S.I. No. 604/2002 - The Solicitors Acts, 1954 To 2002 Solicitors (Practising Certificate 2003) Regulations, 2002

The Law Society of Ireland, in exercise of the powers conferred on them by Section 47 (as substituted by Section 54 of the Solicitors (Amendment) Act, 1994 ) of the Solicitors Act 1954 HEREBY MAKE the following Regulations:-

1. (a) These Regulations may be cited as the Solicitors Acts, 1954 to 2002 Solicitors (Practising Certificate 2003) Regulations, 2002.

(b) These Regulations shall come into operation on the 1^st day of January 2003.

2. (a) In these Regulations, unless the context otherwise requires:

“applicant solicitor” means the solicitor the subject matter of an application delivered to the Registrar;

“application” means the form of application for a practising certificate 2003 set out in the Schedule to these Regulations purporting to be duly completed and signed by an applicant solicitor personally;

“Registrar” means the registrar of solicitors appointed pursuant to Section 8 of the Solicitors Act, 1954 .

“Compensation Fund Committee” means the committee to whom functions of the Society pursuant to Part V of the Solicitors Act, 1954 , as amended and extended by Part VI of the Solicitors (Amendment) Act, 1994 , have been delegated by the Council.

(b) Other words and phrases in these Regulations shall have the meanings assigned to them by the Solicitors Acts, 1954 to 2002.

(c) The Interpretation Act, 1937 applies to the interpretation of these Regulations as it applies to the interpretation of an Act of the Oireachtas.

3. A solicitor applying for a practising certificate for the practice year commencing 1^st January 2003 and ending 31^st December 2003, or a solicitor to whom Section 56 (3) of the Solicitors (Amendment) Act, 1994 applies, shall, in person or by his agent, deliver to the Registrar an application which:-

(a) shall be in the form set out in the Schedule to these Regulations;

(b) shall be duly completed and signed by the applicant solicitor personally.

4. (a) The Registrar at any time following delivery to him of an application pursuant to Regulation 3 of these Regulations (whether or not a practising certificate has been issued to the applicant solicitor pursuant to such application) may, where he deems it appropriate and reasonable so to do, require the applicant solicitor to confirm in writing the accuracy of all or any specified part or parts of such application.

(b) Where, on receipt of a confirmation in writing required by him pursuant to clause (a) of this Regulation, he deems it appropriate and reasonable so to do the Registrar may require the applicant solicitor to attend before the Compensation Fund Committee to further confirm the accuracy of all or any specified part or parts of the application so delivered to the Registrar.

5. An applicant solicitor who in an application delivered to the Registrar knowingly furnishes information that is false or misleading in a material respect shall be guilty of misconduct.

6. On the coming into operation of these Regulations, the Solicitors (Practising Certificate 2002) Regulations, 2001 ( S.I. No. 635 of 2001 ) shall cease to have effect.

Dated this 20^th day of December 2002
Signed on behalf of the Law Society of Ireland pursuant to Section 79 of the Solicitors Act, 1954 .

	GERALDINE CLARKE President of the Law Society of Ireland

THE LAW SOCIETY OF IRELAND

Blackhall Place, Dublin 7.

APPLICATION FOR A PRACTISING CERTIFICATE 2003*

(for the practice year ending 31st December 2003)

NAME: _______________________________________	Enclosed Remittance [see amounts set out on page 8.] [Please tick as appropriate ✓]
NAME OF FIRM/ORGANISATION:_______________ PRINCIPAL PRACTICE/ORGANISATION ADDRESS:	Registration Fee □ Compensation Fund Contribution □
_____________________________________________	Membership Subscription □
_____________________________________________	Solicitors' Benevolent Association Contribution □
_____________________________________________	The Free Legal Advice Centres □

Section A — General

(1) I was admitted as a solicitor in the__________________Sittings 19____/200____

(2) Last Practising Certificate:

[Please tick as appropriate ✓]

(a) I currently hold a Practising Certificate issued to me which expires on 31st December 2002. □

(b) I have held a Practising Certificate issued to me which expired on 31st December 2002. □

(c) I last held a Practising Certificate for a practice year other than the practice year ending 31st December 2002 [See also (7), overleaf]. □

