Authorisation to act - Debt and bankruptcy - individuals as listed on the Law Society register

Lin Ball made this Freedom of Information request to The Solicitors Disciplinary Tribunal
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Response to this request is long overdue. Although not legally required to do so, we would have expected The Solicitors Disciplinary Tribunal to have responded by now (details). You can complain by requesting an internal review.

Dear The Solicitors Disciplinary Tribunal,

Authorisation to act - Debt and bankruptcy - individuals as listed on the Law Society register

Can you please confirm whether a partner in a firm (partnership) who are authorised and have separate SRA numbers but are not listed on The Law Society register for Debt and bankruptcy - individuals, are in fact still authorised to carry out this work if they are only listed for Insolvency and restructuring - business.

And would the same apply to solicitors acting through a company legal entity, who are not listed on either register, for neither debt and bankruptcy - individuals or Insolvency and restructuring - business.

Trying to establish if J E Baring & Co a partnership firm or their company J E Baring Ltd trading as “J E Baring & Co” are legally authorised for Debt and bankruptcy - individuals work but who appear to be only authorised under their partnership solicitors firm for Insolvency and restructuring - business work, instructed through a partner.

Is there any other register apart from the two registers SRA / or The Law Society that can provide clarification as to exactly what legal work is authorised by the paid membership regulators (SRA) and what is not?

Yours faithfully,

Lin Ball

SDT Enquiries, The Solicitors Disciplinary Tribunal

 
Dear Sir /Madam
 
I write in response to your email below.
 
The SDT is a statutory Tribunal that determines allegations of misconduct
against solicitors. The Tribunal is not the regulator for the solicitor’s
profession. 
 
The regulator is the Solicitors Regulation Authority Ltd (SRA).  The
Tribunal is entirely independent of the SRA. 
 
Your questions in relation to the scope of a solicitor's authorisation
to conduct certain work and about the existence of registers should be
addressed to the  SRA and you may first find it helpful to  visit the
SRA's website for more information by clicking on the attached
link [1]https://www.sra.org.uk/consumers/problem...
 
Yours sincerely,
 
Ray Dhanowa
Senior Deputy Clerk
Solicitors Disciplinary Tribunal
Tel: 0207 329 4808
DDI: 0207 778 0772
[2]www.solicitorstribunal.org.uk

PLEASE NOTE:

Following the closure of our offices, the majority of our hearings
continue to be held remotely and I will be mainly working away from the
office for the time being. You can contact me at
[3][email address].  Alternatively, you can contact the SDT
at [4][SDT request email]. 
 
If your query cannot be dealt with by email and you need to speak to
someone, please call us on 0207 329 4808.
 
Please continue to send us items electronically as we will not be able to
receive courier deliveries and there will be a delay in post reaching
us.   We no longer have a DX service.  

Please check our website for any updates and for further information.

 

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Dear SDT Enquiries,

Thank you for your reply. The SRA register has been checked and does not mention anything regarding either a partner of the partnership or their company being regulated as to being authorised to carry out debt and bankruptcy - individuals.

Only the Law Society register mentions authorisation for insolvency and restructuring - business and and this legal work would be undertaken by a partner within their partnership and shows no authorisation for debt and bankruptcy - individuals.

Are you saying there are only two registers and they can differ as to their content, and that solicitors have to record what legal work they are actually authorised to carry out listed on one or both of these registers?

Yours sincerely,

Lin Ball

SDT Enquiries, The Solicitors Disciplinary Tribunal

Dear Madam,
 
Thank you for your e-mail.
 
A set out in my previous e-mail the Tribunal and the SRA are independent
of each other and carry out different functions.
 
I am not able to give you a detailed answer to your question as they
relate to matters which are not within the responsibility of the Tribunal
and you should contact the SRA, the Regulator of the profession in England
and Wales, for an informed
answer   .[1]https://www.sra.org.uk/consumers/   
 
I am aware the SRA runs a 'find a solicitor service' on its website and
also maintains a register of solicitors. The first is a free service for
anyone looking for information about organisations or people providing
legal services that are regulated by the SRA. The SRA register allows
people to check whether someone is a solicitor and also whether the SRA
regulate a firm.

