S.I. No. 541/2009 - The European Communities (Lawyers’ Establishment) Regulations 2003 (Qualifying Certificate 2010) Regulations 2009

1. The registration fee and the Compensation Fund contribution are required to be paid by each applicant for a qualifying certificate.

2. A registered lawyer admitted during the practice year commencing 1 January 2010, if applying for his/her first qualifying certificate during the practice year 2010, 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 registered lawyer’s membership subscription in respect of the year (or part thereof) of his/her admission shall be at the reduced rate of €20.

3. Payment of the annual membership subscription and/or the Solicitors Benevolent Association contribution and/or the Free Legal Advice Centres contribution and/or Community Law Centres contribution is/are not a condition(s) precedent to the issuing to a registered lawyer of a qualifying certificate. However, unless a registered lawyer 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. The voluntary contribution to Community Law Centres will be allocated to the Ballymun Community Law Centre and the Northside Community Law Centre.

Payment Methods

Please pay the fees due by cheque or electronic funds transfer as indicated on the application form.

4. (

a

) The Registrar, at any time following delivery to the Registrar by an applicant registered lawyer of an application (whether or not a qualifying certificate has been issued by the Registrar to the applicant registered lawyer pursuant to Regulation 3(

b

) of this Regulation), may, where the Registrar deems it appropriate and reasonable so to do, require the applicant registered lawyer to confirm in writing to the Society the accuracy of all or any specified part or parts of the application.

(

b

) Where, on receipt by the Society of a confirmation in writing from an applicant registered lawyer required by the Registrar pursuant to clause (

a

) of this Regulation, the Registrar deems it appropriate and reasonable so to do, the Registrar may require the applicant registered lawyer to attend before a meeting of the Regulation of Practice Committee to further confirm the accuracy of all or any specified part or parts of the application.

Misconduct of knowingly furnishing false and misleading information

5. The questions of the Registrar of Solicitors are to be answered by each applicant, including a registered lawyer in the full-time service of the State and a conveyancing-only registered lawyer employed by a non-solicitor.

Section C — 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. Part 1 of this Section must be completed by a registered lawyer other than a registered lawyer to whom Part II of this Section applies. Part II of this Section applies to a registered lawyer 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

.

Text of Investor Compensation Act 1998 Section 47(1)(

a

) and (

b

)

“

(a) A [registered lawyer in respect of whom a qualifying certificate] is in force shall be an investment business firm-

(i) where [such lawyer] provides investment business services or investment advice in a manner which is not incidental to the provision of legal services, or

(ii) where [such lawyer] 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, [such lawyer] 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 [registered lawyer, in respect of whom a qualifying certificate] 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.

”

Part I

The terms of the undertaking referred in Part 1 of this Section are as follows

I hereby undertake that

(

a

) I will not provide investment business services (including acting as an insurance intermediary) or investment advice to clients or, if I do so, I will do so only when 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

) If I provide 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 10 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 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

(

d

)if at any time during the course of the practice year ending on 31 December 2010 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.

Part II

The terms of the description referred to in Part II of this Section and the terms of the evidence in writing referred to in Part II of this Section are as follows

6. As and from the coming into operation of these Regulations, the Registration Fee together with the contribution to the Compensation Fund as specified in the Second Schedule to these Regulations shall be paid to the Society by an applicant registered lawyer on delivery to the Registrar of his or her application.

Fee for copy of entry on File A or File B

7. The fee payable to the Society by a person who applies to the Registrar, pursuant to Section 17 of the Act of 1960, for a copy of an entry on File A or File B shall be as specified in the Second Schedule to these Regulations.

Issue of duplicate qualifying certificate

8. Where a registered lawyer to whom a qualifying certificate for the practice year has been issued pursuant to Regulation 3(

b

) of these Regulations certifies to the Registrar that his or her qualifying certificate has been inadvertently destroyed, lost or mislaid, such registered lawyer may apply to the Society for a duplicate original of such qualifying certificate on duly discharging the fee specified in the Second Schedule to these Regulations and duly undertaking to the Registrar that in the event of the qualifying certificate as originally issued being subsequently found in the course of the practice year that same would forthwith be returned to the Registrar.

