, unless the contrary is proved, be evidence that that person is not qualified to practise as a solicitor during the year referred to in the list, and, as respects any such person, an extract from the roll, certified as correct by the registrar, shall be evidence of the facts appearing in the extract.

Section 19 Unqualified person not to act as solicitor

(1) Subject to Article 81( b ), an unqualified person shall not act as a solicitor, or as such sue out any writ or process, or commence, carry on or defend any action, suit or other proceeding, in the name of any other person or in his own name, in any court of civil or criminal jurisdiction, or act as a solicitor in any cause or matter, civil or criminal, to be heard or determined before any court or tribunal.

(2) If any person contravenes paragraph (1) he shall—

(a) be guilty of contempt of the court in which the action, suit, cause, matter or proceeding in relation to which he so acts is brought or taken, and may be punished accordingly;

(b) be incapable of maintaining any action for any costs in respect of anything done by him in the course of so acting; and

(c) in addition to any other penalty, liability or disability to which he may be subject, be guilty of an offence and be liable on summary conviction to a fine not exceeding level 4 on the standard scale .

Section 20 Practising without certificate

(1) Where—

(a) complaint is made to the Lord Chief Justice that a solicitor who has not in force a practising certificate entitling him to practise as a solicitor has wilfully and knowingly appeared, acted, or practised in any respect as a solicitor in any action, suit, matter or transaction; and

(b) the matter of the complaint is proved to the satisfaction of the Lord Chief Justice;

the Lord Chief Justice may impose upon the solicitor a fine not exceeding £100 and, in addition to or instead of imposing a fine, may suspend the solicitor from practising as such during such period as to the Lord Chief Justice may seem fit, or may order the name of the solicitor to be struck off the roll.

(2) Any penalties which may be imposed under paragraph (1) shall be in addition to and not in substitution for any penalty, liability or disability incurred under any other provision of this Order or any other enactment by a solicitor acting or practising as such while he is an unqualified person.

Section 21 Solicitor practising while bankrupt

If a solicitor who has been adjudicated bankrupt continues to practise as a solicitor—

(a) while undischarged from bankruptcy; and

(b) without having had the suspension of his practising certificate terminated under Article 16(4) or (7) or, if his practising certificate has effect subject to terms and conditions by virtue of a direction under Article 16(4)(c) or (7) , without complying with those terms or conditions, he shall be guilty of an offence and shall be liable, on conviction on indictment, to imprisonment for a term not exceeding two years.

Section 21A Solicitor practising whilst subject to a bankruptcy restrictions order or subject to a debt relief restrictions order

If a solicitor continues to practise as a solicitor while subject to a bankruptcy restrictions order or a debt relief restrictions order and without having had the suspension of his practising certificate terminated under Article 16(4) or (7) or, if his practising certificate has effect subject to terms and conditions by virtue of a direction under Article 16(4)(c) or (7), without complying with those terms or conditions,

he shall be guilty of an offence and shall be liable, on conviction on indictment, to imprisonment for a term not exceeding two years ... .

Section 21B Solicitor practising within the moratorium period which follows the making of a debt relief order

If a solicitor continues to practise as a solicitor while a moratorium period under a debt relief order applies to him and without having had the suspension of his practising certificate terminated under Article 16(4) or (7) or, if his practising certificate has effect subject to terms and conditions by virtue of a direction under Article 16(4)(c) or (7), without complying with those terms or conditions,

he shall be guilty of an offence and shall be liable, on conviction on indictment, to imprisonment for a term not exceeding two years

Section 22 Penalty for pretending to be a solicitor

Any unqualified person who wilfully pretends to be, or takes or uses any name, title, addition or description implying that he is, qualified or recognised by law as qualified to act as a solicitor shall be guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 4 on the standard scale .

Section 23 Unqualified person not to prepare certain instruments, etc.

(1) Subject to paragraphs (2) and (2A) , any unqualified person who either directly or indirectly—

(a) draws or prepares any instrument of transfer or charge or any other document for the purposes of the Land Registration Act (Northern Ireland) 1970 or any enactment repealed or proposed to be repealed by that Act;

(b) draws or prepares any instrument relating to real or personal estate, or any legal proceeding; or

(c) lodges any instrument or other document or causes it to be lodged for registration in the Land Registry or the Registry of Deeds, or makes any application (other than an application to search in, or to receive copies of or extracts from, a register) to the Registrar of Titles,

shall, unless he proves that the act was not done for or in expectation of any fee, gain or reward, be guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 4 on the standard scale .

