conditions in accordance with rE226 the actions of the Bar Council/Bar Standards Board must not be deferred even if the BSB regulated person has given notice of appeal to the High Court against the finding and/or sanction of the Disciplinary Tribunal on the charges of professional misconduct. conditions in accordance with rE226 the actions of the Bar Council/Bar Standards Board must not be deferred even if the BSB regulated person has given notice of appeal to the High Court against the finding and/or sanction of the Disciplinary Tribunal on the charges of professional misconduct. rE301 Any term defined in Definitions Section of the Handbook shall carry the same meaning in these Regulations. For the purpose of the Fitness to Practise Regulations, “Individual” means any ‘BSB authorised individual ’. Any term defined in Definitions Section of the Handbook shall carry the same meaning in these Regulations. For the purpose of Section D4 of these Regulations alonethe Fitness to Practise Regulations, “Individual” includes anyone who was ameans any ‘BSB authorised individual’ at the time of any decisions taken by a Fitness to Practise Panel. rE2.10 rE26 rE37.5 rE42 rE44 rE50 rE54 rE55 rE61 rE63 rE78 rE84 rE85 rE87 rE89 rE95 rE241 N/A ‘BSB regulated person’ and ‘BSB regulated individual’ been changed to ‘applicable person’ Throughout the Handbook N/A ‘defendant’ has been changed to ‘respondent’
circumstances, it would be in the best interests of the public access client or in the interests of justice for the public access client to instruct a solicitor or other professional client. the circumstances, it would be in the best interests of the public access client or in the interests of justice for the public access client to instruct a solicitor or other professional client. rC123 In any case you are not prohibited from accepting instructions, you must at all times consider the developing circumstances of the case, and whether at any stage it is in the best interests of the public access client or in the interests of justice for the public access client to instruct a solicitor or other professional client. If, after accepting direct instructions from a public access client you form the view that circumstances are such that it would be in the best interests of the public access client, or in the interests of justice for the public access client to instruct a solicitor or other professional client you must: In any case where you are not prohibited from accepting instructions, you must at all times consider the developing circumstances of the case, and whether at any stage it is in the best interests of the public access client or in the interests of justice for the public access client to instruct a solicitor or other professional client. If, after accepting direct instructions from a public access client you form the view that circumstances are such that it would be in the best interests of the public access client, or in the interests of justice for the public access client to instruct a solicitor or other professional client you must: rC125.1-.4 Having accepted public access instructions, you must forthwith notify your public access client in writing, and in clear and readily understandable terms, of: the work which you have agreed to perform; the fact that in performing your work you will be subject to the requirements of Parts 2 and 3 of Having accepted public access instructions, you must forthwith notify your public access client in writing, and in clear and readily understandable terms, of: the work you have agreed to perform; the fact that in performing your work you will be subject to the requirements of Parts 2 and 3 of this
Licence, or referring to the list of licensed access clients published on the Bar Standards Board website). A barrister must not accept any instructions from a licensed access client: unless you and your chambers are able to provide the services required of you by that licensed access client; if you consider it in the interests of the lay client or the interests of justice that a solicitor or other authorised litigator or some other appropriate intermediary (as the case may be) be instructed either together with you or in your place. A barrister must not accept any instructions from a licensed access client: unless you and your chambers are able to provide the services required of you by that licensed access client; if you consider it in the interests of the lay client or the interests of justice that a solicitor or other authorised litigator other person who is authorised to conduct litigation or some other appropriate intermediary (as the case may be) be instructed either together with you or in your place. rC136 Having accepted instructions from a licensed access client otherwise than on the terms of the Licensed Access Terms of Work, you: must first agree in writing the terms upon which you have agreed to do the work and the basis upon which you are to be paid; must keep a copy of the agreement in writing with the licensed access Having accepted instructions from a licensed access client otherwise than on the of the Licensed Access Terms of Work, you: must agree in writing the terms upon which you have agreed to do the work and the basis upon which you are to be paid;
