S.I. No. 786/2021 - Legal Practitioners Disciplinary Tribunal Regulations 2021

1. An application by

[insert name of applicant

- the Complaints Committee of the Legal Services Regulatory Authority (the “Complaints Committee”)/ the Law Society of Ireland

[delete as appropriate]]

(“the applicant”) dated the........ day of ...................... 20.......... was received by the Tribunal on the............ day of ..............20........, pursuant to section 71(7) or section 71(8)(c) of the Act, or section 14A(6) or section 14A(7)(c) of the Act of 1994 (as amended by section 198 of the Act) [delete as appropriate] for an inquiry into act(s) and/or omission(s) of

[insert name of respondent legal practitioner]

(“the respondent legal practitioner ”) on the ground of alleged misconduct.

2. The Tribunal on the ............... day of ........................20.......... considered the following documentation

[specify the name of the deponent and the date of each affidavit sworn by or on behalf of, and with the authority of, the applicant and by the respondent legal practitioner which have been furnished to the Tribunal and, if applicable, the number of exhibits thereto and, if applicable, the items of correspondence or other documents which have been furnished to the Tribunal in relation to, or in response to, the application, respectively, by or on behalf of the applicant and by or on behalf of the respondent legal practitioner].

3. The alleged misconduct on the part of the respondent legal practitioner for inquiry by the Tribunal and the ground(s) of such alleged misconduct, specified in the form of application, were as follows

[set out the allegation(s) in full].

4. A division of the Tribunal comprising

[specify the names of the members of the division and who was chairman of the division]

held an inquiry pursuant to section 81 of the Act on the......... day of ................. 20........

[or, as the case may be

commencing on the..........day of ...............20.......and continuing on the following dates, concluding on the last said date, namely

[specify each continuing date of the inquiry].

5. The parties to the proceedings were

[the Complaints Committee/ the Law Society of Ireland [delete as appropriate] and the name of the respondent legal practitioner].

6. The appearances at the inquiry were as follows

[specify the name of the legal practitioner and, if applicable, the counsel, respectively, appearing for the applicant and for the respondent legal practitioner].

7. The respondent legal practitioner was admitted as a legal practitioner in the Term 19 /20......... and last practised as a legal practitioner at

[if a solicitor: insert respondent solicitor’s practice address as last appearing in the Register of Practising Solicitors, or if a barrister: insert the last address provided to the Authority for inclusion on the Roll of Practising Barristers ]; [if a solicitor, the last practising certificate held by the respondent solicitor being for the practice year ending 31 December 20........., or if a barrister, the barrister’s name was entered on the Roll of Practising Solicitors on [insert date] [and if applicable, the barrister’s name was removed on [insert date] from the Roll of Practising Barristers pursuant to section 135(1)(b) or (c) of the Act].

8. The oral evidence and the oral submissions received by the Tribunal at the inquiry are set out in the verbatim transcript of the inquiry accompanying this report, and the documentary evidence received and the name(s) of the witness(es) who gave oral evidence are set out in the Schedule to this report.

9.

[Where the Tribunal has found that there has been misconduct on the part of the respondent legal practitioner and determines that the issue of sanction should be dealt with by the High Court].

Pursuant to the holding of an inquiry under Part 6 of the Act, the Tribunal has found that there has been misconduct on the part of the respondent legal practitioner in respect of the allegation(s) set out in paragraph 3 (above), for the following reason(s)

[specify each allegation in respect of which the Tribunal has found misconduct and the reasons therefor]

AND

has determined that the issue of sanction should be dealt with pursuant to section 82(2) of the Act.

The Tribunal HEREBY MAKES A RECOMMENDATION to the High Court pursuant to section 82(2) of the Act that the Court make one or more than one of the orders specified in subsection 7 of section 85 of the Act, as follows

[specify the terms of the recommendation of the Tribunal that the Court make one or more of the orders pursuant to section 85(7)]

AND the reason(s) for the Tribunal’s opinion that it is appropriate to make such an order is/are as follows

[set out the reasons for the Tribunal’s opinion]]

AND

[if applicable]

the Tribunal notes the following finding(s) of misconduct on the part of the respondent legal practitioner previously made by it and not rescinded by the High Court, and

[if applicable]

the following order(s) made by the High Court under the Act and/or the Solicitors Acts, 1954 to 2015, namely

[specify details of any such previous finding(s) of misconduct on the part of the respondent legal practitioner made by the Tribunal and, if applicable, details of any previous order(s) made by the High Court under the Act or the Solicitors Acts 1954 to 2015 in respect of the respondent legal practitioner, and the relevant date(s) thereof].

SCHEDULE

of

the documentary evidence received at the inquiry

and the name(s) of the witness(es) who gave oral evidence at the inquiry

Details of documentary eviden

ce received

[specify each item of documentary evidence received at the inquiry]

Details of witn

esses who gave oral evidence

[specify the name of each witness who gave evidence at the inquiry]

SIGNED on behalf of the Tribunal this.day of............... 20......

by

[insert the name of the chairperson of the division of the Tribunal]

.......................................

