This Glossary includes all the defined terms contained in Schedule 1 to the Law Society of Scotland Practice Rules 2011, as referred to in Rule A2: Definitions and Interpretation.

The definitions shown here apply throughout the rules, except where a particular rule uses an alternative definition. Where that applies the first numbered part of the relevant rule will contain the alternative definition. For example, the additional or alternative definitions which apply to the whole of Rule C3: Civil Legal Aid can be found in Rule C3.1.

licensed body as defined in the Legal Services Act 2007

The 2007 Act mainly applies in England and Wales only – it authorises the licensing of alternative business structures by approved regulators (as defined in that Act) in terms of that Act. An ABS will not be a licensed provider in terms of the 2010 Act unless it is licensed as such by an approved regulator in terms of the 2010 Act.

the Solicitors (Scotland) Act 1980

the Legal Aid (Scotland) Act 1986

the Legal Profession and Legal Aid (Scotland) Act 2007

the Legal Services (Scotland) Act 2010

The Services of Lawyers and Lawyer’s Practice (EU Exit) (Scotland) (Amendment etc.) Regulations 2019

Admission as Solicitor (Scotland) Regulations 2011 as the same may be varied, supplemented, amended, consolidated or replaced from time to time

These Regulations were made under the 1980 Act and cover admission as a solicitor

a member of the Faculty of Advocates

a report submitted in accordance with *3E5.1

*3E5 in the RS requires each LP to review and report on its performance annually – the review to be conducted (and report submitted) by its Head of Practice (or Practice Committee, as appropriate). This provision implements the requirements of sections 20(1) and 21 of the 2010 Act.

the person named as the applicant in the relevant application

a non-lawyer manager who holds a current Pass Certificate

See definitions of manager; non-lawyer manager; Pass Certificate, Pass Certificate (Basic); Pass Certificate (Standard) and 2A1.6 and 2B5 in RS and related Guidance

a non-solicitor investor who holds a current Pass Certificate (Standard)

See definitions of investor; non-solicitor investor; Pass Certificate (Standard) and 2A1.5 and 2B5 in RS and related Guidance

construed in accordance with section 6 of the 2010 Act

In terms of section 6 of the 2010 Act an approved regulator is a professional or other body which is approved as such by Scottish Ministers under section 7 of the 2010 Act. The approved regulator of any licensed provider is the granter of that licensed provider’s current licence.

any person appointed by the Council to conduct any assessment in terms of *3E6.2

See 3E6 in the RS and section 31 of the 2010 Act. 3E6 contains provisions in respect of the assessment of the LP which s31 of the 2010 Act requires the Council, as an approved regulator, to carry out in respect of each of its LPs at least once in every three years from the issue of each LP’s licence.

a notice intimating that the Council has disqualified a person specified in the notice (being a non-solicitor investor) from having an interest in any licensed provider, issued in terms of section 65(1) of the 2010 Act

See 3H3 of the RS and sections 65 and 66 of the 2010 Act. Section 66 of the 2010 Act provides that a non-solicitor investor in an LP must not (in that capacity):

(1) act in a way that is incompatible with-

(a) the regulatory objectives or professional principles;

(b) the LP’s duties under s50(1) of the 2010 Act;

(c) the LP’s other duties under Part 2 of the 2010 Act or under any other enactment; or

(2) interfere improperly in the provision of legal or other professional services by the LP;

(3) in relation to any designated or other person within the LP-

(i) exert undue influence;

(ii) solicit unlawful or unethical conduct, or

(iii) otherwise behave improperly.

Section 65 of the 2010 Act provides that, where an approved regulator determines that a non-solicitor investor in an LP has contravened s66, the approved regulator must disqualify the non-solicitor investor from having an interest in the LP (which disqualification will extend to every LP, including those licensed by another approved regulator - see s65(2)(b)) and may be for a fixed or unlimited period of time (see s65(2)(a)). Before disqualifying a non-solicitor investor the approved regulator must give the investor a minimum of 28 days to make representations to the approved regulator or take such other steps as the investor may consider expedient. 3H3 sets out some further requirements of the procedure which must be followed in relation to any such disqualification and 3H4 contains provisions in relation to the review of disqualification decisions.

