Solicitors Disciplinary Tribunal

Nigel West

Description

The Solicitors Disciplinary Tribunal (SDT) has the power to strike a solicitor's name off the roll, suspend a solicitor from practice, fine or reprimand a solicitor or make such other order as it thinks fit. This book provides a unique step-by-step guide to the law and practice of the SDT, from the issue of proceedings through to appeal. Its practical approach will help anyone who wishes to avoid the common pitfalls faced by unfamiliar users of the Tribunal. It is the only comprehensive book available on SDT proceedings and it contains all the leading cases on Tribunal proceedings (many of which are not available online) in one handy volume. This second edition has been extensively revised and updated to include all the latest relevant cases and references and to reflect major changes, including: the shift in the standard of proof from the criminal to the civil standard changes flowing from the introduction of SDPR 2019 the bedding in of the SRA Standards and Regulations 2019 the current law and practice on agreed outcomes the test for dishonesty the test for integrity and the fallout from the Wingate case the test for appeals to the High Court changes as to the status of and SDT jurisdiction over RELs.

Sujets

• Droit et juridique

Informations

• Publié par: Law Society
• Date de parution: 31 mai 2022
• Nombre de lectures: 0
• EAN13: 9781784462208
• Langue: English

Extrait

The Solicitors Disciplinary Tribunal
SECOND EDITION
 

Other titles available from Law Society Publishing:

The Solicitor’s Handbook 2022
Gregory Treverton-Jones QC, Nigel West, Susanna Heley and Robert Forman

SRA Standards and Regulations: July 2021 edition
Solicitors Regulation Authority

Solicitors and the Accounts Rules, 4th edition
Andrew Allen and Janet Taylor

Titles from Law Society Publishing can be ordered from all good bookshops or direct (telephone [phone], or visit our online shop at www.lawsociety.org.uk/bookshop ).
The Solicitors Disciplinary Tribunal
Law and Practice
SECOND EDITION
 

 

Nigel West and Susanna Heley
 
 
 
 
 
 
 

 
All rights reserved. No part of this publication may be reproduced in any material form, whether by photocopying, scanning, downloading onto computer or otherwise without the written permission of the Law Society except in accordance with the provisions of the Copyright, Designs and Patents Act 1988. Applications should be addressed in the first instance, in writing, to Law Society Publishing. Any unauthorised or restricted act in relation to this publication may result in civil proceedings and/or criminal prosecution.

The authors have asserted the right under the Copyright, Designs and Patents Act 1988 to be identified as authors of this work.

Whilst all reasonable care has been taken in the preparation of this publication, neither the publisher nor the authors can accept any responsibility for any loss occasioned to any person acting or refraining from action as a result of relying upon its contents.

The views expressed in this publication should be taken as those of the authors only unless it is specifically indicated that the Law Society has given its endorsement.

© The Law Society 2022

Crown copyright material is reproduced with the permission of the Controller of Her Majesty’s Stationery Office
The material in Appendix 3 is reproduced with the kind permission of The Solicitors Disciplinary Tribunal

ISBN 978-1-78446-171-3 (paperback)
ISBN 978-1-78446-220-8 (eBook)

First edition published in 2016

This second edition published in 2022 by the Law Society
113 Chancery Lane, London WC2A 1PL