[Signature of the chairperson of the division of the Tribunal]

[In the case of an application by the Complaints Committee of the Legal Services Regulation Authority in respect of a solicitor

To: The Registrar of Solicitors]

[In the case of an application by the Law Society in respect of a solicitor

To: The Legal Services Regulation Authority]

Signed for the LEGAL PRACTITIONERS DISCIPLINARY TRIBUNAL

4 July 2022

TOM COUGHLAN,

Chairperson of the Legal Practitioners Disciplinary Tribunal

9. The Tribunal may, of its own motion, and with prior notice to each party, or on the application of a party, adjourn an inquiry hearing from the date allocated for its commencement, or at any time during the course of the hearing.

Witness summons

10. (1) The Tribunal may, pursuant to section 80(2) of the Act, require the applicant and the respondent legal practitioner to submit in writing an outline of the evidence expected to be given by each of the witnesses whom they propose to have summoned to attend the inquiry hearing.

(2) Any party to an application may apply to the Tribunal Registrar by a request in the form of Form LPDT8 in the Schedule, for the issue of a summons to a witness, directing a named person to attend at the inquiry to give evidence on behalf of such party (hereinafter in this Regulation referred to as the “requesting party”). Other than in circumstances provided for in paragraph (3) of this Regulation, the Tribunal Registrar shall on receipt of such a request prepare the necessary summons, which shall then issue upon being dated and signed by a member of the Tribunal. The Tribunal Registrar shall then furnish the summons to the requesting party. Service of such a summons on the witness named therein shall be invalid if not made by or on behalf of the requesting party within 84 days from its date. A witness summons may be in the form of Form LPDT9 in the Schedule, requiring the attendance of the witness to give evidence, or in the form of Form LPDT10 in the Schedule, requiring the attendance of the witness to bring with him or her such documents or other evidence as may be required.

(3) Where the member of the Tribunal who is requested by the Tribunal Registrar to date and sign a summons pursuant to paragraph (1) of this Regulation has a concern, whether generally, or in light of any outline of evidence provided to the Tribunal by the parties under paragraph (1) of this Regulation, that the evidence expected to be given by any witness whom it is proposed to have summoned to attend the inquiry hearing may be irrelevant or might not add materially to that proposed to be given by other witnesses, and that accordingly the attendance of the witness at the inquiry may be likely to give rise to unnecessary delay or expense, the Tribunal member may, before proceeding further with the process of issuing the summons to the requesting party as provided for in paragraph (1) of this Regulation, cause the Tribunal Registrar to refer the request for the issue of such summons to the Tribunal, and the Tribunal, having considered whether or not it is of the opinion referred to in section 80(3) of the Act, may then, having regard to its opinion, either-

(

a

) without prejudice to the provisions of section 80(4) of the Act, direct the Tribunal Registrar to proceed as provided for in paragraph (a) of this Regulation to furnish such summons to the requesting party; or

(

b

) in addition to directing the Tribunal Registrar to proceed as provided for in paragraph (a) of this Regulation, further direct the Tribunal Registrar to inform the requesting party of the Tribunal’s having formed the opinion referred to in section 80(3) of the Act, and to bring to that person’s attention the provisions of section 80(4),

as appropriate.

(4) Before making an order under section 80(4) of the Act, the Tribunal shall notify in writing the applicant or the respondent legal practitioner, as the case may be, that it proposes to do so and shall consider any representations that may be made to it in writing by the person concerned within 14 days after the notification.

Discovery of documents

11. (1) The Tribunal may, on the application of a party to an application (hereinafter in this Regulation referred to as the “requesting party”) made on notice to the other party (hereinafter in this Regulation referred to as “the other party”), order that the other party do make discovery under oath or under affirmation of any documents which are or have been in his or her possession, or under his or her control, or within his or her procurement, which relate to any matter in question in the inquiry. Such an application may be made to a division of the Tribunal, and the requesting party shall do so grounded on an affidavit verifying –

(

a

) the fact that voluntary discovery has previously been requested in writing by the requesting party from the other party (a copy of such written request to be an exhibit to such affidavit);

(

b

) that such request for voluntary discovery had specified the precise categories of documents in respect of which discovery was being sought and the reasons why each category of documents was being required to be discovered;

(

c

) that such discovery of documents being sought was and is necessary for disposing fairly of the inquiry, or for saving costs; and

(

d

) (as the case may be) that such request for voluntary discovery had been refused or ignored by the other party, or that the terms of such voluntary discovery had not been agreed between the parties (including the extent to which there had been agreement and the extent to which there had not been agreement).

(2) Any party to an application to the Tribunal may, in due and sufficient time prior to the date of the inquiry hearing or any adjournment thereof in respect of that application, furnish notice in writing, in the form of Form LPDT11 in the Schedule, to the other party requesting the production for inspection of the originals of the documents specified in such notice as are in the possession or power of the other party and in respect of which either copies have been furnished by the other party to the Tribunal Registrar by way of affidavit or exhibits thereto or to which reference has been made in such affidavit or exhibits, and to permit photocopies of such specified documents to be taken by or on behalf of the requesting party. If the other party does not respond positively and fully to the notice of the requesting party, the other party shall not afterwards at the inquiry be at liberty to put any such specified documents in evidence on the other party’s behalf, unless the other party shall satisfy the Tribunal that such documents relate only to the other party’s own title or that the other party has other cause or excuse which the Tribunal deems sufficient for not complying with such notice. Where the Tribunal in such circumstances does permit any such specified documents to be put in evidence, the Tribunal may do so on such terms as to costs or otherwise as it thinks fit.