Where conditions attached to qualifying certificate

9. (

a

) Where a qualifying certificate for the practice year is caused to be issued by the Registrar to a registered lawyer subject to a specified condition or conditions, the qualifying certificate shall be endorsed with the words (adapted as appropriate): “

Issued subject to

[a]

specified condition

[s]

as annexed

” and the Registrar at the same time shall cause to be issued to the solicitor concerned a separate document (deemed to be part of the qualifying certificate) headed with the Society’s crest and title and also headed (adapted as appropriate): “

Annexe to qualifying certificate of

[name of registered lawyer]

of

[a]

specified condition

[s]

attached thereto and applicable as and from

[date of commencement of applicability of the specified condition or conditions]” and setting out the text of each specified condition.

(

b

) Where the Society give a direction pursuant to Section 59 of the Act of 1994 that the qualifying certificate already issued to a solicitor for the practice year should, from a date that is 21 days after the date of receipt by the registered lawyer concerned of notification in writing by the Society of the giving of such direction, have effect subject to a specified condition or conditions, the registered lawyer shall (subject to the provisions of the said section 59 of the Act of 1994 as to the registered lawyer’s right of appeal to the High Court), within such period of 21 days, surrender his or her current qualifying certificate, and the Society shall, as soon as possible, reissue it endorsed with the words (adapted as appropriate): “

Issued subject to

[a]

specified condition

[s]

as annexed

” and the Registrar at the same time shall cause to be issued to the registered lawyer concerned a separate document (deemed to be part of the qualifying certificate) headed with the Society’s crest and title and also headed (adapted as appropriate): “

Annexe to qualifying certificate of

[name of registered lawyer]

of

[a]

specified condition

[s]

attached thereto and applicable as and from

[date of commencement of applicability of the specified condition or conditions]” and setting out the text of each specified condition.

(

c

) Where a qualifying certificate issued or reissued to a registered lawyer for the practice year is subject to a specified condition or conditions as referred to in clause (

a

) or (

b

) of this Regulation

(i) the registered lawyer concerned shall comply with the specified condition or each of the specified conditions, as the case may be, and shall ensure that he or she does not provide legal services to any client of the registered lawyer in breach of such specified condition or conditions, whether or not any such client is made aware of such specified condition or conditions, and

(ii) the registered lawyer concerned, in any display by him or her of his or her qualifying certificate, shall display with equal prominence adjacent thereto the annexe thereto setting out the specified condition or conditions to which his or her qualifying certificate is subject.

Dated this 18th day of December 2009.

Signed on behalf of the Law Society of Ireland pursuant to

Section 79

of the

Solicitors Act, 1954

.

GERARD J. DOHERTY

President of the Law Society of Ireland

FIRST SCHEDULE

within referred to

FORM OF APPLICATION FOR QUALIFYING CERTIFICATE FOR PRACTICE YEAR ENDING 31ST DECEMBER 2010

SECOND SCHEDULE

within referred to

EURO

(a)

Registration Fee for the practice year ending on the 31 st day of December 2010 payable to the Society on application for a qualifying certificate by an applicant registered lawyer admitted to the Register of Registered Lawyers three years or more on the 1 st day of January 2010

€1,488

(b)

Registration Fee for the practice year ending on the 31 st day of December 2010 payable to the Society on application for a qualifying certificate by an applicant registered lawyer originally admitted to the Register of Registered Lawyers for less than three years on the 1 st day of January 2010

€1,182

(c)

Contribution to the Compensation Fund for the practice year ending on the 31 st day of December 2010 payable to the Society on application for a qualifying certificate by an applicant registered lawyer

€660

(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

(e)

Fee payable to the Society on each application, pursuant to Regulation 8 of these Regulations, for the issue of a duplicate original qualifying certificate for the practice year

€50

THIRD SCHEDULE

within referred to

Law Society of Ireland

Qualifying Certificate Application

for the practice year ending 31 December 2010

GUIDANCE NOTES

General

Why you need a qualifying certificate

It is misconduct and a criminal offence for a registered lawyer (other than a registered lawyer in the full-time service of the State) to practise without a qualifying certificate. Any registered lawyer found to be practising without a qualifying certificate is liable to be referred to the Solicitors Disciplinary Tribunal.

