IE
S.I. No. 717/2005 - The Solicitors Acts, 1954 to 2002 Solicitors (Practising Certificate 2006) Regulations, 2005
Table of Provisions (8)
Statutory Text (8 Articles)
1. This application must be duly completed by a solicitor engaged (or intending to engage) during the practice year ending 31st December 2006 in the provision of legal services, whether as a sole practitioner or as a partner in a solicitor's practice or as an employee of any solicitor or of any other person or body, including a solicitor who does not require a Practising Certificate by reason of being a solicitor in the full-time service of the State
[within the meaning of
section 54
of the
Solicitors Act, 1954
, as substituted by
section 62
of the
Solicitors (Amendment) Act, 1994
]
or by reason of being a solicitor employed full-time in the State to provide conveyancing services only to and for his/her non-solicitor employer
[section 56, Solicitors (Amendment) Act, 1994]
.
2. The practice year coincides with the calendar year. This application must be received by the Registrar at the Society's premises, Blackhall Place Dublin 7 on or before Wednesday, 1
st
February 2006 in order for the practising certificate to be dated 1st January 2006 and thereby to operate as a qualification to practise from the commencement of the practice year 2006. A Practising Certificate issued after the 1st February 2006 must
[under Section 48 (as amended by
Section 55
of the
Solicitors (Amendment) Act, 1994
), of the
Solicitors Act, 1954
]
bear the date on which the application is actually received by the Registrar. In April 2006, a listing of solicitors holding Practising Certificates as at 31st March 2006 will be forwarded to each County Registrar, District Court Clerk, Taxing Master and Bar Association.
3. The Registration Fee and the Compensation Fund Contribution are required to be paid by each applicant for a Practising Certificate.
4. A solicitor admitted during the practice year commencing 1st January 2006 and, if applying for his/her first Practising Certificate during that practice year 2006, may calculate the Registration Fee and the Compensation Fund Contribution payable by him/her on the basis of the number of full calendar months remaining in that practice year following the month of his/her admission; and the solicitor's membership subscription in respect of the year (or part thereof) of his/her admission shall be at the reduced rate of €20.
5. The first cycle of Continuous Practice Development(CPD) commenced on 1
st
July 2003 and ended on 31
st
December 2005, during which a practising solicitor is required to have completed at least 20 hours of CPD in accordance with the CPD Scheme, as provided for in
S.I. No. 37 of 2003
. Completion of Section E of this application is the initial means of verifying compliance with the CPD Scheme. Each applicant for a Practising Certificate for either the practice year ending 31
st
December 2006 or 31
st
December 2007 is subject to the requirements of the CPD Scheme referable to the first cycle, with a limited number of exceptions. An applicant who did not hold a Practising Certificate in respect of
each
of the practice years ending 31
st
December 2004 and 31
st
December 2005 or an applicant who was not admitted to the Roll of Solicitors prior to the commencement of the first cycle (1
st
July 2003) is not subject to the CPD Scheme. Also, an applicant who had periods out of practice during the first cycle due, to being on maternity leave or because of certified long term illness or due to not holding a practising certificate, would be entitled to a proportionate reduction on the 20 hours of CPD requirement. For further information, please refer to the CPD section on the Society's website [
www.lawsociety.ie
] or contact the Society's CPD unit [
attention: Alison Egan:- tel (01) 6724802
]. An applicant should
not
return his/her CPD record card with this application. However, the Society may subsequently request sight of an applicant's record card and/or further proof of CPD attendances during the first cycle as part of the Society's CPD audit review process.
6. Payment of the Membership Subscription and/or the Solicitors' Benevolent Association Contribution and/or the Free Legal Advice Centres Contribution is/are not a condition(s) precedent to the issue of a Practising Certificate. However, unless a solicitor pays the annual membership subscription, he/she cannot enjoy the benefits of being a member of the Society as provided for in the Society's Bye-Laws, including the right to vote in annual and provincial elections and the right to receive the Society's Gazette.