(3) The other party to whom a notice by the requesting party pursuant to paragraph (3) of this Regulation is furnished shall, within four days after the receipt of such notice, furnish to the requesting party, in the form of Form LPDT12 in the Schedule, a notice in response specifying a time and place within 10 days after such receipt when the originals of the documents in question (which, in the case of electronically-stored documents, may be printed copies thereof), or such of them as the other party does not object to producing, will be produced for inspection by the requesting party (or the requesting party’s solicitor) and to permit photocopies of such specified documents to be taken at the office of the other party (or of the other party’s solicitor) or, if different, at the usual place or places of custody of the documents in question; and (if applicable) stating which (if any) of the documents in question the other party objects to so producing and on what ground or grounds.

(4) Where the other party, to whom a notice by the requesting party is furnished pursuant to paragraph (3) of this Regulation, fails to furnish a notice in response, either within the time provided for in paragraph (4) of this Regulation or at all, that specifies a time and place when the originals of the documents in question will be provided by the other party for inspection and copying by the requesting party, or objects to give inspection of all or any of such documents, or offers a place for inspection other than at a place provided for in paragraph (4) of this Regulation, the Tribunal may, on the application of the requesting party, make an order for inspection and copying of such documents at such place and time and in such manner as it thinks fit. Such an application shall be grounded on an affidavit of the requesting party specifying the documents in question and deposing as to the basis on which the requesting party contends that he or she is entitled to inspect them (and, as the case may be, to have photocopies taken of them) and to his or her belief that they are in the possession or power of the other party.

(5) An order shall not be made by the Tribunal under this Regulation where the Tribunal is of opinion that such an order is not necessary either for disposing fairly of a matter in issue at the inquiry hearing in question or for saving costs.

Non-party discovery

12. (1) Any person not a party to an inquiry (hereinafter in this Regulation referred to as the “non-party”), who appears to the Tribunal to be likely to have, or to have had, in their possession, custody or power, documents which are relevant to an issue arising or likely to arise out of the inquiry, may upon the application of a party to the inquiry (hereinafter in this Regulation referred to as the “applying party”), on notice to the non-party and to the other party to the inquiry, and to the Tribunal Registrar, be directed by order of the Tribunal to make discovery of such documents or to permit inspection of such documents. Such an application to the Tribunal by the applying party shall be grounded on an affidavit (and any documents exhibited thereto) verifying the fact that voluntary discovery has previously been requested in writing by the applying party from the non-party (a copy of such written request to be an exhibit to such affidavit); and that such request for voluntary discovery had specified the precise categories of documents in respect of which discovery was being sought and the reasons why each category of documents was being required to be discovered; and had verified that such discovery of documents being sought was necessary for disposing fairly of the issues arising or likely to arise out of the inquiry; and deposing (as the case may be) that such request for voluntary discovery had been refused or ignored by the non-party or that the terms of such voluntary discovery had not been agreed between the applying party and the non-party (including the extent to which there had been agreement and the extent to which there had not been agreement).

(2) The provisions of paragraph (1) of this Regulation shall apply with any necessary modifications as if the said order of the Tribunal had been directed to a party, provided always that the applying party shall indemnify the non-party in respect of all costs thereby reasonably incurred by the non-party.

Notice to admit documents or facts

13. (1) Any party may, by notice in writing, in the form of Form LPDT13 in the Schedule or in the form of Form LPDT14 in the Schedule, as the case may be, at any time not later than seven days before the date fixed for an inquiry hearing (or any adjournment thereof), request the other party to admit a specified document or documents (Form LPDT13) or a specified purported fact or facts as a fact or facts without formal proof of same (Form LPDT14), saving all just exceptions as to the admissibility of such document or documents or fact or facts as evidence at the inquiry hearing; and, if the other party wishes to challenge such specified document or documents or such specified purported fact or facts, the other party shall, within not more than six days after the furnishing to the other party of such notice, give notice of non-admission to the requesting party, in the form of Form LPDT15 in the Schedule or in the form of Form LPDT16 in the Schedule, as the case may be, that he or she does not admit the same or any one or more of them and that he or she requires proof of same (or any one or more of same) at the inquiry hearing (or any adjournment thereof).

(2) The notice of the requesting party to the other party to admit a specified document or documents, as provided for in paragraph (1) of this Regulation, shall include the statement that the other party is being requested to admit the specified document or documents for the purposes of the inquiry only, and may include all or any of the following further statements

(

a

) that the requesting party proposes to rely, as part of his or her case, on the specified document;

(

b

) that the other party may inspect the specified document or documents at a location (specified in the notice) reasonably convenient to the other party within the seven-day period referred to in paragraph (1) of this Regulation;

(

c

) that the other party is being requested to admit that the specified document or documents, if an original document or original documents, was or were, respectively, written, signed and executed as it or they purport to have been;

(

d

) that the other party is being requested to admit that the specified document or documents, if a copy or copies of the original(s), is or are a true copy of the original(s);

(

e

) that the other party is being requested to admit that the specified document or documents, insofar as it is or they are stated to have been served, sent or delivered, was or were so served, sent or delivered.