(d) I am not required to hold a Practising Certificate by reason of being -

(i) a solicitor in the full-time service of the State * ; □

(ii) a conveyancing-only solicitor employed by a non-solicitor * . □

(e) This is my first application for a Practising Certificate [See also (7), overleaf]. □

(3) (a) I am also admitted as a solicitor in the following external jurisdiction(s):

(b) I currently hold a certificate entitling me to practise as a solicitor in the following other jurisdiction(s):

(4) My current professional status is:

[Please tick as appropriate ✓]

Sole practitioner (i.e. practising as a sole principal in a solicitor's practice) □

Partner in a solicitor's practice □

Consultant solicitor in a solicitor's practice □

Employed solicitor in a solicitor's practice □

Solicitor employed by a non-solicitor (e.g. financial institution, commercial entity, statutory body) □

Locum (solicitor intending only to practise on short-term contract or employment basis) □

Other [please specify] □

(5) Particulars of practice:

(a) Name(s) of practice(s):_________________________________

(b) Name of managing partner / solicitor-in-charge:____________________________

(d) Other Practice address(es) : ___________________________________________

(6) Questions of the Registrar of Solicitors to be answered by each applicant for a practising certificate, pursuant to Part V of the Solicitors Act, 1954 , as amended and extended by Part VI of the Solicitors (Amendment) Act, 1994 .

(a) Has the last Practising Certificate issued to you been suspended, issued subject to conditions or been endorsed with conditions?	Yes □	No □
(b) Since the last Practising Certificate issued to you, have you failed to comply with the Solicitors Acts, 1954 to 1994 or with any order or regulation made thereunder, including the Solicitors Accounts Regulations No. 2 of 1984 and the Solicitors Accounts Regulations, 2001?	Yes □	No □
(c) Since the last Practising Certificate issued to you, have you been notified that you have failed to satisfy the Society that you exercise adequate personal supervision over any office or place of business?	Yes □	No □
(d) Since the last Practising Certificate issued to you, have you been notified that you have failed to give the Society an explanation which the Society regards as sufficient and satisfactory in respect of any matter affecting your conduct?	Yes □	No □
(e) Since the last Practising Certificate issued to you, has an order of attachment or committal been made against you?	Yes □	No □
(f) Since the last Practising Certificate issued to you, have you entered into a composition with your creditors or deed of arrangement for the benefit of your creditors?	Yes □	No □
(g) Since the last Practising Certificate issued to you, have you failed to comply with an order of the High Court or any other court or courts?	Yes □	No □
(h) Since the last Practising Certificate issued to you, have you failed to comply with a determination, requirement or direction of the Society under Section 8, 9, 10, or 10A (as inserted by Section 13 of the Solicitors (Amendment) Act, 2002 ) of the Solicitors (Amendment) Act, 1994 ?	Yes □	No □
(i) Since the last Practising Certificate issued to you, have you been sentenced to a term of imprisonment?	Yes □	No □
(j) Since the last Practising Certificate issued to you, have you failed to satisfy the Society that you are fit to carry on the practice of a solicitor, having regard to the state of your physical or mental health?	Yes □	No □
(k) Since the last Practising Certificate issued to you, have you failed to satisfy the Society that, having regard to all the circumstances, including the financial state of your practice, you should be issued with a Practising Certificate or a Practising Certificate not subject to a specified condition or conditions?	Yes □	No □
(l) Is this application by you for a Practising Certificate following upon the expiration of a period of suspension from practice?	Yes □	No □
(m) Is this application by you for a Practising Certificate following upon an order by the High Court restoring your name to the Roll of Solicitors?	Yes □	No □
(n) Has (Have) any judgment(s) or decree(s) been given against you [other than judgment (s) or decree(s) to which you are entitled, as respects the whole effect of the judgment(s) or decree(s) upon you, to indemnity or relief from any other persons] which remain(s) unsatisfied in whole or in part, and in respect of which judgment(s) or decree(s) you have not produced to the Registrar of Solicitors evidence of the satisfaction of such judgment(s) or decree(s)? [If applicable, details should be submitted with this Application of any such judgment(s) or decree(s), including evidence of the satisfaction thereof.]	Yes □	No □
(o) Have you been adjudicated a bankrupt?	Yes □	No □
(p) Do any of the provisions of the Lunacy Regulation (Ireland) Act 1871 (or any Act amending or extending that Act) relating to the management and administration of property apply to you?	Yes □	No □

(7) [To be completed by a solicitor who did not hold a Practising Certificate for the immediately preceding practice year other than a solicitor who is making his/her first application for a Practising Certificate immediately following upon his/her admission as a solicitor. If not applicable, please delete.]