other obligations arising out of or related to the conduct of litigation; and the fact that circumstances may require the client to retain a solicitor or other authorised litigator at short notice and possibly during the case. of or related to the conduct of litigation; and the fact that circumstances may require the client to retain a solicitor or other authorised litigator other person who is authorised to conduct litigation at short notice and possibly during the case. rC138 If at any stage you, being instructed by a licensed access client, consider it in the interests of the lay client or the interests of justice that a solicitor or other authorised litigator or some other appropriate intermediary (as the case may be) be instructed either together with you or in your place: you must forthwith advise the licensed access client in writing to instruct a solicitor or other authorised litigator or other appropriate intermediary (as the case may be); and unless a solicitor or other authorised litigator or other appropriate intermediary (as the case may be) is instructed as soon as reasonably practicable If at any stage you, being instructed by a licensed access client, consider it in the interests of the lay client or the interests of justice that a solicitor or other authorised litigator other person who is authorised to conduct litigation or some other appropriate intermediary (as the case may be) be instructed either together with you or in your place: you must forthwith advise the licensed access client in writing to instruct a solicitor or authorised litigator other person who is authorised to conduct litigation or other appropriate intermediary (as the case may be); and unless a solicitor or other authorised litigator other person who is authorised to conduct litigation or other appropriate intermediary (as the case may be) is
thereafter you must cease to act and must return any instructions. instructed as soon as reasonably practicable thereafter you must cease to act and must return any instructions. rC139 If at any stage you, being instructed by a licensed access client, consider that there are substantial grounds for believing that the licensed access client has in some significant respect failed to comply either with the terms of the Licence granted by the Bar Standards Board or (where applicable) with the terms of the Licensed Access Terms of Work you must forthwith report the facts to the Bar Standards Board. If at any stage you, being instructed by a licensed access client, consider that there are substantial grounds for believing that the licensed access client has in some significant respect failed to comply either with the terms of the Licence granted by the Bar Standards Board or (where applicable) with the terms of the Licensed Access Terms of Work you must forthwith report the facts to the Bar Standards Board. Having accepted instructions from a licensed access client, you must keep a case record (whether on card or computer) sets out: the date of receipt of the instructions, the name of the licensed access client, the name of the case, and any requirements of the licensed access client as to time limits; the date on which the instructions were accepted; the dates of subsequent instructions, of the despatch of advices and other written work, of Having accepted instructions from a licensed access client, you must keep a case record (whether on card or computer) which sets out: the date of receipt of the instructions, the name of the licensed access client, the name of the case, and any requirements of the licensed access client as to time limits; the date on the instructions were accepted; the dates of subsequent instructions, of the despatch of advices and other written work, of conferences and of telephone conversations; and
E1 of Part 3 of the Handbook) and approved by the BSB in accordance with section E of Part 3; NB: This definition is not the same as the equivalent term in the Legal Services Act 2007 (General Council of the Bar) (Modification of Functions) Order 2016 In relation to a BSB licensed body: means an individual who meets the requirements set out in paragraph 13 of Schedule 11 to the LSA and has been approved as a Head of Finance and Administration by the BSB in accordance with section E of Part 3; Definition of ‘HOLP’ means an individual who has been designated as a Head of Legal Practice by a BSB Authorised Body (as required by section E1 of Part 3 of the Handbook) and approved by the BSB in accordance with section E of Part 3; NB: This definition is not the same as the equivalent term in the Legal Services Act 2007. In relation to a BSB authorised body: has the meaning set out in the Legal Services Act 2007 (General Council of the Bar) (Modification of Functions) Order 2016 In relation to a BSB licensed body: means an individual who meets the requirements set out in paragraph 11 of Schedule 11 to the LSA and has been approved as a Head of Legal Practice by the BSB in accordance with section E of Part 3; NB: This definition is not the same as the equivalent term in the Legal Services Act 2007. Definition of ‘indirectly employed’ means employment by a non-authorised person that in turn is owned or controlled by one or more BSB authorised persons and indirect employment shall be construed accordingly Removed from 3 April 2017. Definition of ‘licensable body’ N/A – new provision Has the same meaning as set out in s. 72 LSA namely: (1) A body (“B”) is a licensable body if a person–