SECOND SCHEDULE
within referred to
EURO
(a)
Registration Fee for the practice year ending on the 31
st
day of December 2006 payable to the Society on application for a practising certificate by an applicant solicitor who has been admitted to the Roll for three years or more on the 1
st
day of January 2006
€1,359
(b)
Registration Fee for the practice year ending on the 31
st
day of December 2006 payable to the Society on application for a practising certificate by an applicant solicitor who has been admitted to the Roll for less than three years on the 1
st
day of January 2006
€1,085
(c)
Contribution to the Compensation Fund for the practice year ending on the 31
st
day of December 2006 payable to the Society on application for a practising certificate by an applicant solicitor
€400
(d)
Fee payable to the Society on each application, pursuant to
Section 17
of the
Solicitors (Amendment) Act, 1960
, for a copy of an entry on File A or File B
€6
[*
See notes on page 8
]
[*
See notes on page 8
]
[*
See notes on page 8
]
[
**
Within the meaning of
S.I. No. 719 of 2005
]
[
***
Within the meaning of
S.I. No. 312 of 1995
]
[
****
Within the meaning of the Solicitors Acts, 1954 to 2002]
[
****
Within the meaning of the Solicitors Acts, 1954 to 2002]
[
****
Within the meaning of the Solicitors Acts, 1954 to 2002]
[
****
Within the meaning of the Solicitors Acts, 1954 to 2002]
[
****
Within the meaning of the Solicitors Acts, 1954 to 2002]
[
****
Within the meaning of the Solicitors Acts, 1954 to 2002]
*****
Text of Investor Compensation Act, 1998, Section 47(1)(a) and (b)
“
(a) A solicitor in respect of whom a practising certificate (within the meaning of the Solicitors Acts, 1954 to [2002]) is in force shall be an investment business firm
—
(i) where the solicitor provides investment business services or investment advice in a manner which is not incidental to the provision of legal services, or
(ii) where the solicitor holds himself or herself out as being an investment business firm, or
(iii) where, when acting as an investment product intermediary in a manner incidental to the provision of legal services, the solicitor holds an appointment in writing other than from
-
(I) an investment firm authorised in accordance with the Investment Services Directive by a competent authority of another Member State, or an authorised investment business firm (not being a restricted activity investment product intermediary or a certified person), or a member firm within the meaning of the
Stock Exchange Act, 1995
, or
(II) a credit institution authorised in accordance with Directives 77/780/EEC of 12 December, 1977, and 89/646/EEC of 15 December, 1989, or
(III) a manager of a collective investment undertaking authorised to market units in collective investments to the public,
which is situate in the State or the relevant branch of which is situate in the State,
and shall be required to be authorised as an authorised investment business firm pursuant to the provisions of the
[Investment Intermediaries Act,]
1995
.
(b) A solicitor, in respect of whom a practising certificate (within the meaning of the Solicitors Acts, 1954 to [2002]) is in force, who is an insurance intermediary or who holds himself
[or herself]
out to be an insurance intermediary shall be an investment firm for the purposes of this Act and shall inform the
[Irish Financial Services Regulatory Authority]
and
[The Investor Compensation Company Limited]
that he or she is an investment firm for the purposes of this Act
.”
*****
Text of Investor Compensation Act, 1998, Section 47(1)(a) and (b)
“
(a) A solicitor in respect of whom a practising certificate (within the meaning of the Solicitors Acts, 1954 to [2002]) is in force shall be an investment business firm
—
(i) where the solicitor provides investment business services or investment advice in a manner which is not incidental to the provision of legal services, or
(ii) where the solicitor holds himself or herself out as being an investment business firm, or
(iii) where, when acting as an investment product intermediary in a manner incidental to the provision of legal services, the solicitor holds an appointment in writing other than from
-
(I) an investment firm authorised in accordance with the Investment Services Directive by a competent authority of another Member State, or an authorised investment business firm (not being a restricted activity investment product intermediary or a certified person), or a member firm within the meaning of the
Stock Exchange Act, 1995
, or
(II) a credit institution authorised in accordance with Directives 77/780/EEC of 12 December, 1977, and 89/646/EEC of 15 December, 1989, or
(III) a manager of a collective investment undertaking authorised to market units in collective investments to the public,
which is situate in the State or the relevant branch of which is situate in the State,
and shall be required to be authorised as an authorised investment business firm pursuant to the provisions of the
[Investment Intermediaries Act,]
1995
.