I did not hold a Practising Certificate since the practice year ended 31st December____for the following reason(s):_____________________________________________________________

__________________________________________________________________________

Section B — Solicitors' Accounts Regulations, 2001 ( S.I. No. 421 of 2001 )

[Part I of this Section (immediately below) must be completed by a solicitor who is practising in a solicitor's practice as a sole principal or as a partner, or by any other solicitor who handles clients' moneys. The declaration in Part II of this Section must be ticked by a solicitor to whom Part I of this Section does not apply. If Part I applies, please delete Part II.]

Part I:

(a) The last Accountant's Certificate delivered to the Society was for the Accounting Period ending on the _____ day of _____________200____.

(b) The name and address of my certifying accountant(s) is (are): ________________________

__________________________________________________________________________

Date of commencement in practice:___________________________________________

[The declaration set out in Part II of this Section (immediately below) should be ticked by an employed solicitor in private practice, or by a solicitor employed by a non- solicitor, who has not handled clients' moneys during the preceding practice year except on behalf of his/her employer. If Part II applies, please delete Part I.]

Part II:

I declare that I have not handled clients' moneys at any time during the immediately preceding practice year except on behalf of my employer.

Part II of Section B applies to me and I so declare.

YES

□

[Please tick box, if appropriate]

Section C — Professional Indemnity Insurance

[This Section must be completed to comply with The Solicitors Acts, 1954 to 1994 (Professional Indemnity Insurance) Regulations, 1995 ( S.I. No. 312 of 1995 ), as amended by S.I. No. 209 of 1998 , S.I. No. 362 of 1999 and S.I. No. 504 of 2001 . Part I of this Section must be completed by a solicitor other than a solicitor to whom Part II of this Section applies. If Part I applies, please delete Part II.]

Part I:

(a) Name of Professional Indemnity Insurer:_______________________________________

(b) Date of commencement of current period of Professional Indemnity cover:______________

I confirm that the particulars set out above in (a), (b) and (c) are correct at the date of this application, and I undertake that I will use my best endeavours to furnish (or cause to be furnished) to the Society, not later than 15 days after the date of the expiration of my current period of Professional Indemnity cover as set out in (c) above confirmation from a qualified insurer ^** (or conveyancing services ^** of there being in force relating to me the minimum level of cover (€1,300,000 each and every claim) from the date of such expiration until at least the 31st day of December 2003.

Part II:

[Part II of this Section applies to a solicitor who provides legal services ^** (or conveyancing services ^** only) to and for his/her employer, provided that such employer is not a solicitor. If Part II applies, please delete Part I.]

I certify that I am a solicitor employed full-time within the State to provide legal services ^** (or conveyancing services ^** only) to and for my employer who is not a solicitor AND I further certify that, for the duration of the practice year to which this application relates, I will not engage in the provision of legal services ^** (or conveyancing services ^** only) to and for any person or persons other than my employer.

Part II of Section C applies to me and I so certify.

YES

□

[Please tick box, if appropriate]

[N.B. Section D, Part I or Part II, applies to all applicants for a Practising Certificate]

Section D - Investment Business Services or Investment Advice

[This section must be completed to comply with The Solicitors Acts, 1954 to 1994 (Investment Business and Investor Compensation) Regulations, 1998 ( S.I. No. 439 of 1998 as amended by S.I. No. 504 of 2001 ). Part I of this section must be completed by a solicitor other than a solicitor to whom Part II of this section applies. Part II applies to a solicitor who is an investment business firm or who is an insurance intermediary in one or more of the circumstances set forth in Section 47 (i)(a) or (b) of the Investor Compensation Act, 1998 (see below ^*** )]