(3) The notice of the requesting party to admit a specified purported fact or facts as a fact or facts, as provided for in paragraph (1) of this Regulation, shall include the statement that the other party is being requested to admit the specified purported fact or facts as a fact or facts for the purposes of the inquiry only, and may also include the statement that the requesting party proposes to rely, as part of the requesting party’s case, on the specified purported fact or facts as a fact or facts.

(4) If the other party does not give notice of non-admission to the requesting party within the time provided for in paragraph (1) of this Regulation, the other party shall be deemed to have admitted the document or documents or fact or facts unless the Tribunal shall otherwise order.

Procedure at Inquiry hearing

14. (1) An inquiry hearing in relation to a particular application shall proceed as informally as is consistent with the principles of fair procedures, avoid undue expense being incurred by any party, and, unless otherwise directed by the Tribunal, proceed having regard

(

a

) first, to the content of the forms of notice furnished, respectively, to the respondent legal practitioner (Form LPDT4) and to the applicant (Form LPDT5) pursuant to Regulation 9, and to the complaints the subject of the inquiry hearing;

(

b

) secondly, to the content of the form of application and the affidavit or affidavits (and any documents exhibited thereto) furnished by or on behalf of the applicant and (if any) by or on behalf of the respondent legal practitioner pursuant to Regulations 5 to 8 (inclusive), or any of them;

(

c

) thirdly, to such oral evidence and documentary evidence as may be tendered by or on behalf of the applicant and/or the respondent legal practitioner as being relevant to the complaints the subject of the inquiry hearing and legally admissible;

(

d

) fourthly, to such submissions relating to the foregoing as may be made by or on behalf of the applicant, any original complainant to the Complaints Committee or the Society (as the case may be), the respondent legal practitioner, and such other persons as might apply to the Tribunal to be permitted, or as might be invited by it, to make submissions.

(2) An inquiry shall be conducted by way of oral hearing, and, subject to paragraph (3), shall be heard in public.

(3) Where the Tribunal is satisfied that it is necessary to do so in the interests of justice, it may direct that the hearing of the inquiry or any part thereof be held otherwise than in public.

(4) Where the applicant and the respondent legal practitioner so consent, the Tribunal may consider and determine an application to it on the basis of affidavits and supporting documentation and records.

(5) Subject to these Regulations, the evidence of witnesses at any inquiry hearing before the Tribunal shall be given on oath or on affirmation, and witnesses shall be sworn, or their affirmation shall be taken, by the Tribunal Registrar, or by the chairperson or by another member of the division of the Tribunal conducting the inquiry hearing.

(6) In an inquiry hearing before the Tribunal, any judgment or conviction by any court, or any findings as to fact by any court, judge or jury, or any process, summons, affidavit or other document on the file of any court forming the basis of a judgment in any civil proceedings against the applicant concerned or against the respondent solicitor concerned may, if the Tribunal thinks fit and considers relevant, be received as evidence of matters stated therein or appearing therefrom.

(7) Where evidence is furnished to the Tribunal by means of an affidavit, and an inquiry hearing is to be held to which such evidence is, or purports to be, relevant in the interest of the party who furnished it, the other party may by notice, in the form of Form LPDT17 in the Schedule, to the deponent and (if different) the furnishing party, indicate his or her intention to cross-examine the deponent in respect of the contents of that affidavit, provided that the issuing of such a notice shall be without prejudice to the right of the Tribunal to rule on the admissibility or relevance of all or any part of the contents of that affidavit and to restrict or limit such cross-examination accordingly.

(8) Without prejudice to paragraph (1) of this Regulation, the reference in paragraph (1) to “an inquiry hearing in relation to a particular application” shall include, as may be applicable, an inquiry hearing in relation to two or more separate applications in respect of the same respondent legal practitioner which the Tribunal has directed be heard together.

On completion of inquiry hearing

15. On the completion of an inquiry hearing, the Tribunal shall, as soon as practicable –

(1) consider each complaint of alleged misconduct made against the respondent legal practitioner;

(2) make a determination, applying the criminal standard of proof, as to whether or not, on the basis of the evidence properly before it, each act or omission the subject of the complaint or complaints to which the inquiry relates constitutes misconduct, and, in that event, make a determination as to whether the issue of sanction should be dealt with by the Tribunal pursuant to section 82(1), or by the High Court pursuant to section 82(2) of the Act, and such determinations shall

(

a

) be in writing;

(

b

) specify the reasons for the determinations concerned;

(

c

) specify the sanction (if any) to be imposed pursuant to section 82(1), or recommended under section 82(2), as the case may be; and

(

d

) be notified to the respondent legal practitioner and the applicant, in the form of Form LPDT18 in the Schedule, as soon as is practicable, and in any event, not later than 28 days after the making thereof;