(b) A solicitor, in respect of whom a practising certificate (within the meaning of the Solicitors Acts, 1954 to [2002]) is in force, who is an insurance intermediary or who holds himself
[or herself]
out to be an insurance intermediary shall be an investment firm for the purposes of this Act and shall inform the
[Irish Financial Services Regulatory Authority]
and
[The Investor Compensation Company Limited]
that he or she is an investment firm for the purposes of this Act
.”
[****** see note 5 on page 8]
7. The fee payable to the Society by a person who applies to the Registrar, pursuant to
Section 17
of the
Solicitors (Amendment) Act, 1960
, for a copy of an entry on File A or File B shall be as specified in the Second Schedule to these Regulations.
Date this 15
th
day of November 2005
Signed on behalf of the Law Society of Ireland pursuant to
Section 79
of the
Solicitors Act, 1954
.
_____________________________
MICHAEL G. IRVINE
President of the Law Society of Ireland
FIRST SCHEDULE
within referred to
FORM OF APPLICATION FOR A PRACTISING CERTIFICATE FOR THE PRACTICE YEAR ENDING 31
ST
DECEMBER 2006
THE LAW SOCIETY OF IRELAND
Blackhall Place, Dublin 7.
APPLICATION FOR A PRACTISING CERTIFICATE 2006
*
(for the practice year ending 31st December 2006)
NAME: ________________________________________________
NAME OF FIRM/ORGANISATION: __________________________________
PRINCIPAL PRACTICE/ORGANISATION ADDRESS
___________________________________________________
___________________________________________________
____________________________________________________
To: Registrar of Solicitors, Law Society of Ireland, Blackhall Place, Dublin 7.
Section A - General
(1) I was
admitted as a solicitor
in ______________________________ Sittings 19___/200___.
(2) I am not required to hold a Practising Certificate by reason of being -
(i) a solicitor in the full-time service of the State
*
; ❑
or
(ii) a conveyancing-only solicitor employed by a non-solicitor
*
. ❑
(3) (a) I am also admitted as a solicitor in the following other jurisdiction(s)
____________________________________________________________________
(b) I currently hold a certificate entitling me to practise as a solicitor in the following other jurisdiction(s):_________________________________________________
(4)
My current professional status is
[Please tick [✓] as appropriate]
Sole practitioner (i.e. practising as a sole principal in a solicitor's practice) ❑
or
Partner in a solicitor's practice ❑
or
Consultant solicitor in a solicitor's practice ❑
or
Solicitor employed in a solicitor's practice ❑
or
Solicitor employed by a non-solicitor (e.g. financial institution, commercial entity, statutory body) ❑
or
Locum (solicitor intending only to practise on short-term contract or employment basis) ❑
or
Other [please specify] __________ ❑
[Note: If your professional status has changed during the practice year 2005 please
provide
the date of such change ____________________ 2005]
(5)
Particulars of practice
(a) Name of managing partner / solicitor-in-charge of practice: _____________________
(b) Name of practice: ___________________________________________________
(c) Other Practice address(es): ____________________________________________
__________________________________________________________________
(6)
Questions of the Registrar of Solicitors to be answered by each applicant for a practising certificate, pursuant to the Solicitors Acts, 1954 to 2002.
[A solicitor applying for his/her first practising certificate and a solicitor to whom Section A(2) of this application applies should answer each of the questions]
.
(a)
Has the last Practising Certificate issued to you been suspended or issued subject to conditions or been endorsed with conditions?
Yes ❑
No ❑
(b)
Since the last Practising Certificate issued to you, have you failed to comply with the Solicitors Acts, 1954 to 2002 or with any order or regulation made thereunder, including the Solicitors Accounts Regulations, 2001/2005?
Yes ❑
No ❑
(c)
Since the last Practising Certificate issued to you, have you, been notified that you have failed to satisfy the Society that you exercise adequate personal supervision over any office or place of business?
Yes ❑
No ❑
(d)
Since the last Practising Certificate issued to you, have you been notified that you have failed to give the Society an explanation which the Society regards as sufficient and satisfactory in respect of any matter affecting your conduct?
Yes ❑
No ❑
(e)
Since the last Practising Certificate issued to you, has an order of attachment or committal been made against you?
Yes ❑
No ❑
(f)
Since the last Practising Certificate issued to you, have you been adjudicated bankrupt?