Part I

I hereby UNDERTAKE that:

(a) I will only provide investment business services (including acting as an insurance intermediary) or investment advice to clients incidental to the provision of legal services to such clients;

(b) I will not hold myself out as being an investment business firm or an insurance intermediary; and

(c) in providing investment business services or investment advice to clients incidental to the provision of legal services to such clients and when acting as an investment product intermediary, I will not hold an appointment in writing other than from:

(i) an investment firm authorised in accordance with Directive 93/22/EEC of 10th May 1993 by a competent authority of another Member State, or an authorised investment business firm (not being a restricted activity investment product intermediary or a certified person), or a member firm within the meaning of the Stock Exchange Act, 1995, or

(ii) a credit institution authorised in accordance with Directives 77/780/EEC of 12th December 1977 and 89/646/EEC of 15th December 1989, or

(iii) a manager of a collective investment undertaking authorised to market units in collective investments to the public,

which is situate in the State or the relevant branch of which is situate in the State;

(d) if at any time during the course of the practice year ending on 31st December 2003 I propose to become an investment business firm or an investment firm in one or more of the circumstances set forth in Section 47 (i)(a) or (b) of the Investor Compensation Act 1998 ^*** , I will notify the Society in writing of that fact at least seven days before such proposed event and shall, within fourteen days of such notification, comply with the provisions of Regulation 6 of The Solicitors Acts 1954 to 1994 (Investment Business and Investor Compensation) Regulations, 1998 ( S.I. No. 439 of 1998 as amended by S.I. No. 504 of 2001 ).

Part I of Section D applies to me and I so undertake.

[Please tick box, if appropriate]

YES

□

(see next page)

__________________________________________________________________________________________

“(a) A solicitor in respect of whom a practising certificate (within the meaning of the Solicitors Acts, 1954 to 1994) is in force shall be an investment business firm —

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

(ii) where the solicitor holds himself or herself out as being an investment business firm, or

(iii) where, when acting as an investment product intermediary in a manner incidental to the provision of legal services, the solicitor holds an appointment in writing other than from-

(I) an investment firm authorised in accordance with the Investment Services Directive by a competent authority of another Member State, or an authorised investment business firm (not being a restricted activity investment product intermediary or a certified person), or a member firm within the meaning of the Stock Exchange Act, 1995 , or

(II) a credit institution authorised in accordance with Directives 77/780/EEC of 12 December, 1977 and 89/646/EEC of 15 December, 1989, or

(III) a manager of a collective investment undertaking authorised to market units in collective investments to the public,

which is situate in the State or the relevant branch of which is situate in the State,

and shall be required to be authorised as an authorised investment business firm pursuant to the provisions of the [Investment Intermediaries Act,] 1995.

(b) A solicitor, in respect of whom a practising certificate (within the meaning of the Solicitors Acts, 1954 to 1994) is in force, who is an insurance intermediary or who holds himself [or herself] out to be an insurance intermediary shall be an investment firm for the purposes of this Act and shall inform the [Central Bank of Ireland] and [The Investor Compensation Company Limited] that he or she is an investment firm for the purposes of this Act.”

Part II

1. I am a solicitor WHO-

(a) provides investment business services (including acting as an insurance intermediary) or investment advice in a manner which is not incidental to the provision of legal services, or

(b) holds himself/herself out as being an investment business firm, or

(c) when acting as an investment product intermediary in a manner incidental to the provision of legal services, holds an appointment in writing other than from-

(i) an investment firm authorised in accordance with the Investment Services Directive by a competent authority of another Member State, or an authorised investment business firm (not being a restricted activity investment product intermediary or a certified person), or a member firm within the meaning of the Stock Exchange Act, 1995 , or

(ii) a credit institution authorised in accordance with Directives 77/780/EEC of 12th December 1977 and 89/646/EEC of 15th December 1989, or

(iii) a manager of a collective investment undertaking authorised to market units in collective investments to the public,

which is situate in the State or the relevant branch of which is situate in the State,

AND am therefore an investment business firm required to be authorised as an authorised investment business firm pursuant to the provisions of the Investment Intermediaries Act, 1995 , OR am an insurance intermediary and/or have held myself out as an insurance intermediary who is required to inform the Central Bank of Ireland and The Investor Compensation Company Limited of that fact.