Section 65(5) of the 2010 Act also allows a person who has been disqualified in terms of s65(1) to appeal against the disqualification to the sheriff within 3 months of the date on which the disqualification was imposed.

a notice issued in terms of *3H3.2

This is a notice advising that the Council is considering disqualifying a non-solicitor investor in terms of s65 of the 2010 Act. See 3H3 of the RS and sections 65 and 66 of the 2010 Act and the definition of ban notice

construed in accordance with section 77(3) of the 2010 Act

a practice under which (in particular) regulatory activities should be

(a) carried out effectively (but without giving rise to unnecessary burdens) in a way that is transparent, accountable, proportionate and consistent;

(b) targeted only at such cases as require action

as defined in *3B7.12.1

The Cashroom Manager is appointed by the LP and will be its Head of Legal Services, Head of Practice or a member of its Practice Committee. Cashroom Managers have specific responsibilities in terms of 3B7 in the RS (Accounts Rules)

the Code of Conduct for European Lawyers adopted by the Council of the Bars and Law Societies of the European Union on 28 October 1988 as amended on 28 November 1998, 6 December 2002 and 19 May 2006, and as the same may be varied, supplemented, amended, consolidated or replaced from time to time

See 3C1 in the RS – LPs must comply with the Code when conducting cross-border practice

where the context relates to a European lawyer, a certificate of registration issued in accordance with the 1980 Act and rule 6 in Section D of the Principal Practice Rules; or, where the context relates to a foreign lawyer, a certificate of registration issued in accordance with the 1980 Act and rule 7 in Section D of the Principal Practice Rules

A certificate of registration records the status of a registered European lawyer or registered foreign lawyer

the meaning given to it in Part III of the 1986 Act

a person within a licensed provider so designated by that licensed provider in terms of *3B6.1

This role must be filled by one of the Head of Legal Services, Head of Practice or member of the LP’s Practice Committee. Client Relations Managers have specific responsibilities in terms of 3B6 in the RS (Client Relations)

an audited set of financial statements, or where no audited set of same is available, an unaudited set of financial statements signed by an accountant, or where no such financial statements are available, a submitted tax return for the most recent fiscal year

as defined in section 149 of the 2010 Act

the same meaning as in section 25 of the Family Law (Scotland) Act 2006

Scottish Legal Complaints Commission

the meaning given in section 1 of the Companies Act 2006

a person within a licensed provider so designated by that licensed provider in terms of *3C3.3.2

This role must be filled by the Head of Legal Services. Compliance Managers have specific responsibilities in terms of 3C3 in the RS (Civil Legal Aid)

the Council of the Society

All of the business of the Society is conducted by the Council (see section 3 of the 1980 Act). Sections 3A to 3F of the 1980 Act contain provisions in relation to the discharge of the functions of the Council. In particular, section 3B of the 1980 Act provides that Council must arrange for their regulatory functions to be exercised on their behalf by a regulatory committee. Sections 3C to 3E contain further provisions in relation to the constitution and operation of the regulatory committee and the resolution of regulatory disputes and Sections 3F and 3G define “regulatory functions”.

Where the Society acts as an approved regulator in terms of the 2010 Act its regulatory functions include such regulatory functions as

(a) fall within the meaning of “regulatory functions” as given for the purposes of Part 2 of the 2010 Act (see section 30(1) of the 2010 Act) and

(b) are exercisable under Part 2 of the 2010 Act by the Society in its capacity as an approved regulator.

Regulatory functions exercised by the Council, in its capacity as an approved regulator, under the 2010 Act or the RS, will therefore be exercised by the regulatory committee acting on behalf of the Council. The regulatory committee may arrange for the discharge of some or all of such functions on its behalf by a sub-committee of the regulatory committee (or by an individual, whether or not a member of the Society’s staff) in accordance with sections 3A to 3G of the 1980 Act. Further information can be found in the [Scheme of Delegation by the Regulatory Committee and related Guidance] [insert link]

(a) all professional contacts with European lawyers of Member States (which expression shall, for the purposes of this definition of ‘cross-border practice’, include member states of the European Economic Area) other than the United Kingdom; and

(b) the professional activities of a regulated person in a Member State other than the United Kingdom whether or not the regulated person is physically present in that Member State

the period permitted for the making of the relevant decision or determination by the Council in terms of the regulatory scheme which shall, in respect of each decision or determination detailed in the first column of the table below, be the period ascribed to it in the second column of the said table, but that subject to any provisions whereby such period may be extended which are contained in the regulatory scheme in respect of that decision or determination (which are referred to in the third column of the said table)