(2) Paragraph (1) shall not apply to—

(a) a barrister-at-law or duly certificated notary public;

(b) any public or local authority officer drawing or preparing instruments or applications in the course of his duty;

(c) any person employed merely to engross any instrument, application or proceeding;

(d) a patent agent within the meaning of the Patents Act 1977 preparing for use in proceedings under that Act or the Patents Act 1949 before the comptroller (as defined in the former Act) or on appeal under either of those Acts to the Patents Court from the comptroller, any document other than a deed;]

(e) an agent on behalf of any person , or an employee of such agent, who draws or prepares—

Head (i) rep. by 1989 NI 14

(ii) a notice to quit or deliver up possession of property;

(iii) an advertisement relating to the sale or letting of property; or

(iv) any notice served under or for the purposes of any enactment for the time being in force with respect to the extension or enlargement of leasehold interests in land.

(2A) Paragraph (1) also shall not apply to any act done by a person at the direction and under the supervision of another person if—

(a) that other person was at the time his employer, a partner of his employer or a fellow employee; and

(b) the act could have been done by that other person for or in expectation of any fee, gain or reward without committing an offence under this Article.

(3) For the purposes of paragraphs (1) and (2), the expression “instrument” includes a contract for the sale or other disposal of land within the meaning of paragraphs (a) to (f) of section 45(3) of the Interpretation Act (Northern Ireland) 1954, other than a contract to grant only—

(i) a tenancy not exceeding 3 years; or

(ii) a right to use land for cropping or grazing;

but does not include—

(a) a will or other testamentary instrument;

(b) an agreement under hand only other than a contract that is included under the preceding provisions of this pargaraph ;

(c) a letter or power of attorney; or

(d) a transfer of stock containing no trust or limitation thereof.

(4) The Department of Economic Development may institute proceedings for an offence under this Article.

Section 24 Preparation of papers for probate, etc.

(1) Subject to paragraph (1A), any unqualified person, not being a barrister-at-law or a duly certificated notary public, who, directly or indirectly, draws or prepares any papers on which to found or oppose—

(a) a grant of probate, or

(b) a grant of letters of administration,

shall, unless he proves that the act was not done for or in expectation of any fee, gain or reward, be guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 4 on the standard scale .

(1A) Paragraph (1) shall not apply to any act done by a person at the direction and under the supervision of another person if—

(a) that other person was at the time his employer, a partner of his employer or a fellow employee; and

(b) the act could have been done by that other person for or in expectation of any fee, gain or reward without committing an offence under this Article.

(2) Any penalty which may be imposed under paragraph (1) shall be in addition to and not in substitution for any penalty, liability or disability to which the unqualified person may be subject under any other provision of this Order or any other enactment.

Section 25 Costs not recoverable where unqualified person acts as solicitor

(1) Costs in respect of anything done by a person who acts or purports to act as a solicitor while he is an unqualified person shall not be recoverable in any action, suit or matter by that person or any person claiming through or under him.

(2) Nothing in paragraph (1) shall affect any indemnity which a client of such a person as is referred to in that paragraph has under an order of any court in respect of costs awarded under the order, to the extent (if any) to which the client may have paid such costs to that person at the date of the order.

(3) Nothing in paragraph (1) or in Article 19(2)( b ) shall prevent the recovery of money paid or to be paid by a solicitor on behalf of a client in respect of anything done by the solicitor while acting for the client without holding a practising certificate in force, where the money would have been recoverable if the solicitor had held such a certificate in force when so acting.

Section 26 General power to make regulations as to professional practice, conduct and discipline of solicitors

(1) Without prejudice to any other provision of this Part, the Society may make regulations as to the professional practice, conduct and discipline of solicitors.

(2) Without prejudice to the generality of paragraph (1), regulations may provide for restricting a solicitor from—

(a) engaging in practice on his own account whether in partnership or otherwise for such period, . . . , as may be specified in the regulations;

(b) acting in any transaction for more than one party.

(3) If a solicitor contravenes any regulation made under this Article, any person may make a complaint in respect of the contravention to the Tribunal .

Section 26A Incorporated practices

(1) The Society may make regulations—

(a) making provision as to the management and control by solicitors of bodies corporate carrying on businesses consisting of the provision of professional services such as are provided by individuals practising as solicitors;

(b) prescribing the circumstances in which such bodies may be recognised by the Council as being suitable bodies to undertake the provision of any such services;

(c) prescribing the conditions which (subject to any exceptions provided by the regulations) must at all times be satisfied by bodies corporate so recognised if they are to remain so recognised; and

(d) regulating the conduct of the affairs of such bodies.