2. I attach herewith evidence in writing:

(a) either -

(i) of having been authorised by the Central Bank of Ireland as an authorised investment business firm;

(ii) of having informed the Central Bank of Ireland and The Investor Compensation Company Limited that I am an insurance intermediary and/or that I have held myself out as an insurance intermediary;

(b) of the fact of the payment by me (or on my behalf) of such contribution to the fund established and maintained pursuant to section 19 of the Investor Compensation Act, 1998 as may be required by The Investor Compensation Company Limited under section 21 of that Act;

(c) of having in place, valid and irrevocable for at least the duration of the practice year ending on 31st December 2003, a bond or bank guarantee and a policy of insurance, each acceptable to the Society, by way of providing indemnity against losses that may be suffered by a client in respect of default (whether arising from dishonesty or from breach of contract, negligence or other civil wrong) on my part, or any employee, agent or independent contractor engaged by me, as shall, in the opinion of the Society (taking into account the maximum amount of compensation for default that would be payable to a client secured by reason of the payment made by me referred to in (b) above), be equivalent to the indemnity against losses that would be provided to a client of a solicitor (in respect of whom a practising certificate is in force) in the provision of legal services by means of -

(i) the Compensation Fund as provided for in accordance with section 21 of the Solicitors (Amendment) Act, 1960 (as substituted by section 29 of the Solicitors (Amendment Act, 1994 ),

and

(ii) the minimum level of cover as provided for in accordance with The Solicitors Acts, 1954 to 1994 (Professional Indemnity Insurance) Regulations, 1995 ( S.I. No. 312 of 1995 ), as amended by S.I. No. 209 of 1998 , S.I. No. 362 of 1999 and S.I. No. 504 of 2001 , made by the Society under section 26 of the Act of 1994.

Part II of Section D applies to me and I enclose evidence in writing, as requested.

[Please tick box, if appropriate]

YES

□

SECTION E - DATA PROTECTION STATEMENT

It is necessary for the Society to collect and record certain personal data relating to each solicitor, including the name practice address, e-mail address (if applicable) and academic qualifications, as published annually by the Society in the Law Directory. Such personal data may also be information concerning a solicitor arising from the carrying out by the Society of its regulatory functions, under the Solicitors Acts, 1954 to 2002 and regulations made thereunder, including sensitive personal data such as health records or information relating to the commission or alleged commission of a criminal offence.

The personal data about a solicitor as set out in the annual Law Directory may be used by the Society for administration management and professional development purposes, as well as in pursuance of the Society's regulatory functions. Apart from its publication in the Law Directory, other examples of the actual or possible uses of such personal data relating to a solicitor are the following:

▪ the circulation of the Society's Gazette to a solicitor member of the Society, which may include or be accompanied by commercially-related material;

▪ the reference to a solicitor in the Register of Practising Solicitors or in the records of professional indemnity insurance cover maintained by the Society;

▪ the reference to a solicitor on the Society's website;

▪ the provision by the Society to candidates for the Society's annual elections of the practice address and/or e-mail address of a solicitor as part of a mailing list or a set of address labels;

▪ the furnishing of information relating to the good standing of a solicitor, when requested, to Irish governmental agencies (e.g. Judicial Appointments Advisory Board) or to foreign governmental agencies (including governmental agencies outside the European Union) or to commercial entities or to individual members of the public, including information recorded in the Register of Practising Solicitors or in the records of professional indemnity insurance cover maintained by the Society;

▪ the provision by the Society to a specific commercial entity of the practice address and/or e-mail address pursuant to an expressly recorded decision of the Society that it is beneficial to do so for defined professional development purposes.

NOTE:

(i) If you do not wish to be informed of commercial products or services by post or e-mail directly by commercial entities please tick[✓] the box immediately below:

I do not wish to be informed of commercial products or

services by post or e-mail directly from commercial entities □

(ii) You have the right to request a copy of any personal data about yourself that is held on database by the Society and have amended any personal data that is incorrect, incomplete or misleading.