(3) where the Tribunal makes a determination that there has been misconduct on the part of the respondent legal practitioner, and determines that the issue of sanction should be dealt with pursuant to section 82(1) of the Act, the Tribunal may, by order pursuant to section 82(1), in the form of Form LPDT19 in the Schedule, impose on the respondent legal practitioner one or more of the sanctions set out in paragraphs (a) to (m) of section 82(1) as specified in section 82(1), provided that

(

a

) where the Tribunal makes an order imposing one or more of the sanctions specified in paragraphs (g), (i), (j) or (l) of section 82(1), the aggregate amount of the sums to be paid by the respondent legal practitioner under the order concerned shall not exceed €15,000; and

(

b

) in making an order referred to in paragraph (3)(a), the Tribunal shall have regard to the means of the respondent legal practitioner concerned;

(4) where the Tribunal makes an order pursuant to section 82(1), in the form of Form LPDT6, the Tribunal Registrar shall furnish to the respondent legal practitioner and to the applicant a certified copy of such order as soon as is practicable, and in any event, not later than 28 days after the making thereof;

(5) where the Tribunal makes a determination that there has been misconduct by the respondent legal practitioner, and further determines that the issue of sanction should be dealt with pursuant to section 82(2) of the Act, it shall, in a report to the High Court in the form of Form LPDT20 in the Schedule, make a recommendation to that Court that the Court make one or more of the orders specified in section 85(7), and, further, set out in that report

(

a

) the nature of the application;

(

b

) the evidence laid before the Tribunal, appending transcripts thereof;

(

c

) The finding made by the Tribunal on each complaint of alleged misconduct and the reasons therefor;

(

d

) the Tribunal’s recommendation, and the reasons therefor, as to the order or orders it recommends the Court make; and

(

e

) any other matters in relation to the application, or the applicant, or the respondent legal practitioner, which the Tribunal may think fit to report;

(6) where the Tribunal makes a determination pursuant to section 82(2) and a report to the High Court under paragraph (5), in the form of Form LPDT20, the report shall be signed and dated on behalf of the Tribunal by the chairperson of the division of the Tribunal that conducted the inquiry hearing, and shall be furnished by the Tribunal Registrar as soon as is practicable, and in any event, not later than 28 days after the signing and dating thereof, to the High Court (by addressing and sending it to the President of the High Court at the Four Courts, Inns Quay, Dublin 7), and to the applicant and the respondent legal practitioner;

(7) furnish any determination made by the Tribunal under sections 81 and 82 to the Registrar of Solicitors in the case of an order relating to a practising solicitor, or to the Honorable Society of King’s Inns in the case of an order relating to a practising barrister.

Where application to Tribunal may be postponed or withdrawn

16. Where an application is made to the Tribunal, the Tribunal may, at any stage of the processing of the application in accordance with these Regulations and before the completion of any inquiry hearing by the Tribunal, postpone the taking of any steps or further steps in the matter for a specified period and, if the Tribunal does so, then, if, before the expiration of that period, the applicant applies to the Tribunal and requests leave to withdraw the application, the Tribunal may, if the Tribunal thinks fit (and whether or not in its discretion the Tribunal seeks the views of the respondent legal practitioner concerned on such request by the applicant before making a decision in relation to it), allow the application to be withdrawn; and, if the Tribunal does so, no further action shall be taken by the Tribunal in relation to the application.

PART 3 - GENERAL

Power of Tribunal to regulate procedures

17. (1) Subject to any express provision in the Act or these Regulations, the Tribunal may regulate its own procedures, and shall endeavour to ensure that its procedures are as informal as is consistent with the principles of fair procedures and that undue expense is not likely to be incurred by any party that has an interest in any application.

(2) The Tribunal may, in particular, regulate the procedure at any hearing or inquiry hearing.

(3) The Tribunal shall ensure that the processing, hearing and determination of applications under Part 6 of the Act is carried out as efficiently and expeditiously as may be consistent with the principles of fairness and natural justice.

Remote Hearing

18. (1) The Tribunal may, of its own motion or on the application of any of the parties, direct that the hearing of an inquiry, or a case-management hearing or application hearing proceed, wholly or partially, by way of remote hearing, with one or more participants, including the Tribunal members themselves, not being physically present.

(2) The Tribunal may make such arrangements, and adopt such practices and procedures, as are necessary to enable the conduct of any hearing wholly or partially by way of remote hearing.

(3) Paragraph (1) shall not apply in respect of a particular hearing where the Tribunal, of its own motion, or following the making of representations by any of the parties, is of the opinion that the application of that paragraph to the hearing concerned would be unfair, impracticable or prejudicial to the person, or would otherwise be contrary to the interests of justice.

(4) Where any hearing is conducted by way of remote hearing, the provisions of these Regulations relating to any hearing shall apply, with any necessary modifications, to such remote hearing, and such hearing shall be considered in all respects to be the same as any hearing with all persons physically present.

Time

19. (1) A time-period provided for in these Regulations may be extended by the Tribunal on the application of a party, where good and sufficient reason is given by the party to support the application, and where the Tribunal is satisfied that the extension is appropriate and would not cause an injustice to any other party to the application.