Typeset by Data Standards Ltd, Frome, Somerset
Contents
About the authors
Table of cases
Table of statutes
Table of statutory instruments
Table of EU legislation and international conventions
Abbreviations
1        The constitution of the Solicitors Disciplinary Tribunal
1.1        The statutory framework and the procedural rules
1.2        The Tribunal’s statutory jurisdiction to hear applications and appeals
1.3        Practice Directions
1.4        Terminology
1.5        The members
1.6        The president of the Tribunal
1.7        The vice-presidents
1.8        The panels
1.9        Powers of single solicitor members
1.10      The clerk and deputy clerks
1.11      The Legal Services Board
1.12      Administration and finance
2        The SRA decision to prosecute
2.1        The SRA – constitution, powers and decision-making
2.2        Referrals to the SDT
2.3        No right of appeal
2.4        The SRA’s right to amend or review a referral decision
2.5        Judicial review
2.6        Notification to regulatory authorities in other states
2.7        Further investigations
2.8        Delays in issuing proceedings
3        Jurisdiction, issue and service
3.1        The statutory jurisdiction of the Tribunal over solicitors
3.2        The statutory jurisdiction of the Tribunal over other regulated persons
3.3        Appeals to the Tribunal
3.4        The parallel jurisdiction of the Senior Courts
3.5        The applicant and lay applications
3.6        The documents required to commence proceedings
3.7        Certification of a case to answer
3.8        Adjournment for SRA to investigate
3.9        Service
4        Public hearings and publicity
4.1        SRA publication of referrals to the Tribunal
4.2        SRA publication of appeals to the Tribunal
4.3        SRA publication of regulatory settlement agreements
4.4        SRA notification to employers, local law societies, regulators and other third parties
4.5        The Tribunal cause list
4.6        Tribunal rules on public and private hearings
4.7        Case law on public and private hearings – the open justice principle
4.8        Open justice and Convention rights
4.9        Tribunal cases on public and private hearings
4.10      Announcement of decisions and publication of judgments
4.11      Tribunal rules prohibiting disclosure of information
4.12      Case law on the principle of open justice in relation to judgments
4.13      The Tribunal’s judgment publication policy
4.14      Tribunal cases on publication of judgments
4.15      Tribunal recordings of hearings and transcripts
4.16      Disclosure of documents referred to in Tribunal proceedings to non-parties
4.17      The Law Society’s records
4.18      The Law Society’s Gazette
5        Rule 12 statements, answers and replies
5.1        Overview
5.2        The rule 12 statement
5.3        Supplementary statements
5.4        Certification of a case to answer
5.5        The respondent’s answer
5.6        Failure to serve an answer
5.7        The reply
5.8        Amendments to the rule 12 statement and other pleadings
5.9        Further and better particulars
5.10      Scott Schedules
5.11      Filing and service of pleadings
6        Standard directions, Practice Directions and case management
6.1        The overriding objective – SDPR 2019, rule 4
6.2        Standard directions
6.3        Practice Directions, policies and guidance notes
6.4        Caselines
6.5        Calculating time – SDPR 2019, rule 47
6.6        Variation of directions
6.7        Failure to comply with directions
6.8        Case management hearings
6.9        Evidence by video link
6.10      Special measures for vulnerable witnesses and parties
6.11      Changes to time estimates
6.12      The certificate of readiness and hearing timetable
6.13      Interpreters
6.14      Remote and hybrid hearings
7        Disclosure
7.1        The disclosure obligations
7.2        The rules on applications for disclosure
7.3        Public interest immunity
7.4        Legal professional privilege
7.5        Privilege against self-incrimination
7.6        The SRA’s investigatory powers
7.7        The SRA Transparency Code and subject access requests
7.8        Without prejudice communications
8        Interim applications
8.1        The procedural rules and practice relating to interim applications
8.2        Abuse of process
8.3        Adjournments of the substantive hearing
8.4        Amendments to the rule 12 statement
8.5        Consolidation, cases listed for hearing together and cases on thematic issues
8.6        Delay
8.7        Disclosure
8.8        Extensions of time
8.9        Further and better particulars
8.10      No case to answer
8.11       Res judicata – cause of action estoppel
8.12      Special measures
8.13      Split trials
8.14      Strike out
8.15      Summary dismissal
8.16      Judicial review of Tribunal decisions on interim applications
9        Evidence
9.1        The general rules on evidence
9.2        Witness statements
9.3        Civil Evidence Act notices
9.4        Witness summonses
9.5        Experts’ reports
9.6        Judgments and convictions
9.7        Notice to admit authenticity of documents
9.8        Notice to admit facts
9.9        Translations
10      Dishonesty cases
10.1      The right to a fair hearing
10.2      The rule 12 statement
10.3      The test for dishonesty
10.4      The trial
10.5      The sanction
10.6      Exceptional circumstances
10.7      Appeals against dishonesty findings
10.8      Restoration to the roll following a finding of dishonesty
11      Types of misconduct
11.1      Overview
11.2      Accounts Rules
11.3      Compliance officers
11.4      Criminal convictions
11.5      Failure to co-operate with the SRA or the Legal Ombudsman
11.6      Integrity
11.7      Manifest incompetence and gross negligence
11.8      Misleading the court
11.9      Public trust and confidence in the profession
11.10    Recklessness
11.11    Recognised bodies
11.12    Sexual misconduct
11.13    Supervision
11.14    Transactions bearing the hallmarks of mortgage or investment fraud
11.15    Undertakings
11.16    Vicarious liability of co-partners
12      Section 43 orders, RELs and RFLs
12.1      Applications for section 43 orders
12.2      Review and revocation of section 43 orders
12.3      Registered European lawyers
12.4      Registered foreign lawyers
13      Settlements
13.1      Overview
13.2      Informal agreements
13.3      Regulatory settlement agreements
13.4      Agreed outcomes
14      The trial
14.1      SDPR 2019
14.2      Summary of the trial
14.3      Preparations for trial
14.4      Constitution of the Tribunal
14.5      Preliminary matters
14.6      SDPR 2019, rule 38 and evidence and submissions during the hearing
14.7      No case to answer
14.8      The respondent’s evidence and adverse inferences
14.9      Character references
14.10    Use of SDT cases as comparables
14.11    Closing submissions on liability
14.12    The decision on liability
14.13    The standard of proof
14.14    Antecedents
14.15    The submissions in mitigation
14.16    The sanction
14.17    The order for costs
14.18    Announcement and filing of the order
14.19    Applications for a stay
14.20     Functus officio
14.21    The written judgment
14.22    Permission to appeal
14.23    Application for a rehearing
14.24    Transcripts
14.25    Enforcement of