 

Decision/Determination Period Provisions for extension of period in regulatory scheme
To grant or refuse an application for a Pass Certificate (or for the renewal of a Pass Certificate) in terms of *2B2   90 days See *2B2.5
To grant or refuse an application for an Exemption Certificate in terms of *2B2   30 days See *2B2.5
To grant or refuse an application for a licence  in terms of *2B2   [6] months See *2B2.3
To grant or refuse an application for the modification of a licence in terms of *2B8.1(a)   90 days None
To determine an application or proposal in terms of *2E1.10 28 days See *2E1.17 and *2E1.18

 

 See Guidance related to the specific applications

 

as defined in section 59 of the 2010 Act

A designated person is a person designated by an LP to carry out legal work in connection with the LP’s provision of legal services. Designation must be in writing by the Head of Legal Services or Head of Practice (or Practice Committee) of the LP. Only persons who are employees of the LP (or otherwise work within it under any arrangement) are eligible for designation. Designated persons may include solicitors and other lawyers but qualification as such is not necessary for designation. In terms of section 60 of the 2010 Act only a designated person within an LP may carry out legal work in connection with its provision of legal services and the Head of Legal Services in the LP is responsible for ensuring that there is adequate supervision of the legal work carried out by the LP’s designated persons. The Head of Practice (or the Practice Committee) of the LP must keep a list of designated persons within the LP and provide a copy of that list to the LP’s approved regulator on request. The Head of Practice (or Practice Committee) must provide such information about the designated persons within the LP as its approved regulator may reasonably request (see s61 of the 2010 Act).

a condition set out in section 58 of the 2010 Act

a notice intimating that the Council has disqualified a person from holding a specified position or positions in any licensed provider in terms of section 56 of the 2010 Act

See sections 56 to 58 and 3H2 in the RS and the definition of disqualified

a notice served in terms of rule *3H2.8

This is a notice advising that the Council is considering disqualifying a person from holding a specified position or positions in any licensed provider in terms of section 56 of the 2010 Act. See 3H2 of the RS and sections 56 to 58 of the 2010 Act and the definition of disqualified

disqualified from

(a) holding the relevant position in any licensed provider pursuant to section 56 of the 2010 Act; or

(b) having an interest in a licensed provider pursuant to section 65 of the 2010 Act, as the context so requires

See 3H2 to 3H4 in the RS and sections 56 to 58 and 65 to 66 of the 2010 Act. Sections 56 to 58 contain provisions in relation to the circumstances in which an approved regulator is required to disqualify persons from holding certain positions in an LP (Head of Practice or member of Practice Committee, Head of Legal Services or designated person); the requirements that must be met in relation to any such disqualification and the effect of disqualification. Before disqualifying a person under s56 the approved regulator must give the LP and the person a minimum of 28 days to make representations to the approved regulator or take such other steps as the LP or the person may consider expedient (see s57(3) of the 2010 Act). 3H2 in the RS sets out some further provisions (including in relation to the procedure which must be followed) and 3H4 contains provisions in relation to the review of disqualification decisions.

Section 57(4) of the 2010 Act requires that licensing rules must provide that the LP’s licence may be revoked or suspended if the LP wilfully disregards a disqualification imposed under section 56. See 2C3.2 (f) in the RS and related provisions and Guidance.

See the definition of ban notice for further information in relation to disqualification from having an interest in a licensed provider pursuant to section 65 of the 2010 Act.

all documents or records held by any method by which information is stored in a way accessible for future reference

the meaning given in paragraphs (2) and (3) of regulation 2 of the European Lawyer Regulations

See the Regulations, however, generally European lawyers are nationals of Member States listed in the Regulations who are authorised in those States to pursue professional activities under professional titles listed in the Regulations – an example being an avocat in France.