(2) Subject to paragraph (3), where a party consents in writing to such application by another party being granted, the Tribunal Registrar may put that application before the Tribunal without the necessity of either party attending or being represented before the Tribunal. On such application being so put, and being granted by the Tribunal, the Tribunal Registrar shall, as soon as is practicable, confirm this in writing to the parties.

(3) If the Tribunal indicates to the Tribunal Registrar on the putting before it by the Tribunal Registrar of an application under paragraph (2) that it requires the application to be moved by or on behalf of the party seeking the extension of time, whether on notice to the other party, or otherwise, the Tribunal Registrar shall as soon as is practicable, notify this to the parties concerned. The Tribunal may then hear submissions on such application and determine whether to grant the application, and, if granted, any terms on which the extension of time concerned is granted. The Tribunal Registrar shall, as soon as is practicable, confirm in writing the outcome of such application to the parties.

Tribunal Registrar to furnish documents to interested parties

20. In the case of any application to the Tribunal made under these Regulations, the Tribunal Registrar shall furnish to the applicant and the respondent legal practitioner copies of all documents furnished to the Tribunal in respect of the application concerned; and any such applicant and any such respondent legal practitioner may at any time before the functions of the Tribunal under these Regulations have concluded (by prior arrangement with the Tribunal Registrar) inspect all the documents in the possession of the Tribunal Registrar that have been furnished to the Tribunal in respect of the application concerned.

Service of documents

21. (1) Where any document is required or authorised by or under these Regulations to be furnished to any person, such document may, unless otherwise expressly provided under any particular Regulations, be furnished-

(

a

) by delivering it to that person personally;

(

b

) by leaving it in an envelope addressed to that person at his or her last known place of business or residence in the State, or in a case in which an address for service has been furnished to the Tribunal, to that address, or if the person is

(i) the applicant, at the address for the time being of the office, or as the case may be, head office, of the applicant;

(ii) a respondent legal practitioner, at the last address held for him or her by any relevant professional body, or in a case in which the address for service has been furnished to the Tribunal, to that address;

(

c

) by sending it by registered post in an envelope addressed to that person at his or her last known place of business or residence in the State, or, in a case in which an address for service has been furnished to the Tribunal, to that address, or if the person is

(i) the applicant, at the address for the time being of the office, or as the case may be, head office, of the applicant;

(ii) a respondent legal practitioner, at the last address held for him or her by any relevant professional body, or in a case in which the address for service has been furnished to the Tribunal, to that address; or

(

d

) electronically (by electronic mail) to an email address furnished by the person to, or otherwise known to, the Tribunal or if he or she is a respondent legal practitioner, to the last email address held for him or her by any relevant professional body, or in a case in which the email address for service has been furnished to the Tribunal, to that address.

Advice or assistance of an expert

22. (1) Where, pursuant to section 81(7) of the Act, the Tribunal considers that, for the purposes of an inquiry, it requires the advice or assistance of an expert in respect of any matter, it may, subject to such terms and conditions as it may determine, appoint such number of persons having expertise in relation to the matter concerned as it considers necessary to provide it with such advice or assistance.

(2) Without prejudice to the generality of paragraph (1), the Tribunal may seek

(

a

) legal opinions in relation to any matter arising in the course of an inquiry;

(

b

) independent expert reports,

and where it obtains any advice or assistance as referred to in paragraph (1) or in this paragraph, it shall disclose such advice or assistance, as the case may be, to the respondent legal practitioner and to the applicant, and afford the parties an opportunity to make such submissions in response to such opinion or report (including the opportunity to submit opinions or reports in response), or, where appropriate an opportunity to cross-examine a relevant witness, as it may on application by any party concerned permit, before making a decision on any matter in respect of which the opinion or report, or both, has or have been obtained.

Regard to be had by Tribunal to Rules of the Superior Courts

23. Insofar as these Regulations do not provide for the procedures to be followed in the exercise of any powers and functions vested in the Tribunal pursuant to section 80 of the Act, or in relation to the making of applications to, or the proceedings of the Tribunal under the Act, the Tribunal shall, in relation to those matters, have regard, as appropriate and reasonable, to the Rules of the Superior Courts for the time being in force.

Permitting by Tribunal of Amendment of defective or insufficient document

24. Where it appears to the Tribunal that any notice, affidavit or other document furnished under these Regulations is defective or insufficient, the Tribunal may permit such notice, affidavit or other document to be amended or supplemented on such terms, if any, as to the adjournment of an inquiry hearing or application, or otherwise, as the Tribunal thinks fit, or require the filing by a party of a further affidavit, or the service of a further document, provided that if any such amendment or addition shall be such as to take either party by surprise, or prejudice them in the conduct of their case, the Tribunal shall grant an adjournment of the inquiry hearing or application on such terms as the Tribunal thinks fit so as to seek to obviate the difficulty arising.

Deviation from forms

25. The forms in the Schedule to these Regulations shall be used as far as practicable, where appropriate and reasonable, but a deviation from such forms shall not, by reason only of such deviation, make invalid any application to the Tribunal, or any notice, affidavit or other document in connection therewith.