When you must apply

A qualifying certificate must be applied for on or before 1 February in each year in order to be dated 1 January of that year and thereby operate as a qualification to practise from the commencement of the year. It is a legal requirement for a practising registered lawyer to deliver or cause to be delivered to the Registrar of Solicitors on or before 1 February 2010 an application in the prescribed form duly completed and signed by the applicant registered lawyer personally together with the appropriate fee. The onus is on each registered lawyer to ensure that his or her application form and fee is delivered by 1 February 2010. Applications should be delivered to the new address of the Regulation Department of the Society at

George’s Court, George’s Lane, Dublin 7/DX 1025 Four Courts.

What happens if you apply late

Any application for a qualifying certificate which is received after 1 February 2010 will result in the qualifying certificate being dated the date of actual receipt by the Registrar of Solicitors, rather than 1 January 2010. There is no legal power to allow any period of grace under any circumstances whatsoever.

The Regulation of Practice Committee is the committee of the Society which has responsibility for supervising compliance with qualifying certificate requirements. A special meeting of this Committee will be held on a date shortly after 1 February 2010 in order to consider any late or unresolved applications for qualifying certificates. At this meeting, any practising registered lawyer who has not duly applied by then for a qualifying certificate will be considered for referral forthwith to the Solicitors Disciplinary Tribunal and will be informed that the Society reserves the right to take High Court proceedings for an order under

section 18

of the

Solicitors (Amendment) Act 2002

to prohibit them from practising illegally without a current qualifying certificate.

If you are an employed registered lawyer

Registered lawyers who are employed should note that it is the statutory obligation of every registered lawyer who requires a qualifying certificate to ensure that he or she has a qualifying certificate in force from the commencement of the year. Employed registered lawyers cannot absolve themselves from this responsibility by relying on their employers to procure their qualifying certificates. However, it is the Society’s recommendation that all employers should pay for the qualifying certificate of each registered lawyer employed by them.

Some of your details are already on the application form

The qualifying certificate application form will be issued with certain information relating to you already completed.

If you are ceasing practice

If you have recently ceased practice or are intending to cease practice in the coming year, please notify the Society accordingly.

Acknowledgement of application forms

Please note that it is not the Society’s policy to acknowledge receipt of application forms as received.

Completion of the application form

The application form must be properly completed and dated and signed personally by the applicant. If any details are omitted from the application form, it may be returned to the applicant for proper completion and re-submission, which could result in delay in issuing a qualifying certificate to the applicant.

This application must be duly completed by an applicant lawyer seeking a registered lawyer’s qualifying certificate who is intending to engage in the State during the practice year ending 31 December 2010 in the provision of legal services, whether as a sole practitioner or as a partner in a solicitor’s or registered lawyer’s practice or as an employee of any solicitor or registered lawyer or of any other person or body, including an applicant who does not require a qualifying certificate by reason of being a lawyer 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 lawyer employed full-time in the State to provide conveyancing services only to and for his/her non-solicitor or non-registered lawyer employer

[section 56, Solicitors (Amendment) Act 1994]

.

The practice year coincides with the calendar year. The application form must be received by the Registrar at the Society’s premises, George’s Court, George’s Lane, Dublin 7, on or before 1 February 2010 in order for the qualifying certificate to be dated 1 January 2010 and thereby to operate as a qualification to practise from the commencement of the practice year 2010. A qualifying certificate issued after 1 February 2010 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 2010, a listing of registered lawyers holding qualifying certificates as at 31 March 2010 will be forwarded to each County Registrar, District Court Clerk, Taxing Master and Bar Association.

Section A — Personal Details

Please complete this Section as indicated on the application form.

Section B — Status

Please complete this Section as indicated on the application form.

The State means the Republic of Ireland.

Notes in relation to particular parts of this Section.

1(

e

) For the purposes of this option “independent law centre” has the meaning provided for in The Solicitors Acts 1954 to 2002 (Independent Law Centres) Regulations 2006 (

S.I. No. 103 of 2006

), as amended.

1(

f

) A registered lawyer to whom this option applies is not required to hold a qualifying certificate.

1(

g

) A registered lawyer to whom this option applies is not required to hold a qualifying certificate.

Notice of the making of this Statutory Instrument was published in

“Iris Oifigiúil” of

22

nd December

, 2009.

The Law Society of Ireland, in exercise of the powers conferred on them by the European Communities (Lawyers’ Establishment) Regulations 2003 (

S.I. No. 732 of 2003

,

S.I. No. 752 of 2004

and

S.I. No. 96 of 2008

) HEREBY MAKE the following Regulations

Citation and commencement