I hereby declare that the particulars set out in Sections A, B and C of this application are correct to the best of my knowledge, information and belief.

Further, I acknowledge -

(A)(i) my undertaking to the Society as set out in Part I of Section D;

(ii) that I am an authorised investment business firm and/or that I hold myself out as an insurance intermediary and that the evidence in writing furnished by me (or on my behalf) to the Society as requested in Part II of Section D is true and accurate to the best of my knowledge, information and belief;

AND

(B) that I have read the Data Protection Statement set out in Section E.

[Please delete (A)(i) or (ii), as appropriate.]

Dated this ___________ day of ____________________________2002/2003.

Name (block letters):_______________________________

Signature:_________________________________

Membership of the Society

I hereby apply for membership of the Society for the practice year commencing 1st January 2003.

Signature:_______________________________________

N.B. This application form must be properly signed and dated. If any details are omitted from your form it will be returned to you, which will delay the issuing of your practising certificate.

PRACTICE YEAR 2003

Registration Fee, Compensation Fund Contribution, Membership Subscription and Solicitors' Benevolent Association Contribution and the Free Legal Advice Centres

	Solicitors admitted 3 years or more on 1st January 2003		Solicitors admitted less than 3 years on 1st January 2003
		€		€
Registration Fee (including €127 for Education Centre)		1240		963
Compensation Fund Contribution		500		500
[See notes 2 & 4, below]		____		____
		1740		1463
Membership Subscription		76		44
[See notes 4 & 5, below]		____		____
		1816		1507
Solicitors' Benevolent Association Contribution		38		25
Free Legal Advice Centres		13		13
[See note 5, below]		____		____
Total		€1867		€1545

NOTES

1. This Application must be duly completed by a solicitor engaged (or intending to engage) during the practice year commencing 1st January 2003 in the provision of legal services, whether as a sole practitioner or as a partner in a solicitor's practice or as an employee of any solicitor or of any other person or body, including a solicitor who does not require a Practising Certificate by reason of being a solicitor in the full-time service of the State [within the meaning of section 54 of the Solicitors Act, 1954 , as substituted by section 62 of the Solicitors (Amendment) Act, 1994 ] or by reason of being a solicitor employed full-time in the State to provide conveyancing services only to and for his/her non-solicitor employer [section 56, Solicitors (Amendment) Act, 1994 ].

2. The Registration Fee, and the Compensation Fund Contribution are payable by each applicant for a Practising Certificate.

3. The practice year coincides with the calendar year. A Practising Certificate must be applied for before 1st February 2003 in order to be dated 1st January 2003 and thereby to operate as a qualification to practise from the commencement of the practice year 2003. During April 2003, a listing of solicitors holding Practising Certificates as at 31st March 2003 will be forwarded to each County Registrar, District Court Clerk, Taxing Master and Bar Association.

4. A solicitor admitted during the practice year commencing 1st January 2003 and, if applying for his/her first Practising Certificate during that practice year, may calculate the Registration Fee, the Compensation Fund Contribution payable by him/her on the basis of the number of full calendar months remaining in that practice year following the month of his/her admission; and the solicitor's membership subscription in respect of the year (or part thereof) of his/her admission shall be at the reduced rate of €19.

5. Payment of the Membership Subscription and/or the Solicitors' Benevolent Association Contribution and/or the Free Legal Advice Centres is not a condition precedent to the issue of a Practising Certificate. However, unless a solicitor pays the annual membership subscription, he/she cannot enjoy the benefits of being a member of the Society as provided for in the Society's Bye Laws, including the right to vote in annual and provincial elections and the right to receive the Society's Gazette.

6. A Lawyer's International Professional Identity Card is available to a member of the Society who holds a current Practising Certificate, on receipt by the Registrar of Solicitors of a completed form of application (obtainable on request from the Society) together with a fee of €13.

[illegible]

[^** Within the meaning of S.I. No. 312 of 1995]

[^** Within the meaning of S.I. No. 312 of 1995]

[^** Within the meaning of S.I. No. 312 of 1995]

***Text of Investor Compensation Act, 1998, Section 47(1)(a) and (b)