(2) Regulations made by the Society may also make provision—

(a) for the manner and form in which applications for recognition under this Article are to be made, and for the payment of fees in connection with such applications;

(b) for regulating the names that may be used by recognised bodies;

(c) as to the period for which any recognition granted under this Article shall (subject to the provisions of this Part) remain in force;

(d) for the revocation of any such recognition on the grounds that it was granted as a result of any error or fraud;

(e) for the keeping by the registrar of a list containing the names and places of business of all bodies corporate which are for the time being recognised under this Article, and for the information contained in any such list to be available for inspection;

(f) for regulations made under any other provision of this Order to have effect in relation to recognised bodies with such additions, omissions or other modifications as appear to the Society to be necessary or expedient;

(g) for empowering the Council to take such steps as they consider necessary or expedient to ascertain whether or not any regulations applicable to recognised bodies by virtue of this Article are being complied with;

(h) for the manner of service on recognised bodies of documents authorised or required to be served on such bodies under this Part.

(3) Articles 19, 23(1) and 24(1) shall not apply to a recognised body.

(4) Article 23(1) or, as the case may be, Article 24(1) shall not apply to any act done by an officer or employee of a recognised body if—

(a) it was done by him at the direction and under the supervision of another person who was at the time an officer or employee of the body; and

(b) it could have been done by that other person for or in expectation of any fee, gain or reward without committing an offence under Article 23 or, as the case may be, under Article 24.

(5) References in Articles 25, 27 and 28 to an unqualified person shall not include references to a recognised body.

(6) A certificate signed by an officer of the Society and stating that any body corporate is or is not, or was or was not at any time, a recognised body shall, unless the contrary is proved, be evidence of the facts stated in the certificate; and a certificate purporting to be so signed shall be taken to have been so signed unless the contrary is proved.

(7) Schedule 1A (which makes provision with respect to the application of provisions of this Order to recognised bodies and with respect to other matters relating to such bodies) shall have effect.

(8) Subject to the provisions of Schedule 1A, the Department of Finance and Personnel may by order, made subject to negative resolution, provide for any enactment or instrument passed or made before the coming into operation of Article 10(1) of the Solicitors (Amendment) (Northern Ireland) Order 1989 and having effect in relation to solicitors to have effect in relation to recognised bodies with such additions, omissions or other modifications as appear to that Department to be necessary or expedient.

(9) In this Article “recognised body” means a body corporate for the time being recognised under this Article and “officer”, in relation to a limited liability partnership, means a member of the limited liability partnership .

Section 26B Penalty for pretending to be a body recognised under Article 26A

(1) A body corporate shall not describe itself or hold itself out as a body corporate for the time being recognised under Article 26A unless it is so recognised.

(2) Any body corporate which contravenes paragraph (1) shall be guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 4 on the standard scale.

Section 27 Acting as agent for unqualified person

(1) Where—

(a) a complaint is made to the Lord Chief Justice that a solicitor has wilfully and knowingly—

(i) acted as agent in any action, suit, matter or transaction for any unqualified person; or

(ii) permitted his name to be in any way made use of in any action, suit, matter or transaction upon the account, or for the profit, of any unqualified person; or

(iii) sent any process to an unqualified person; or

(iv) done any other act so as to enable an unqualified person to appear, act or practise in any respect, as a solicitor in any action, suit, matter or transaction; and

(b) the matter of the complaint is proved to the satisfaction of the Lord Chief Justice;

then the Lord Chief Justice may impose upon the solicitor a fine not exceeding £1,000 and, in addition to or instead of imposing a fine, may suspend the solicitor from practising as such during such time as to the Lord Chief Justice may seem fit, or may order the name of the solicitor to be struck off the roll.

(2) Upon complaint and proof being made under paragraph (1) the Lord Chief Justice may commit an unqualified person so appearing, acting or practising as aforesaid to prison, for any term not exceeding one year.

(3) This Article shall not apply where the solicitor is acting by virtue of an appointment made pursuant to Article 32.

Section 28 Sharing of profits or fees with unqualified persons

(1) Subject to paragraph (2), any solicitor who knowingly shares any of his professional profits or fees with an unqualified person shall be guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 4 on the standard scale .