In terms of authorisation the Law Society do not authorise, this is a
function carried out by the SRA do and you should consult  the information
on its website in relation to authorisation and direct your queries to
 the SRA.
 
Yours sincerely,

 
Ray Dhanowa
Senior Deputy Clerk
Solicitors Disciplinary Tribunal
Tel: 0207 329 4808
DDI: 0207 778 0772
[2]www.solicitorstribunal.org.uk

 

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Dear SDT Enquiries,

Thank you for your reply.

The SRA register does not show that this solicitors practice is authorised by the SRA for the following legal work, debt and bankruptcy - individuals, is their any other organisation other than the SRA that can grant authorisation to solicitors to carry out this work?

Yours sincerely,

Lin Ball

SDT Enquiries, The Solicitors Disciplinary Tribunal

Dear Ms Ball,
 
Thank you for your e-mail.
 
As set out in my earlier responses I  am not able to provide you with a
definitive answer as the remit of the Tribunal does not extend to
authorisation of firms or individuals.
 
I can only set out again that these are questions you may wish to ask of
the SRA, however, I attach a link the SRA website which you may find
useful 
 [1]https://www.sra.org.uk/solicitors/guidan...    
 
Yours sincerely,
Ray Dhanowa
Senior Deputy Clerk
Solicitors Disciplinary Tribunal
Tel: 0207 329 4808
DDI: 0207 778 0772
[2]www.solicitorstribunal.org.uk

PLEASE NOTE:

Following the closure of our offices, the majority of our hearings
continue to be held remotely and I will be mainly working away from the
office for the time being. You can contact me at
[3][email address].  Alternatively, you can contact the SDT
at [4][SDT request email]. 
 
If your query cannot be dealt with by email and you need to speak to
someone, please call us on 0207 329 4808.
 
Please continue to send us items electronically as we will not be able to
receive courier deliveries and there will be a delay in post reaching
us.   We no longer have a DX service.  

Please check our website for any updates and for further information.

 

show quoted sections

Dear SDT Enquiries,

Can you please confirm who regulates the SRA and to which government department they are answerable.

Because the SRA has waited in excess of 9 months to confirm and to update their SRA register with the details that confirm the partnership also called J E Baring & Co closed on 1 March 2021 the exact same day as a FOIR was placed with the SRA.

This partnership apparently merged with their new company called J E Baring Ltd also trading as J E Baring & Co and the SRA appear reluctant to confirm exactly what legal work each of their separate legal entities who are regulated by the SRA are authorised to deal with.

Yours sincerely,

Lin Ball

SDT Enquiries, The Solicitors Disciplinary Tribunal

Dear Madam,
 
Thank you for your e-mail
 
The  Solicitors Regulation Authority Ltd (SRA) is overseen by the Legal
Services Board (LSB) [1]https://legalservicesboard.org.uk/
 
The LSB is sponsored by the Ministry of Justice.
 
Yours sincerely
 
 
Ray Dhanowa
Senior Deputy Clerk
Solicitors Disciplinary Tribunal
Tel: 0207 329 4808
DDI: 0207 778 0772
[2]www.solicitorstribunal.org.uk

PLEASE NOTE:

Following the closure of our offices, the majority of our hearings
continue to be held remotely and I will be mainly working away from the
office for the time being. You can contact me at
[3][email address].  Alternatively, you can contact the SDT
at [4][SDT request email]. 
 
If your query cannot be dealt with by email and you need to speak to
someone, please call us on 0207 329 4808.
 
Please continue to send us items electronically as we will not be able to
receive courier deliveries and there will be a delay in post reaching
us.   We no longer have a DX service.  

Please check our website for any updates and for further information.

 

show quoted sections