Mistakes or errors in determinations, orders or reports

26. Clerical mistakes in determinations of the Tribunal or reports of the Tribunal to the High Court or in orders of the Tribunal, or errors arising therein from any accidental slip or omission, may at any time be corrected

(1) where the parties consent, and with the approval of any division of the Tribunal (and not merely the division that made the original determination, report or order), by the Tribunal Registrar,

(

a

) on the application to the Tribunal Registrar in writing of any party, to which a letter of consent to the correction from the other party shall be attached; or

(

b

) on receipt by the Tribunal Registrar of letters of consent from each party; or

(2) where the parties do not consent, by any division of the Tribunal (and not merely the division that made the original determination, report or order),

(

a

) on application made by a party to the Tribunal on notice to the other party; or

(

b

) on the listing of the proceeding before the Tribunal by the Tribunal Registrar on notice to each party,

and in either case, the correction may be one that the Tribunal wishes of its own motion to make.

Legal representation

27. At any hearing before the Tribunal, the applicant and the respondent legal practitioner may be represented by a legal practitioner.

Absence of party

28. (1) If a respondent legal practitioner does not appear at an inquiry hearing, a case-management hearing or an application hearing, the Tribunal may, upon proof of service on the respondent legal practitioner of notice of any such hearing (or of any adjournment of such hearing), proceed with the hearing concerned in the respondent legal practitioner’s absence, or adjourn the hearing concerned on such terms as the Tribunal thinks fit.

(2) If an applicant does not appear at an inquiry hearing, a case-management hearing or an application hearing, the Tribunal may upon proof of notification to the applicant of the date of the hearing concerned, proceed with the hearing concerned in the applicant’s absence, or adjourn the hearing concerned on such terms as the Tribunal thinks fit.

Transcript of evidence and submissions

29. A verbatim note of the evidence given and submissions made at an inquiry hearing or application before the Tribunal may be taken by a person appointed by the Tribunal, either by means of a stenographic note or by means of a mechanical sound recording or by a mechanical sound and vision recording, and any party to the inquiry hearing or application shall be entitled to a copy of any such note or recording on payment of the reasonable charges therefor.

No withdrawal except by leave of Tribunal

30. An application to the Tribunal shall not be withdrawn except by leave of the Tribunal and on such terms, if any, as the Tribunal thinks fit.

Custody of documents

31. Notices, affidavits and other documents relating to an application to the Tribunal shall be furnished to and kept by the Tribunal Registrar. The Tribunal may direct that any documents produced or used at an inquiry hearing shall be retained by the Tribunal Registrar until the termination of the inquiry hearing and, as the case may be, pending the final determination of any subsequent court proceedings in relation thereto.

Date, venue and time for an inquiry or any adjournment thereof

32. The Tribunal shall hold an inquiry hearing at such date, time and place as the Tribunal Registrar shall designate, and the Tribunal may adjourn the consideration of any matter at an inquiry hearing from date to date and from time to time and from place to place, as the Tribunal thinks fit.

Persons appointed to make application to Tribunal on behalf of the Complaints Committee and the Society

33. (1) The Complaints Committee and the Society may make an application to the Tribunal in accordance with these Regulations. Where an application is made by the Complaints Committee or by the Society, the Complaints Committee or Society, as the case may be, may appoint one or more persons, who may sign any document, make any affidavit, and do on behalf of the applicant all acts and things which may be necessary for the purpose of such application. The Authority or Society may be represented at an inquiry hearing by a solicitor or by a solicitor and counsel.

(2) It shall be presumed, unless the contrary is shown, that any person purporting to act for an applicant in relation to an application to the Tribunal, whether in signing a document or making an affidavit or otherwise in pursuance of such application, is duly authorised by the applicant to so act.

Where High Court remits matter back to Tribunal to take further evidence

34. (1) Where the Tribunal, after holding an inquiry into the conduct of a legal practitioner, makes a recommendation set out in a report on the matter to the High Court and the High Court then remits the matter to the Tribunal to take further evidence for submission to it and to make a supplementary report, the Tribunal shall proceed as follows

(

a

) the Tribunal Registrar shall, as soon as practicable, notify each of the members of the Tribunal who constituted the division of the Tribunal which conducted the original inquiry hearing the subject of the report to the High Court of that remittal, and, in consultation with them, designate a date, place and time for the holding of a further inquiry hearing for the purpose of taking further evidence pursuant to the remittal of the High Court;

(

b

) where, for good and sufficient reason, it is not possible for the same members of the Tribunal to be available to constitute the division of the Tribunal for the purpose of taking such further evidence, the Tribunal Registrar shall (whether or not following consultation with the President of the High Court) constitute another division of the Tribunal for that purpose comprising in part, insofar as is possible, such of the members of the Tribunal who constituted the division for the original inquiry as are available; and

(

c

) the Tribunal Registrar shall furnish to the applicant and the respondent legal practitioner a copy of the order or other written notification issued by the High Court to the Tribunal in that regard, and shall notify them of the date, place and time for the further inquiry hearing and the names of the three members of the Tribunal who will constitute the Tribunal for that purpose.