Yes ❑
No ❑
(g)
Since the last Practising Certificate issued to you, have you entered into a composition with your creditors or deed of arrangement for the benefit of your creditors?
Yes ❑
No ❑
(h)
Since the last Practising Certificate issued to you, have you failed to comply with any order(s) of the High Court or any other court(s)?
Yes ❑
No ❑
(i)
Since the last Practising Certificate issued to you, have you failed to comply with any determination, requirement or direction of the Society under Section 8, 9, 10, or 10A (as inserted by
Section 13
of the
Solicitors (Amendment) Act, 2002
) of the
Solicitors (Amendment) Act, 1994
?
Yes ❑
No ❑
(j)
Since the last Practising Certificate issued to you, have you been sentenced to a term of imprisonment?
Yes ❑
No ❑
(k)
Since the last Practising Certificate issued to you, have you failed to satisfy the Society that you are fit to carry on the practice of a solicitor having regard to the state of your physical or mental health?
Yes ❑
No ❑
(l)
Since the last Practising Certificate issued to you, have you failed to satisfy the Society that, having regard to all the circumstances, including the financial state of your practice, you should be issued with a Practising Certificate or a Practising Certificate not subject to a specified condition or conditions?
Yes ❑
No ❑
(m)
Has (Have) any judgement(s) or decree(s) been given against you
[other than judgement(s) or decree(s) to which you are entitled, as respects the whole effect of the judgement(s) or decree(s) upon you, to indemnity or relief from any other persons]
which remain(s) unsatisfied in whole or in part, and in respect of which judgement(s) or decree(s) you have not produced to the Registrar of Solicitors evidence of the satisfaction of such judgement(s) or decree(s)?
[If applicable, details should be submitted with this application of any such judgement(s) or decree(s), including evidence of the satisfaction thereof.]
Yes ❑
No ❑
(n)
Is this application by you for a Practising Certificate following upon the expiration of a period of suspension from practice?
Yes ❑
No ❑
(o)
Is this application by you for a Practising Certificate following upon any order by the High Court restoring your name to the Roll of Solicitors?
Yes ❑
No ❑
(7)
[To be completed by a solicitor who did not hold a Practising Certificate for the practice year 2005 other than a solicitor who is making his/her first application for a Practising Certificate immediately following upon his/her admission as a solicitor. If not applicable, please delete.]
I did not hold a Practising Certificate since the practice year ended 31st December __________ for the following reason(s): ________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
Section B - Solicitors' Accounts Regulations, 2001/2005
[Part I of this Section (immediately below) must be completed by a solicitor who is practising in a solicitor's practice as a sole principal or as a partner, or by any other solicitor who handles clients' moneys. The declaration in Part II of this Section must be ticked by a solicitor to whom Part I of this Section does not apply. If Part I applies please delete Part II.]
Part I
(a) The last reporting accountant's report furnished to the Society was for the accounting period ending on the __________ day of ____________________200___.
(b) The name and address of my reporting accountant(s) is (are): _________________________________
___________________________________________________________________________________
___________________________________________________________________________________
(c) [
If a partnership
] Name of compliance partner
**
: _________________________________________
(d)
[If a reporting accountant's report has never been furnished to the Society]
Date of commencement in practice:________________________________200___.
[Note: A reporting accountant's report must be furnished to the Society not later than six months after the end of your annual accounting period.]
OR
[The declaration set out in Part II of this Section (immediately below) should be ticked by an employed solicitor in private practice, or by a solicitor employed by a non-solicitor, who has not handled clients' moneys during the practice year 2005 except on behalf of his/her employer. If Part II applies, please delete Part I.]
Part II
I declare that I have not handled clients' moneys at any time during the practice year 2005, other than on behalf of my employer.
Part II of Section B applies to me and I so declare.____________________ Yes
❑
[Please tick [✓] if appropriate]
Section C - Professional Indemnity Insurance
[This Section must be completed to comply with The Solicitors Acts, 1954 to 1994 (Professional Indemnity Insurance) Regulations, 1995 to 2005. Part I of this Section must be completed by a solicitor other than a solicitor to whom Part II of this Section applies. If Part I applies, please delete Part II.]