(2) Paragraph (1) shall not apply in any of the following cases, namely—

(a) where a person who has ceased to practise as a solicitor receives from any solicitor a share of the profits or fees of the latter as a price or value of the practice which he has transferred to the latter, or receives a share of such profits as a voluntary or other allowance out of the profits or fees of a practice in which he has been a partner; or

(b) where the surviving spouse or civil partner , children or personal representatives of any deceased solicitor receive from any solicitor who has purchased or succeeded to the practice of the deceased solicitor, or from any firm of solicitors of which the deceased solicitor was a partner at his death, or from any solicitor acting by virtue of an appointment made pursuant to Article 32, any share of the profits of the practice of the deceased solicitor or such firm; or

(c) where professional profits or fees are received by a solicitor employed by a government department (including a department of the government of the United Kingdom), local authority, bank or trade union or statutory undertakers in respect of work done in the course of his duty, if the solicitor is in the whole time or exclusive employment of the government department, local authority, bank or trade union or statutory undertakers and does not engage in private practice as a solicitor; or

(d) where an agreement for sharing fees is made between a solicitor in Northern Ireland and a person carrying on the practice or profession of the law in some other part of the United Kingdom or the Commonwealth or in the Republic of Ireland or in a foreign country; or

(e) where, for the purposes of making legal aid and advice more readily available to persons in need, the Council have directed in writing that paragraph (1) shall not apply in relation to a non-profit making organisation specified in the direction.

Section 29 Employment by solicitor of persons whose names have been struck off the roll, etc.

(1) A solicitor shall not, in connection with his practice as a solicitor, without the written consent of the Council, which may be given for such period and subject to such terms and conditions (if any) as the Council think fit, employ or remunerate any person who to his knowledge is disqualified from practising as a solicitor by reason of the fact that his name has been struck off the roll, or that he is suspended from practising as a solicitor or that he has been refused a practising certificate or that his practising certificate is suspended while he is an undischarged bankrupt or the subject of a bankruptcy restrictions order or a moratorium period under a debt relief order applies to him or he is the subject of a debt relief restrictions order .

(2) A solicitor aggrieved by a decision of the Council under paragraph (1) refusing to grant any such consent as aforesaid, or as to any terms and conditions attached by the Council to the consent may, within one month from the date on which notice of that decision is served on him, appeal to the Lord Chief Justice who may affirm the decision or may direct the Council to grant the consent for such period and subject to such terms and conditions (if any) as the Lord Chief Justice thinks fit.

(3) For the purposes of paragraph (2) a solicitor who has not received the Council's consent within three weeks after he applied for it, shall be deemed to have received notice at the expiration of that period that the consent has been refused.

(4) If a solicitor knowingly contravenes this Article or any of the terms and conditions subject to which any consent has been given under this Article, any person may make a complaint in respect of the contravention to the Tribunal .

Section 30 Failure to disclose fact of name having being struck off the roll, etc.

Any person who, while he is disqualified from practising as a solicitor by reason of the fact that his name has been struck off the roll or that he is suspended from practising as a solicitor or that he has been refused a practising certificate or that his practising certificate is suspended while he is an undischarged bankrupt or is the subject of a bankruptcy restrictions order or a moratorium period under a debt relief order applies to him or he is the subject of a debt relief restrictions order , seeks or accepts employment by a solicitor in connection with that solicitor's practice, without previously informing that solicitor that he is so disqualified as aforesaid, shall be guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 3 on the standard scale .

Section 31 Provisions as to clerk or apprentice found guilty of offences or party to misconduct of solicitor

(1) Where—

(a) a person has been convicted of any offence under the Theft Act (Northern Ireland) 1969 or has been convicted, in Northern Ireland or elsewhere, of any offence involving dishonesty; or

(b) it appears to the Society, in the course or as a result of any proceedings before the Tribunal, that a person who is or was an employee of a solicitor, but is not himself a solicitor, has been a party to any act or default of such solicitor which involved conduct on that person's part of such a nature that in the opinion of the Society it would be undesirable for him to be employed by a solicitor in connection with his practice; or

(c) a person has had his name struck off a roll of solicitors in Great Britain or the Republic of Ireland or has been suspended from practice in Great Britain or the Republic of Ireland and his name remains so struck off or he remains so suspended,

an application may be made by or on behalf of the Society to the Tribunal that an order be made directing that, as from a date to be specified therein, no solicitor shall, in connection with his practice as a solicitor, take or retain the said person into or in his employment or remunerate the said person without the written consent of the Society, which may be given for such period and subject to such terms and conditions (if any) as the Society think fit.

(2) Such application shall be made to and heard by the Tribunal in accordance with rules made under Article 43(8) and, on the hearing of the application, the Tribunal shall have power to make such an order as is mentioned in paragraph (1) and an order as to the payment of costs by any party.

(3) The provisions of Articles 48 to 54 shall have effect for the purposes of this Article, so however that, in the application of Article 52 for the purposes of this Article, references to an order directing that a solicitor is to be suspended from practice shall be construed as including references to an order made as mentioned in paragraph (1) with respect to any person.

