Solicitors Disciplinary Tribunal

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• Publisher: Law Society
• Year: 2016
• Print ISBN: 9781907698958
• eBook ISBN: 9781784460440
• Topic: Law
• Subtopic: Ethics & Professional Responsibility in Law
• Index: Law

The Solicitors Disciplinary Tribunal (SDT) has the power to strike off a solicitor from the roll, suspend a solicitor from practice, fine or reprimand a solicitor or make such other order as it thinks fit. Whilst over 90% of all cases brought before the SDT are brought by the SRA, it is open to anyone to bring a matter before it.This book provides a unique step-by-step guide to the law and practice of the Solicitors Disciplinary Tribunal, from the issue of proceedings through to appeal. Its practical approach will help anyone who wishes to avoid the common pitfalls faced by unfamiliar users of the Tribunal.It is the only comprehensive book available on SDT proceedings and it contains all the leading cases on Tribunal proceedings, many of which are not available on the internet, in one handy volume.

CHAPTER 1

The constitution of the Solicitors Disciplinary Tribunal

1.1THE STATUTORY FRAMEWORK AND THE PROCEDURAL RULES

The Solicitors Disciplinary Tribunal (the Tribunal) is a statutory tribunal established in 1975 by section 46(1) of the Solicitors Act 1974 to consider applications and complaints made against solicitors and their employees under any provision of the Solicitors Act 1974 (except so far as other provision is made by the Act or any regulations under it).

Section 46 of SA 1974 provides the Tribunal with a wide discretion to regulate its own procedure:

•By s.46(9)(b), SA 1974, the Tribunal may make rules about the procedure and practice to be adopted in making, hearing and determining applications and complaints (including rules making provision about the composition of the Tribunal).

•By s.46(12), SA 1974, the rules are made by way of statutory instrument.

•By s.46(5A), SA 1974, the Tribunal may do anything calculated to facilitate, or incidental or conducive to, the carrying out of any of its functions.

The Tribunal has two current sets of rules:

1.The Solicitors (Disciplinary Proceedings) Rules (SDPR) 2007,¹ which govern the general procedure for the Tribunal, its day-to-day function and first instance applications made to it; and

2.The Solicitors Disciplinary Tribunal (Appeals and Amendment) Rules (AAR) 2011,² which govern the Tribunal’s appellate jurisdiction.

1.2THE TRIBUNAL’S STATUTORY JURISDICTION TO HEAR APPLICATIONS AND APPEALS

1.2.1The statutes conferring jurisdiction on the Tribunal

The Tribunal’s initial jurisdiction was limited to applications and complaints relating to solicitors and their clerks and was contained in SA 1974. The jurisdiction has been extended over time to include other regulated persons. This section provides a list of the different statutes and regulations which now confer jurisdiction on the Tribunal to hear applications and complaints. The jurisdiction arising from each particular statute and regulation is considered in detail in other chapters of this book.³

The statutes and regulations conferring jurisdiction are:

•SA 1974 (applications and complaints arising under SA 1974 save where another body is specified in relation to a particular application or complaint).

•Administration of Justice Act (AJA) 1985, Sched.2, para.16(1) and (1A) (applications and complaints relating to legal services bodies, their managers and employees).

•European Communities (Lawyer’s Practice) Regulations (ECLPR) 2000, reg.26(4)(a) (applications and complaints relating to registered European lawyers).⁴

•Courts and Legal Services Act (CLSA) 1990, Sched.14, para.15(2) (applications and complaints relating to registered foreign lawyers).⁵

•Legal Services Act 2007 (Appeals from Licensing Authority Decisions) (No.2) Order 2011, para.4 (appellate jurisdiction over disciplinary decisions relating to alternative business structures).⁶

1.2.2Applications and complaints excluded from Tribunal jurisdiction

The Tribunal does not have jurisdiction to deal with applications and complaints on the following matters:

•Service complaints (including negligence).⁷

•Decisions to impose practising certificate conditions.⁸

•Appeals against the imposition of practising certificate conditions.⁹

•Appeals against admission¹⁰ and recognition¹¹ decisions.

•Appeals against decisions not to restore a solicitor’s name to the roll.¹²

•Decisions to intervene.¹³

•Appeals against decisions to intervene.¹⁴

•First instance complaints relating to alternative business structures.¹⁵

1.2.3Concurrent jurisdiction

There is a concurrent jurisdiction between the SRA and the Tribunal in relation to orders against solicitors’ employees under s.43, SA 1974 (see Chapter 12) and the internal disciplinary powers of the SRA which can be appealed to the Tribunal (see Chapter 20).

1.3PRACTICE DIRECTIONS

By rule 21(3) SDPR, the Tribunal (or a panel of at least five members of whom not less than two shall be lay members) may give such notices or make such directions concerning the practices or procedures of the Tribunal as are consistent with SDPR and as shall seem appropriate. The Tribunal shall promulgate notices or directions given or made under ...

Table of contents

• Cover
• Half Title
• Related titles from Law Society Publishing
• Title
• Copyright
• Contents
• Foreword
• About the authors
• Acknowledgements
• Table of cases
• Table of statutes
• Table of statutory instruments
• Table of EU legislation and international conventions
• Abbreviations
• 1 The constitution of the Solicitors Disciplinary Tribunal
• 2 The SRA decision to prosecute
• 3 Jurisdiction, issue and service
• 4 Public hearings and publicity
• 5 Rule 5 statements, answers and witness statements
• 6 Standard Directions and Practice Direction 6
• 7 Disclosure
• 8 Interim applications
• 9 Evidence
• 10 Dishonesty cases
• 11 Types of misconduct
• 12 Section 43 orders, RELs and RFLs
• 13 Settlements
• 14 The trial
• 15 Sanctions
• 16 Costs
• 17 Appeals from the SDT
• 18 Termination of an indefinite suspension
• 19 Restoration
• 20 Appeals to the Tribunal
• Appendix 1
• Appendix 2
• Appendix 3
• Appendix 4
• Index