Part I
(a) Name of Professional Indemnity Insurer: ________________________________________________
(b) Date of commencement of current period of Professional Indemnity cover:________________________
(c) Date of expiration of current period of Professional Indemnity cover:____________________________
I confirm that the particulars set out above in (a), (b) and (c) are correct at the date of this application, and I undertake that I will use my best endeavours to furnish (or cause to be furnished) to the Society, not later than 15 days after the date of the expiration of my current period of Professional Indemnity cover as set out in (c) above confirmation from a qualified insurer
***
of there being in force relating to me the minimum level of cover (€2,500,000 each and every claim) for the practice year 2006.
OR
Part II
[Part II of this Section applies to a solicitor who provides legal services
****
(or conveyancing services
****
only to and for his/her employer, provided that such employer is not a solicitor. If Part II applies, please delete Part I.]
I declare that I am a solicitor employed full-time within the State to provide legal services
****
(or conveyancing services
****
only) to and for my employer who is not a solicitor AND I further declare that, for the duration of the practice year to which this application relates, I will not engage in the provision of legal services
****
(or conveyancing services
****
only) to and for any person or persons other than my employer.
Part II of Section C applies to me and I so certify. ____________________ Yes
❑
[
Please tick [✓] if appropriate]
[
Note: Section D, Part I or Part II, applies to all applicants for a Practising Certificate
]
Section D - Investment Business Services or Investment Advice
[This section must be completed to comply with The Solicitors Acts, 1954 to 1994 (Investment Business and Investor Compensation) Regulations, 1998 (
S.I. No. 439 of 1998
as amended by
S.I. No. 504 of 2001
). Part 1 of this section must be completed by a solicitor other than a solicitor to whom Part II of this section applies. Part II applies to a solicitor who is an investment business firm or who is an insurance intermediary in one or more of the circumstances set forth in Section 47(1)(a) or (b) of the
Investor Compensation Act, 1998
(see below
*****
)]
Part I
I hereby UNDERTAKE that
(a) I will
only
provide investment business services (including acting as an insurance intermediary) or investment advice to clients incidental to the provision of legal services to such clients;
(b) I will not hold myself out as being an investment business firm or an insurance intermediary;
(c) in providing investment business services or investment advice to clients incidental to the provision of legal services to such clients and when acting as an investment product intermediary, I will not hold an appointment in writing other than from
(i) an investment firm authorised in accordance with
Directive 93/22/EEC
of 10th May 1993 by a competent authority of another Member State, or an authorised investment business firm (not being a restricted activity investment product intermediary or a certified person), or a member firm within the meaning of the
Stock Exchange Act, 1995
, or
(ii) a credit institution authorised in accordance with Directives 77/780/EEC of 12th December 1977 and 89/646/EEC of 15th December 1989, or
(iii) a manager of a collective investment undertaking authorised to market units in collective investments to the public,
which is situate in the State or the relevant branch of which is situate in the State; and
(d) if at any time during the course of the practice year ending on 31st December 2006 I propose to become an investment business firm or an investment firm in one or more of the circumstances set forth in Section 47(i)(a) or (b) of the
Investor Compensation Act 1998
*****
, I will notify the Society in writing of that fact at least seven days before such proposed event and shall, within fourteen days of such notification, comply with the provisions of Regulation 6 of The Solicitors Acts 1954 to 1994 (Investment Business and Investor Compensation) Regulations, 1998 (
S.I. No. 439 of 1998
as amended by
S.I. No. 504 of 2001
).
Part 1 of Section D applies to me and I so undertake.
[Please tick [✓] if appropriate]
Yes
❑
OR
(
see next page
)
Part II
STATUTORY INSTRUMENT
S.I. No.717 of 2005
The Solicitors Acts, 1954 to 2002 Solicitors (Practising Certificate 2006) Regulations, 2005
THE SOLICITORS ACTS, 1954 TO 2002 SOLICITORS (PRACTISING CERTIFICATE 2006) REGULATIONS, 2005
The Law Society of Ireland, in exercise of the powers conferred on them by Section 47 (as substituted by
Section 54
of the
Solicitors (Amendment) Act, 1994
),
Section 82
of the
Solicitors Act, 1954
and Section 22 (as substituted by
Section 30
of the
Solicitors (Amendment) Act, 1994
) of the
Solicitors (Amendment) Act, 1960
HEREBY MAKE the following Regulations
Citation and commencement