European Communities (Lawyer’s Practice) (Scotland) Regulations 2000 (SSI 2000 No. 121) as those Regulations have effect by virtue of regulation 6 or 7 of the 2019 Regulations

an exemptible investor who holds a current Exemption Certificate

See definitions of exemptible investor; Exemption Certificate and 2B4 in the RS

shall be construed in accordance with section 63(4) of the 2010 Act and regulation 5 of the Interests in Licensed Providers Regulations 

 

a certificate granted pursuant to *2B4.1

Only exemptible investors may obtain an Exemption Certificate and such a certificate will only be granted to exemptible investors who have no management role in the LP and no ability to significantly influence management of the LP (see 2B4 in the RS). See definition of exemptible investor.

a financial penalty authorised in terms of section 19 of the 2010 Act, the amount of which shall be as notified to the relevant licensed provider in terms of *3H1, but which will not exceed the maximum amount permitted by Scottish Ministers in terms of section 19(2) of the 2010 Act

See 3H1 and 3H4 of the RS and related Guidance

as defined in section 65(1) of the 1980 Act

A person who is not a solicitor or an advocate but who is a member, and entitled to practise as such, of a legal profession regulated within a jurisdiction outwith Scotland

the Scottish Solicitors Guarantee Fund as referred to in section 43 of the 1980 Act

A fund managed by the Society whereby grants may be paid to persons who have suffered pecuniary loss by reason of dishonesty on the part of solicitors, incorporated practices, licensed providers and certain others, subject to conditions

the person appointed to this position in terms of *3E2

The person appointed as Head of Legal Services must be both eligible (in terms of section 51 of the 2010 Act) and suitable (in terms of 3E2 in the RS) for appointment. Section 51(2) of the 2010 Act provides that a person is eligible for appointment (and to act) as Head of Legal Services only if the person is a solicitor who holds a valid practising certificate that is free of conditions (such as may be imposed under section 15(1)(b) or 53(5) of the 1980 Act). 3E2 in the RS adds experience-based suitability requirements. Section 54 of the 2010 Act sets down notification requirements in relation the appointment of Head of Legal Services and section 55 allows the approved regulator to challenge the appointment of a person as Head of Legal Services in certain circumstances (see also 3E4 in the RS).

The function of Head of Legal Services is as set out in section 51(4) of the 2010 Act – securing the LP’s compliance with section 50(1)(a) and (b) of the 2010 Act and fulfilment of the LP’s other duties under Part 2 of the 2010 Act so far as relevant in connection with the LP’s provision of legal services. Section 51(5) provides that Head of Legal Services is to manage the designated persons within the LP with a view to ensuring that they

(a) have regard to the Head of Legal Services function under s51(4);

(b) adhere to the professional principles; and

(c) meet their professional obligations.

See also the definition of designated person

If it appears to a Head of Legal Services that the LP is failing (or has failed) to fulfil any of its duties under Part 2 of the 2010 Act or another enactment, the Head of Legal Services is required to report that fact to the Head of Practice (or Practice Committee) of the LP (see section 51(7).)

the person appointed to this position in terms of *3E3

The person appointed as Head of Practice must be both eligible (in terms of section 52 of the 2010 Act) and suitable (in terms of 3E3 in the RS) for appointment. Section 52(2) of the 2010 Act provides that a person is eligible for appointment (and to act) as Head of Practice only if the person

(a) has such qualifications, expertise and experience as are reasonably required and

(b) in other respects, is fit and proper for the position.

3E3 in the RS adds suitability requirements. Section 54 of the 2010 Act sets down notification requirements in relation the appointment of Head of Practice and section 55 allows the approved regulator to challenge the appointment of a person as Head of Practice in certain circumstances (see also 3E4 in the RS).

The function of Head of Practice is as set out in section 52(3) of the 2010 Act – securing the LP’s compliance with section 50(1)(c) of the 2010 Act and fulfilment of the LP’s other duties under Part 2 of the 2010 Act. Section 52(4) provides that Head of Practice is to manage the designated persons and other persons within the LP with a view to ensuring that they

(a) have regard to the Head of Practice’s functions under Part 2 of the 2010 Act; and

(b) meet any professional obligations to which they are subject.

See also the definition of designated person

If it appears to a Head of Practice that the LP is failing (or has failed) to fulfil any of its duties under Part 2 of the 2010 Act or another enactment; or an investor in the LP is

(i) failing or has failed to fulfil any of the investor’s duties under Part 2 of the 2010 Act or another enactment, or

(ii) contravening (or has contravened) section 66(1) or (2) of the 2010 Act,

the Head of Practice is required to report that fact to the approved regulator of the LP (see section 52(6)).

The Head of Practice’s other responsibilities include conducting the review for and submitting the annual performance report (see 3E6.2 in the RS) and keeping a list of designated persons and supplying information to the approved regulator (see section 61 of the 2010 Act).