(4) Any person who, while an order under this Article is in force in respect of him, seeks or accepts employment by or remuneration from a solicitor in connection with his practice as a solicitor without previously informing him of such order, shall be guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 3 on the standard scale .

(5) If a solicitor knowingly contravenes any order under this Article or any of the terms and conditions subject to which any consent has been given under this Article, any person may make a complaint in respect of the contravention to the Tribunal .

Para. (6) rep. by 1989 NI 14

Section 32 Winding-up practice of a deceased solicitor

On the death of a solicitor his personal representatives may, notwithstanding anything to the contrary in any enactment, appoint a duly qualified solicitor to carry on the practice of the deceased solicitor for the purpose of the beneficial winding-up thereof for such reasonable period and on such terms , including terms as to remuneration, as may be fixed or approved by the Society .

Section 33 Regulations as to keeping of accounts by solicitors

(1) The Society shall as soon as practicable make regulations—

(a) as to the opening and keeping by solicitors of accounts at banks or with building societies

(i) for clients' money;

(ii) for money comprised in controlled trusts;

(b) as to the keeping by solicitors of accounts containing particulars and information as to money received, held or paid by them—

(i) for or on account of their clients;

(ii) for or on account of any such trust as is mentioned in sub-paragraph ( a );

(c) as to the investment in trustee investments of the money of any such trust as is mentioned in sub-paragraph ( a );

(d) empowering the Society to take such action and collect such evidence as may be necessary to enable them to ascertain whether or not the regulations are being complied with.

(2) If a solicitor contravenes any regulation made under this Article any person may make a complaint in respect of that contravention to the Tribunal .

(3) Regulations made under paragraph (1)( a ) to ( c ) shall not apply to—

(a) a solicitor acting in the course of his employment as a public officer; or

(b) a solicitor who holds an office under any local authority or statutory undertakers and who does not engage in private practice as a solicitor;

and such regulations shall not apply to a solicitor who holds an office to which sub-paragraph ( b ) applies and who is engaged in private practice as a solicitor, except so far as regards money received, held or paid by him in the course of that private practice.

Section 34 Interest on clients' money

(1) Regulations under Article 33 may make provision—

(a) for requiring a solicitor, in such cases as the regulations may prescribe, either—

(i) to keep on deposit in a separate account at a bank or with a building society for the benefit of the client money received for or on account of a client; or

(ii) to make good to the client out of the solicitor's own money a sum equivalent to the interest which would have accrued if the money so received had been so kept on deposit;

(b) for defining the cases in which a solicitor may be required to act in accordance with the regulations by reference to the amount of any sum received or to the period for which it is or is likely to be retained or both; and

(c) for enabling a client (without prejudice to any other remedy) to require that any question arising under the regulations in relation to the client's money shall be referred to and determined by the Society.

(2) Except as provided by regulations, a solicitor shall not be liable by virtue of the relation between solicitor and client to account to any client for interest received by the solicitor on money deposited at a bank or with a building society , being money received or held for or on account of his clients generally.

(3) Nothing in this Article or in regulations made thereunder shall—

(a) affect any arrangement in writing, whenever made, between a solicitor and his client as to the application of the client's money or interest thereon; or

(b) apply to money received by a solicitor being money subject to a trust of which the solicitor is a trustee.

Section 35 Accountants' reports

(1) Every solicitor shall once in each period of twelve months ending on 5th January, unless he satisfies the Council that owing to the circumstances of his case it is unnecessary so to do, deliver to the Society a report signed by an accountant (in this Article referred to as “an accountant's report”) and containing such information as may be prescribed.

(2) An accountant's report shall be delivered to the Society not more than six months (or such other period as may be prescribed) after the end of the accounting period for the purposes of that report.

(3) Subject to regulations, the accounting period for the purposes of an accountant's report shall—

(a) begin at the expiry of the last preceding accounting period for which an accountant's report has been delivered;

(b) cover not less than twelve months; and

(c) where possible, consistently with sub-paragraphs ( a ) and ( b ), correspond to a period or consecutive periods for which the accounts of the solicitor or his firm are ordinarily made up.

(4) The Society shall make regulations to give effect to the provisions of this Article, and those regulations shall prescribe—

(a) what qualification shall be held by an accountant by whom an accountant's report may be given;

(b) the information to be contained in an accountant's report in accordance with paragraph (1);

(c) the nature and extent of the examination to be made by the accountant of the books and accounts of a solicitor or his firm and of any other relevant documents with a view to the signing of a report to be delivered by the solicitor under this Article;

(d) the form of the accountant's report; and

(e) the evidence (if any) which shall satisfy the Council that the delivery of an accountant's report is unnecessary and the cases in which such evidence is or is not required.