(2) The same procedure, as far as is appropriate and reasonable, under these Regulations shall be followed as if such a further inquiry hearing was a fresh inquiry hearing.

Order of Tribunal

35. An order of the Tribunal under these Regulations shall be in form of Form LPDT19 in the Schedule, and shall be signed by the chairperson of the division of the Tribunal concerned which made the order.

Publication of Tribunal determinations

36. Where a matter is determined by the Tribunal in accordance with section 82(1) and the time for lodging an appeal has expired, the Authority shall arrange for publication of the information and particulars listed in section 88(3) of the Act.

Where report to be made by Society to the Director of Corporate Enforcement

37. Where the Tribunal makes a finding against a respondent legal practitioner which in substance is a finding that the respondent legal practitioner conducting a liquidation or receivership has not maintained appropriate records or that the Tribunal has reasonable grounds for believing that the respondent legal practitioner has committed an indictable offence under the

Companies Act 2014

during the course of a liquidation or receivership, the Tribunal shall so notify the Society, where the respondent legal practitioner is a practising solicitor, and shall give to the Society such details of such finding or of the alleged offence, as the case may be, as shall enable the Society to comply with the Society’s obligations under

section 448

of the

Companies Act 2014

to report such matter or such alleged offence to the Director of Corporate Enforcement.

SCHEDULE

within referred to

FORM LPDT1

FORM OF APPLICATION TO THE DISCIPLINARY TRIBUNAL FOR AN INQUIRY INTO THE ACT(S) OR OMISSION(S) OF A LEGAL PRACTITIONER ON THE GROUND OF ALLEGED MISCONDUCT

[Regulation 5(1)]

LEGAL PRACTITIONERS DISCIPLINARY TRIBUNAL

In the matter of [insert name of respondent legal practitioner], a legal practitioner.

And in the matter of an application by the Complaints Committee of the Legal Services Regulatory Authority/the Law Society of Ireland

[delete as appropriate]

to the Legal Practitioners Disciplinary Tribunal

And in the matter of the

Legal Services Regulation Act 2015

(the “Act”)

The Complaints Committee of the Legal Services Regulatory Authority (“the Complaints Committee”) / The Law Society of Ireland (“the Society”)

[delete as appropriate]

HEREBY APPLIES to the Legal Practitioners Disciplinary Tribunal for AN INQUIRY under

section 81

of the

Legal Services Regulation Act 2015

, into the act(s) or omission(s) of

[insert name of respondent legal practitioner],

a legal practitioner, of

[insert respondent legal practitioner’s address as appearing in the Register of Practising Solicitors in the case of a practising solicitor, or at the last address provided to the Authority for inclusion on the Roll of Practising Barristers in the case of a practising barrister, or if none, his or her last known place of business or residence in the State]

(“the respondent legal practitioner”).

This application, made pursuant to section 71(7) or section 71(8)(c) of the Act, or section 14A(6) or section 14A(7)(c) of the

Solicitors (Amendment) Act 1994

(as substituted by section 198 of the Act)

[delete as appropriate]

, is for an inquiry into the act(s) or omission(s) of the respondent legal practitioner, on the ground of alleged misconduct, in respect of the matters disclosed in the accompanying grounding affidavit sworn by

[insert name]

for and on behalf of, and with the authority of, the applicant (and the documents exhibited thereto).

Dated this ......... day of ................................ 20....

Signed for and on behalf of, and with the authority of, the Society/the Complaints Committee of the Authority

[delete as appropriate]

Name of signatory

Address

Status of signatory

To: The Tribunal Registrar

Legal Practitioners Disciplinary Tribunal

The Friary

Bow Street

Dublin 7

And

To

[respondent legal practitioner’s name and address]

[and in the case of an application by the Complaints Committee of the Legal Services Regulation Authority in respect of a solicitor

To: The Registrar of Solicitors]

FORM LPDT2

FORM OF AFFIDAVIT BY OR ON BEHALF OF AN APPLICANT GROUNDING AN APPLICATION TO THE DISCIPLINARY TRIBUNAL FOR AN INQUIRY INTO THE ACT(S) OR OMISSION(S) OF A LEGAL PRACTITIONER ON THE GROUND OF ALLEGED MISCONDUCT

[Regulation 5(1)]

LEGAL PRACTITIONERS DISCIPLINARY TRIBUNAL

In the matter of

[insert name of respondent legal practitioner],

a legal practitioner

And in the matter of an application by the Complaints Committee of the Legal Services Regulatory Authority/the Law Society of Ireland

[delete as appropriate]

to the Legal Practitioners Disciplinary Tribunal

And in the matter of the

Legal Services Regulation Act 2015

I

[insert name of deponent]

of

[insert address and occupation of deponent],

aged 18 years and upwards, MAKE OATH and say as follows

Notice of the making of this Statutory Instrument was published in

“Iris Oifigiúil” of

12

th July,

2022.

The Legal Practitioners Disciplinary Tribunal, in exercise of the powers conferred on it by

section 79

of the

Legal Services Regulation Act 2015

(No. 65 of 2015), hereby makes the following regulations

PART 1

Citation and Commencement