Term is used in the 2010 Act and in Guidance.  The 2010 Act refers to the 1980 Act for a legal definition. This term is defined in the 1980 Act (s65(1)) as having the meaning given by section 34(1A)(c) of that Act.  In terms of s34(1A)(c) a corporate body may be recognised by the Society as an ‘incorporated practice’ provided that certain conditions are met which are set out in Rule D5 of the Principal Practice Rules.  One of the conditions is that the corporate body is wholly owned by solicitors and certain other types of lawyer and hence an incorporated practice is, by definition, not an alternative business structure like a licensed provider.  Incorporated practices are subject to the Principal Practice Rules.

the Licensed Legal Services Providers (Interests in Licensed Providers) (Scotland) Regulations 2012 (S.S.I. 2012 No.154)

 

construed in accordance with section 67(6) of the 2010 Act and the Interests in Licensed Providers Regulations

Section 67(6) of the 2010 Act provides that an ‘investor’ in an LP is any person who has (to any extent) –

(i) ownership or control of the LP, or

(ii) any other material interest in it

In terms of the Interests in Licensed Providers Regulations (The Licensed Legal Services Providers (Interests in Licensed Providers) (Scotland) Regulations 2012) any person who:

(i) is entitled to exercise, or control the exercise of, any voting or equivalent rights in an LP;

(ii) would be entitled to receive, if all of the income of the LP were to be distributed among the members, any share of the amount so distributed; or

(iii) would be entitled to receive, if all the assets of the LP were to be distributed among the members, any share of the amount so distributed

is an investor in the LP

(except where the entitlement at (i), (ii) or (iii) applies only due to rights which the person has as a loan creditor to the LP, as such rights are disregarded in identifying investors in the LP)

In this context “members” means:

If the LP is a company – its shareholders;

If the LP is a limited liability partnership, the members;

If the LP is a partnership, the partners;

If the LP is another type of body or association, the members of that body or association.

Term used in the 2010 Act and in Guidance. 2010 Act refers to 1980 Act for legal definition. 1980 Act (s65(1)) defines term as meaning a body

(a) established for the purpose of providing legal services to the public generally as well as to individual members of the public; and

(b) which does not distribute any profits made either to its members or otherwise, but reinvests any such profits for the purposes of the law centre

a person who, if an investor in a licensed provider, would be a solicitor investor

See definition of solicitor investor

a manager who is a qualifying lawyer

a person within a licensed provider so designated by that licensed provider in terms of *3B6

as defined in section 3 of the 2010 Act

These are:

(a) the provision of legal advice or assistance in connection with:

(i) any contract, deed, writ, will or other legal document;

(ii) the application of the law; or

(iii) any form of resolution of legal disputes

(b) the provision of legal representation in connection with:

(i) the application of the law; or

(ii) any form of resolution of legal disputes.

(subject to exclusions of judicial or quasi-judicial activities as set out in Section 3.)

the levy payable by a licensed provider in terms of section 57C of the 2007 Act

a licence issued by the Council allowing an entity to operate as a licensed provider in accordance with the regulatory scheme

licensed legal services provider as defined in section 47 of the 2010 Act

the rules in Chapter 2 of the regulatory scheme

a limited liability partnership, being a body corporate incorporated under the Limited Liability Partnerships Act 2000

(a) a partner in a licensed provider which is a partnership;

(b) a director of a licensed provider which is a company;

(c) a member of a licensed provider which is an LLP;

(d) in relation to any other body, a member of its governing body

a member state of the European Union

The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ((S.I. 2017 No.692)

a person who is not a lawyer

See definition of lawyer

a manager who is not a lawyer manager

See definitions of manager and lawyer manager

as defined in section 67(6) of the 2010 Act

See also definition of investor

Section 67(6)(b) of the 2010 Act provides that a “non-solicitor investor” in an LP is an investor who is not entitled to practise-

(i) as a solicitor, firm of solicitors or an incorporated practice (all of those terms being construed in accordance with the 1980 Act – with the result that entitlement to practise as such, in Scotland, is the test);

(ii) in England and Wales and Northern Ireland, as a solicitor (outwith the meaning for the 2010 Act) (hence not as a solicitor as defined in the 2010 Act or the RS (entitled to practise as such in Scotland) but as that term would be understood in England and Wales or Northern Ireland (as appropriate)); or

(iii) as a registered European lawyer or registered foreign lawyer

a Pass Certificate (Basic) or a Pass Certificate (Standard)