(5) Regulations may include provision—

(a) permitting in such special circumstances as may be defined in the regulations a different accounting period from that specified in paragraph (3); and

(b) regulating any matters of procedure or matters incidental, ancillary or supplemental to the provisions of this Article.

(5A) Without prejudice to the generality of paragraph (5)(b), regulations under this Article may make provision requiring a solicitor in advance of delivering an accountant's report to notify the Society of the period which is to be the accounting period for the purposes of that report in accordance with the preceding provisions of this Article.

(6) If any solicitor fails to comply with the provisions of this Article or of any regulations made thereunder, a complaint in respect of that failure may be made by or on behalf of the Society to the Tribunal .

(7) A certificate under the hand of the secretary shall, until the contrary is proved, be evidence that a solicitor has or, as the case may be, has not delivered to the Society an accountant's report or supplied any evidence required under this Article or regulations.

(8) This Article shall not apply to any solicitor to whom regulations under Article 33(1)( a ) to ( c ) do not apply by virtue of paragraph (3) of that Article; and in relation to a solicitor to whom those regulations apply by virtue of that paragraph only as regards money received, held or paid in the course of a private practice, this Article shall have effect only in relation to such money.

Section 36 Powers of Council to deal with property in control of certain solicitors and other persons

(1) Where the Council have reasonable cause to believe and have passed a resolution stating that they have reasonable cause to believe, that—

(a) a solicitor, or an employee of his , has been guilty of dishonesty in connection with his practice as a solicitor or in connection with any trust of which the solicitor is a trustee; or

(b) in consequence of the act or default of a solicitor or of any of his employees—

(i) there has been undue delay in connection with any matter in which that solicitor or his firm has been instructed on behalf of a client or any matter which relates to the administration of a controlled trust; or

(ii) any sum of money due from the solicitor or his firm to, or held by him or his firm on behalf of, his clients or subject to a controlled trust is in jeopardy while in the control or possession of the solicitor or his firm,

the provisions of Schedule 1 shall apply in relation to that solicitor and the other persons mentioned in that Schedule.

(2) The provisions of Schedule 1 shall apply to every solicitor who practises as a sole solicitor and—

(a) who is adjudicated bankrupt or becomes the subject of a bankruptcy restrictions order or has a debt relief order made in respect of him or becomes the subject of a debt relief restrictions order or has entered into any voluntary or other arrangement or composition with his creditors; or

(b) who has had any order of committal or attachment, or judgment or decree of the kind mentioned in Article 13(1)( j ) made against him which has not been discharged; or

(c) in relation to whose property or affairs any power is being exercised under Part VIII of the Mental Health (Northern Ireland) Order 1986 or who is a patient for the time being detained in hospital for treatment or subject to guardianship under Part II of that Order; or

(d) who by reason of bodily illness, infirmity or weakness not amounting to mental disorder has become permanently or for a period of more than one month incapable of carrying on practice as a solicitor and has not in the opinion of the Council made adequate arrangements for professional assistance in or supervision of his practice during such incapacity.

(3) Where the Council have passed a resolution to the effect that they are satisfied that a solicitor . . .

(a) has failed to comply with—

(i) any provision respecting the keeping of accounts contained in regulations made under Article 33 or with any requirements made in pursuance of any such regulations for the production of books of account or other documents; or

(ii) the provisions of Article 35 or of any regulations made thereunder; and

(b) has been informed that such failure will have the consequence that the provisions of Schedule 1 shall apply in relation to him and the other persons mentioned in that Schedule,

the provisions of Schedule 1 shall apply in relation to that solicitor or . . . and the other persons mentioned in that Schedule.

(4) Where, at any time, the Council are satisfied that the circumstances mentioned in Article 13(1)(g) or (h) have effect in relation to any solicitor, the Council may direct that the provisions of Schedule 1 shall apply in relation to that solicitor and the other persons mentioned in that Schedule.

(5) Where the Tribunal have made a recommendation to the Council under Article 51C in respect of any solicitor, the Council may direct that the provisions of Schedule 1 shall apply in relation to that solicitor and the other persons mentioned in that Schedule.

