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First letter of subject

Category: Rule

In *3B10, unless the context otherwise requires, terms listed in the first column of *3B10.1 shall have the meanings respectively ascribed to them in the second column of that rule

Accounting and auditing

Category: Rule

A licensed provider must keep in place proper accounting and auditing procedures.

Accounts, Accounts Certificate and Professional Practice

Category: Forms and Fees

Form of Certificate (see *3B7.1, *3B7.14-16)

Accounts, Accounts Certificates and Professional Practice

Category: Rule

In 3B7 terms listed in the first column of 3B7.1 shall have the meanings respectively ascribed to them in the second column of that rule.

Additional Criteria for Determination of Applications for a Licence

Category: Rule

The Council may only grant an application for a licence if the Council is satisfied that, upon grant of the application, the applicant will...

Additional Criteria for Determination of Applications for a Licence

Category: Guidance

For all licence applications the Society strongly recommends that the applicant contacts the Society in advance of submitting the application for guidance on how best to submit the relevant application and the supporting information and documentation likely to be required.

Additional Criteria for Determination of Applications for Exemption Certificates

Category: Rule

The Council may only grant an Exemption Certificate in respect of exemptible investors who...

Additional Criteria for Determination of Applications for Exemption Certificates

Category: Guidance

Section 63 of the 2010 Act permits approved regulators not to act in accordance with the requirements of section 62 (which otherwise requires the fit and proper testing of all non-solicitor investors) in respect of an exemptible investor.

Additional Criteria for Determination of Applications for Pass Certificates (or for renewal of same)

Category: Rule

In determining any application for a Pass Certificate (or for the renewal of any such Certificate) the Council shall have regard to section 64 of the 2010 Act and shall apply same as respects its assessment of the fitness of any applicant in the same manner as the said section applies for the purposes of section 62 of the 2010 Act, as if the applicant, in every case, was a non-solicitor investor.

Additional Criteria for Determination of Applications for Pass Certificates (or for renewal of same)

Category: Guidance

The Society has a responsibility under the 2010 Act and the Scheme to assess the fitness of persons who wish to have certain interests or roles in a licensed provider licensed by the Society.

Additional Grounds for suspension or revocation of licence

Category: Rule

Subject to *2C4, the Council must suspend or revoke a licence where...

Advertising and Promotion

Category: Rule

Subject to 3B4.2 and 3B4.5, a licensed provider shall be entitled to advertise and promote its legal services in any way it thinks fit.