See 2B5 in the RS and related Guidance

a certificate issued by the Council which confirms that the person named in the certificate has satisfied the Council with regard to the person’s fitness to be a non-lawyer manager of a licensed provider after an assessment process which may include obtaining and considering a basic report from Disclosure Scotland (or its equivalent) in respect of the applicant, but does not include questions about, or involve the disclosure of, spent convictions

See 2B5 in the RS and related Guidance

a certificate issued by the Council which confirms that the person named in the certificate has satisfied the Council with regard to the person’s fitness to have an interest in a licensed provider (as a non-solicitor investor) or to be a Head of Practice or a member of a Practice Committee of a licensed provider after an assessment process which may include obtaining and considering a standard report from Disclosure Scotland (or its equivalent) in respect of the applicant, and may include questions about, or involve the disclosure of, spent convictions, all to the extent permitted by law

See 2B5 in the RS and related Guidance

the Practice Committee of a licensed provider

In terms of section 53 of the 2010 Act it is for an LP to decide whether to have a Practice Committee instead of a Head of Practice. If the LP decides to appoint a Practice Committee then that Committee has the same functions under Part 2 of the 2010 Act (and in terms of the RS) as would otherwise be exercisable by Head of Practice and the members of the Practice Committee are jointly and severally liable as regards those functions (see section 53(4)). The requirements which apply to Head of Practice and appointment as such generally apply to the same effect in relation to the appointment of members of the Practice Committee – see Head of Practice definition

the year commencing on 1st November and ending on the subsequent 31st October

(a) in relation to a solicitor, a certificate issued by the Council in accordance with the provisions of Part II of the 1980 Act authorising a person to practise as a solicitor; or

(b) in relation to a registered European lawyer or a registered foreign lawyer, the relevant certificate of registration

a solicitor who holds a practising certificate under the 1980 Act

the Law Society of Scotland Practice Rules 2011 as the same may be varied, supplemented, amended, consolidated or replaced from time to time

These are the practice rules made under the 1980 Act which apply to solicitors and certain others

as defined in section 2 of the 2010 Act

As set out in section 2 of the 2010 Act, the professional principles are the principles that persons providing legal services should—

(a) support the proper administration of justice,

(b) act with independence and integrity,

(c) act in the best interests of their clients,

(d) maintain good standards of work,

(e) where—

(i) exercising before any court a right of audience, or

(ii) conducting litigation in relation to proceedings in any court, comply with such duties as are normally owed to the court by such persons,

(f) meet their obligations under any relevant professional rules.

Section 49(2) of the 2010 Act

A person who is either:

(a) a solicitor investor; or

(b) a non-solicitor investor who is a member of a regulated profession

See definitions of investor, non-solicitor investor, solicitor investor and regulated profession.

Section 49(1) of the 2010 Act requires that at least a 51% stake in the total ownership or control of a licensed provider must always be held by qualifying investors.

a lawyer who is not prohibited from being a manager in a practice unit (as such terms are defined in the Principal Practice Rules) in terms of

(i) any practising certificate or certificate of registration (as appropriate) held by the person;

(ii) the Principal Practice Rules; or

(iii) the Admissions Regulations

as defined in section 65(1) of the 1980 Act

A person registered with the Society in accordance with regulation 17 of the European Lawyer Regulations

In summary, registered European lawyers (“RELs”) are lawyers from another Member State of the European Union who have registered with the Society as RELs so that they can pursue professional activities in Scotland on a permanent basis under their home professional title, in exercise of their rights under European Directives

as defined in section 65(1) of the 1980 Act

A foreign lawyer who is registered with the Society under section 60A of the 1980 Act.

Section 60A of the 1980 Act provides that a foreign lawyer may apply to the Council to be registered as a registered foreign lawyer for purposes permitted by section 60A (entering into a multi-national practice with Scottish solicitors/RELs or incorporated practices recognised by the Society; or having an interest in an LP as a solicitor investor). Provided that the Council are satisfied that the legal profession of which the applicant is a member is “so regulated as to make it appropriate for the applicant to be registered” for the relevant permitted purpose (see section 60A(4ZA)) then the Council will so register the applicant.

See also Rule D7 of the Principal Practice Rules and related Guidance.