Section 37 Power of Council to deal with property of solicitors removed from or struck off the roll

(1) Where the name of a solicitor is removed from or struck off the roll or a solicitor is suspended from practice, that solicitor shall within three weeks from the material date satisfy the Council that he has made suitable arrangements for making available to his clients or to some other solicitor or solicitors instructed by his clients or with the approval of the Council instructed by himself—

(a) all deeds, wills, documents constituting or evidencing title to any property, papers, books of account, records, vouchers and other documents in his or his firm's possession or control, or relating to any controlled trust; and

(b) all sums of money due from him or his firm to, or held by him or his firm on behalf of, his clients or subject to any such trust as aforesaid,

and if he fails so to satisfy the Council, Schedule 1 shall apply in relation to him and the other persons mentioned in that Schedule.

(2) In this Article, the expression “the material date” means whichever is the latest of the following dates, that is to say—

(a) the date when the order . . . … , by or in pursuance of which the solicitor's name is removed from or struck off the roll, or the solicitor is suspended from practice, is to take effect;

(b) the last date on which an appeal against that order may be lodged;

(c) the date on which any such appeal is dismissed or abandoned.

Section 38 Solicitors guilty of undue delay in certain matters

Where—

(a) a complaint is made to the Council that there has been undue delay on the part of a solicitor in connection with any matter in which he or his firm has been instructed on behalf of a client . . . or any matter which relates to the administration of a controlled trust or in complying with an order of the Tribunal under Article 51(1)(j), (k) or (l) or (3) ... ; and

(b) the Council have by notice invited the solicitor to give an explanation in respect of that matter; and

(c) the solicitor has, within a period of not less than fourteen days specified in the said notice or such longer period as the Council may determine, failed to give an explanation in respect of that matter which the Council regard as sufficient and satisfactory; and

(d) the solicitor has been notified in writing by the Society that he has so failed;

the provisions of Schedule 1 shall apply in relation to that solicitor and the other persons mentioned in that Schedule, but as regards the documents specified in paragraph 2, and the sums of money specified in paragraph 10, of Part I of that Schedule, only in so far as they relate to the matter in the complaint.

Section 39 Control of deceased solicitor's practice in certain circumstances

(1) Where—

(a) the Council have reasonable cause to believe and have passed a resolution stating that they have reasonable cause to believe that—

(i) a solicitor who has died, or his clerk, apprentice or servant, has been guilty of dishonesty or undue delay in connection with his practice as a solicitor or in connection with any trust of which the solicitor was a trustee; or

(ii) the personal representatives of a deceased solicitor who immediately before his death was practising as a sole solicitor , have been guilty of dishonesty or undue delay in administering the affairs of that solicitor's practice or in connection with any trust of which that solicitor was a trustee; or

(b) a solicitor dies and immediately before his death the provisions of Schedule 1 applied to him;

the provisions of Schedule 1 shall with necessary modifications apply or, in the case of a solicitor referred to in sub-paragraph ( b ), continue to apply, to the personal representatives of that solicitor as they apply in relation to a solicitor in respect of whom the Council have passed a resolution under Article 36(1)( a ).

(1A) Where a solicitor dies and—

(a) immediately before his death—

(i) he was practising as a sole solicitor; and

(ii) the provisions of Schedule 1 did not apply to him; and

(b) no appointment is made under Article 32 within three months from the date of his death,

the provisions of Schedule 1 shall, if the Council so resolve, apply with the necessary modifications to the personal representatives of that solicitor as they apply in relation to a solicitor in respect of whom the Council have passed a resolution under Article 36(1)(a).

(2) Where no grant of representation has been issued in the estate of any solicitor to whom paragraph (1)( a )(i) or ( b ) applies the High Court shall, notwithstanding any enactment or rule of law to the contrary, have power to grant letters of administration (with or without will annexed) to the Society and, where such a grant is issued to them the Society may act accordingly as administrator and shall have the same rights and be subject to the same liabilities and be accountable in like manner as if the Society were the personal representatives of the deceased.

(3) On a grant being made to the Society under paragraph (2) in respect of the estate of a deceased solicitor a person shall not, without a grant being made to him, be or become entitled to administer any estate of which that deceased solicitor was an executor.

Section 40 On death of solicitor practising on his own account Society may deal with banking accounts of practice

(1) At any time after the death of a solicitor who immediately before his death was practising as a sole solicitor . . . the Council may, if they think fit, by notice inform the personal representatives of such solicitor and any bank or building society with whom an account in the name of the solicitor or his firm (being an account in the title of which the word “client” is required by regulations made under Article 33, to appear) is kept, that the provisions of this Article shall apply to such . . . account and on the date of the service of such notices (or if the notices are served on different dates, on the date of the service of the last notice) the right to operate on or otherwise deal with such . . . account shall, notwithstanding any enactment or rule of law to the contrary, vest in the Society to the exclusion of any personal representatives of such solicitor and shall be exercisable as from such date as aforesaid.

(2) For the purpose of this Article a certificate signed by the secretary and certifying that an account is an account in the title of which the word “client” is required by such regulations as aforesaid to appear shall be evidence of the matter certified.

Section 40A Duty to advise client as to representation in court

(1) Paragraph (2) applies where—

(a) it appears to a solicitor that a client requires, or is likely to require, legal representation in any proceedings in the High Court or the Court of Appeal;

(b) either—

(i) that solicitor is minded to arrange for another solicitor who is an authorised solicitor to provide that representation; or

(ii) that solicitor is an authorised solicitor and is minded to provide that representation; and

(c) in representing that client in the High Court or Court of Appeal, a solicitor would need to exercise the right of audience conferred by section 106(3A) of the Judicature (Northern Ireland) Act 1978.

(2) The solicitor must advise the client in writing—

(a) of the advantages and disadvantages of representation by an authorised solicitor and by counsel, respectively; and

(b) that the decision as to whether an authorised solicitor or counsel is to represent the client is entirely that of the client.

(3) The Society shall make regulations with respect to the giving of advice under paragraph (2).

(4) A solicitor shall—

(a) in advising a client under paragraph (2), act in the best interest of the client; and

(b) give effect to any decision of the client referred to in paragraph (2)(b).

(5) For the purposes of this Article compliance with paragraph (2) in relation to any proceedings in a court in any cause or matter is to be taken to be compliance with that paragraph in relation to any other proceedings in that court in the same cause or matter.

(6) If a solicitor contravenes this Article, any person may make a complaint in respect of the contravention to the Tribunal.

(7) In this Article and Article 40B “ authorised solicitor ” means a solicitor who holds an authorisation under Article 9A.

Section 40B Duty to inform court as to compliance with Article 40A(2)

(1) Where—

(a) a solicitor has complied with Article 40A(2) in relation to the representation of a client in any proceedings in the High Court or Court of Appeal;

(b) that client is to be represented in those proceedings by an authorised solicitor; and

(c) in representing that client in those proceedings the authorised solicitor would need to exercise the right of audience conferred by section 106(3A) of the Judicature (Northern Ireland) Act 1978,

the solicitor shall inform the High Court or (as the case may be) the Court of Appeal of the fact mentioned in sub-paragraph (a) in such manner and before such time as rules of court may require.

(2) For the purposes of this Article compliance with paragraph (1) in relation to any proceedings in a court in any cause or matter is to be taken to be compliance with that paragraph in relation to any other proceedings in that court in the same cause or matter.

(3) If a solicitor contravenes paragraph (1), any person may make a complaint in respect of the contravention to the Tribunal.

Section 41 Extension of Bankruptcy Acts, etc.

Para. (1) rep. by 1980 NI 4

Para. (2) rep. by 1989 NI 19

(3) Where—

(a) a solicitor is adjudicated a bankrupt or is the subject of a bankruptcy restrictions order or a debt relief order has been made in respect of him or he is the subject of a debt relief restrictions order , or a composition or scheme proposed by the solicitor has been approved under Chapter 2 of Part 8 of the Insolvency (Northern Ireland) Order 1989 or the solicitor dies insolvent, and

(b) the sum at the credit of the client account kept by the solicitor at a bank or building society in accordance with regulations made under Article 33, or, where two or more such accounts are kept by the solicitor, the total of the sums at the credit of those accounts, is less than the total of the sums received by the solicitor in the course of his practice on behalf of his clients and remaining due by him to them,

then, notwithstanding any rule of law to the contrary, the sum at the credit of the client account, or where the solicitor has kept two or more client accounts the total of the sums at the credit of those accounts, shall be divisible proportionately amongst the clients of the solicitor according to the respective sums received by the solicitor in the course of his practice on behalf of his clients and remaining due by him to them.

(4) For the purposes of this Article no account shall be taken—

(a) of any account at a bank or building society kept by the solicitor in his own name for a specified client,

(b) of sums received by the solicitor in the course of his practice on behalf of that client and remaining due by him to the client so far as represented by the sum in the . . . account in the name of the solicitor for the client,

(c) of any account at a bank or building society kept by the solicitor in his own name for money of any controlled trust, or

(d) of sums received by the solicitor in the course of his practice on behalf of that trust and remaining due by him to the trust so far as represented by the sum in the . . . account in the name of the solicitor for the trust.

Para. (5) rep. by 1989 NI 19

(6) For the purposes of this Article any reference to an account at a bank shall include a reference to a deposit receipt at a bank.