Registered foreign lawyers are subject to some of the Principal Practice Rules – for further information see rule A3 of those Rules and related Guidance.

a solicitor, a registered European lawyer, a registered foreign lawyer or a licensed provider

as defined in section 13 of the 2010 Act

as defined in section 3F and 3G of the 1980 Act

as defined in section 1 of the 2010 Act

As set out in Section 1 of the 2010 Act, the regulatory objectives are the objectives of—

(a) supporting the constitutional principle of the rule of law,

(b) protecting and promoting—

(i) the interests of consumers,

(ii) the public interest generally,

(c) promoting—

(i) access to justice,

(ii) competition in the provision of legal services,

(d) promoting an independent, strong, varied and effective legal profession,

(e) encouraging equal opportunities (as defined in Section L2 of Part II of Schedule 5 to the Scotland Act 1998) within the legal profession,

(f) promoting and maintaining adherence to the professional principles.

the Law Society of Scotland Regulatory Scheme for Licensed Providers [] all as the same may be varied, supplemented, amended, consolidated or replaced from time to time

representations in writing and/or, where the person entitled to make representations requests and is granted permission by the Council to make representations in another form, such other form

a period of 28 days from the date the relevant notice is received, or such longer period as Council may, at its discretion, allow (following a written request from the party entitled to make representations in terms of the relevant provisions of this regulatory scheme, such request to

(a) be received by the Council within the said 28 day period; and

(b) to set out the exceptional circumstances which the party considers to prevent representations being made within the said 28 day period)

a right of audience in the Court of Session, the Supreme Court and the Judicial Committee of the Privy Council or, as the case may be, the High Court of Justiciary and the Judicial Committee of the Privy Council

the Secretary of the Society or any person authorised by the Council to act on behalf of the Secretary for the purposes of any of the foregoing rules

the Law Society of Scotland

any person enrolled as a solicitor in pursuance of the 1980 Act

a solicitor who has been granted rights of audience

construed in accordance with section 67(6) of the 2010 Act

See the definition of non-solicitor investor – a solicitor investor is the opposite – i.e. is an investor who is entitled to practise-

(i) as a solicitor, firm of solicitors or an incorporated practice (all of those terms being construed in accordance with the 1980 Act – with the result that entitlement to practise as such, in Scotland, is the test);

(ii) in England and Wales and Northern Ireland, as a solicitor (outwith the meaning for the 2010 Act) (hence not as a solicitor as defined in the 2010 Act or the RS (entitled to practise as such in Scotland) but as that term would be understood in England and Wales or Northern Ireland (as appropriate)); or

(iii) as a registered European lawyer or registered foreign lawyer

Therefore a “solicitor investor” includes:

(i) holders of current practising certificates issued by the Society, a firm of solicitors recognised by the Society, a practice which holds a certificate of recognition as an incorporated practice issued by the Society (and multi-national practices recognised by the Society could be included in this category as a firm of solicitors or incorporated practice);

(ii) a solicitor of England and Wales or Northern Ireland who holds a current practising certificate from the relevant regulator;

(iii) a European or foreign lawyer who holds a current certificate of registration issued by the Society.

but does NOT include:

(a) persons on the roll of solicitors in Scotland but who are not entitled to practise;

(b) other licensed providers (whether licensed by the Society or another approved regulator) – same are not entitled to practise as solicitors in terms of the 1980 Act (and that is regardless of whether or not they have authorisation to use the solicitor descriptor [see Guidance on the Solicitor Descriptor Rules – insert link];

(c) ABS in England and Wales - again, same are not entitled to practise as solicitors as that term is defined in relevant legislation.

Any person falling into the categories at (a), (b) or (c) may still be permitted to be an investor in a licensed provider but would be categorised as a non-solicitor investor in terms of the 2010 Act and the Scheme and hence would have to meet the relevant requirements.

the Court of Justice of European Communities, European Court of Human Rights, Court of Session, the Supreme Court, the Judicial Committee of the Privy Council and the High Court of Justiciary

a licensed provider’s total fee income, in respect of a 12 month period (and pro-rated to 12 months if, as a result of a change in accounting date, that financial period is longer or shorter than 12 months), from providing legal services including appropriate provision for the licensed provider’s current work-in-progress but not including any provision for value added tax

a practising certificate which is free of conditions imposed in terms of section 15 or other relevant sections of the 1980 Act or any regulations made thereunder, or by the Scottish Solicitors’ Discipline Tribunal or by the Court of Session