(6) “shares” means– (a) in relation to a body with a share capital, allotted shares (within the meaning of the Companies Acts); (b) in relation to a body with capital but no capital, rights to share in the capital of the body; (c) in relation to a body without capital, interests– (i) conferring any right to share in the profits, or liability to contribute to the losses, of the body, or (ii) giving rise to an obligation to contribute to the debts or expenses of the body in the event of a winding up; and references to the holding of shares, or to a shareholding, are to be construed accordingly. Definition of ‘licensed body’ a licensable body which has been granted a licence by a licensing authority to undertake reserved legal activities a licensable body which has been granted a licence by the Bar Standards Board or other licensing authority to undertake reserved legal activities Definition of ‘non-authorised individual’ means any individual who is not a BSB authorised individual or an authorised (non-BSB) individual but who is directly or indirectly employed by a Chambers, BSB legal services body and/or a licensed body, or a BSB authorised person means any individual who is not a BSB authorised individual or an authorised (non-BSB) individual but who is directly or indirectly employed by a Chambers, BSB legal services body and/or a licensed body, or a BSB authorised person
respectively where such partnership, limited liability partnership or company is a BSB authorised body (“BSB regulated managers”) and, to the extent that this Handbook is expressed to apply to them in their capacity as such, owners of a BSB authorised body (“BSB regulated owners”); .6 solely as regards provisions in this Handbook relating to disqualification from performing a relevant activity or relevant activities and not otherwise, any non-authorised individuals who are directly or indirectly employed by a BSB authorised person; and .7 solely as regards Section 4.B of the Handbook, students and approved training organisations. .8 and persons within paragraphs rI7.1 to rI7.5, when taken together, are referred to as “BSB regulated persons” throughout this Handbook, while persons in those categories when taken together with persons referred to in paragraph rI7.6 are referred to as “relevant persons”. For the avoidance of doubt, students, and approved training organisations are neither BSB regulated persons nor relevant persons. “BSB regulated persons” includes those who are subject to suspension. respectively such partnership, limited liability partnership or company is a BSB authorised body (“BSB regulated managers”) and, .6 to the extent that this Handbook is expressed to to them in their capacity as such, owners of a BSB authorised body (“BSB regulated owners”); BSB entity; .7 solely as regards provisions in this Handbook relating to disqualification from performing a relevant activity or relevant activities and not otherwise, any non-authorised individuals who are directly or indirectly employed by a BSB authorised person; and .8 solely as regards Section 4.B of the Handbook, students and approved training organisations. .9 and persons within paragraphs rI7.1 to rI7.57, when taken together (with the exception of pupils undertaking the first six months of pupillage, unregistered barristers and owners), are referred to as "BSB regulated persons" throughout this Handbook. For the purposes of Part 5 of the Handbook these persons (and those who are no longer BSB regulated persons or unregistered barristers but who were at the time when any conduct was complained of) are referred to as “applicable persons”. For the
review on his behalf whether or not he has asked you to. In either case, such an application for a review will only have been made once the Bar Standards Board has received the relevant fee for it. Committee using the form supplied for that purpose by the Bar Standards Board. Alternatively, you may lodge an application for review on his behalf whether or not he has asked you to. In either case, such an application for a review will only have been made once the Bar Standards Board has received the relevant fee for it. rS127 Any appeal to the High Court against a decision of the Qualification Committee must be lodged within 28 days from the date that the decision is notified to you. Any appeal to the High Court against a decision of the BSB must be lodged within 28 days from the date that the decision is notified to you. gS22 Examples of non-compliance include: .2 you are a BSB authorised body a individual is appointed as a manager of or otherwise acquires an ownership interest in such a practice .6 where you are a licensed body, your last remaining owner and/or manager who is a individual dies or otherwise leaves the practice. Examples of non-compliance include: .2 where you are a BSB entity (other than a BSB licensed body) a non-authorised individual is appointed as a manager of or otherwise acquires an ownership interest in such a practice, or where you are a licensable body and a non-authorised individual who is not a manager becomes an owner (for example on inheriting the interest from a manager who dies) .6 where you are a licensed body, your last remaining owner and/or manager who is a individual dies or otherwise leaves the practice. gS23 Examples of proposals that you may submit in order to rectify such non-compliance include: Examples of proposals that you may submit in order to rectify such non-compliance include:
Where the appropriate body is a person other than the Lord Chancellor or a Minister of the Crown, and where the PCC considers it inappropriate to refer the complaint to the appropriate body, or where the appropriate body refuses to deal with a complaint, the PCC must consider the complaint and, subject to rE25 below, direct it to be proceeded with in accordance with rE29 and following below. outcome of the complaint as soon as it has been dealt with; (b) where it appears that there is no appropriate body, or where the appropriate body refuses to deal with a complaint, the PCC may consider the complaint and direct it to be proceeded with in accordance with rE29 and following provisions below. .3 When the appropriate body has dealt with a complaint, or the PCC considers that the appropriate body has not dealt with a complaint within a reasonable time or fully or satisfactorily, the PCC may reconsider the complaint and shall consider any finding made and any action taken by the appropriate body and may direct that the complaint be proceeded with in accordance with rE29 and following below. .4 No direction shall be given under rE23.2(b) or rE23.3 above in respect of a complaint which the PCC considers to have arisen in substance from dissatisfaction or disagreement with anything decided, done or said by the applicable person in the proper exercise of their judicial or functions. rE24 If the appropriate body, having dealt with a complaint, believes that it may be appropriate for it to be considered further by the Bar Standards Board, the appropriate body may, subject to rE25 For the purposes of rE23 above, “quasi-judicial” refers to acting:
rE345 N/A new provision The Bar Standards Board may make an application for divestiture if the divestiture condition (as such term is defined in the Legal Services Act 2007) is satisfied in relation to such non-authorised person and a BSB licensed body (as the case may be). rE346 In circumstances where the Bar Standards Board elects to make an application for divestiture under rE345 above, such application shall be carried out in accordance with the provisions of the Legal Services Act 2007. Effective from 1 January 2017 Reference Previous Provision in the 2nd Edition of the BSB Handbook New Provision in the 2nd Edition of the BSB Handbook (New Text in Bold) rQ130 For the purpose of this Section 4.C: .1 “calendar year” means a period of one year staring on 1 January in the year in question; .2 the “mandatory requirements” are in Rules Q131 to Q136 below. For the purpose of this Section 4.C: .1 “calendar year” means a period of one year starting on 1 January in the year in question; .2 “continuing professional development” (“CPD”) means work undertaken over and above the normal commitments of a barrister and is work undertaken with a view to developing the
rQ132 Any practising barrister who starts to practice on or after 1 October 2001 must during the first three calendar years in which the barrister holds a practising certificate after any pupillage year complete a minimum of 45 hours of continuing professional development. Any practising NPP barrister who starts practice on or 1 October 2001 must during the first three calendar years in which the barrister holds a practising certificate after any pupillage year complete a minimum of 45 hours of CPD. gQ2 N/A – new provision. NPP barristers should have regard to rQ137 and the NPP guidance which will note the details of any compulsory courses the NPP barristers must complete. It also provides guidance as to the types of activities that count towards CPD. rQ133 Subject to Rule Q134, any barrister: .1 must, if he holds a practising certificate or certificates throughout the whole of any calendar year, complete a minimum of 12 hours of continuing professional development during that period; and .2 must, if he a practising certificate or certificate for part only of a calendar year, complete one hour of continuing professional development during that calendar year for each month for which he holds a practising certificate Subject to Rule Q136, any EPP barrister who holds a practising certificate or certificates during a calendar year must undertake CPD. rQ134 Rule Q133 does not .1 in the case of a barrister to whom Rule Q131 applies, to any calendar year forming or containing part of the period of 3 years referred to in Rule Q131; or .2 in the case of a barrister to whom Rule Q132 applies, during any pupillage year or during the An EPP barrister who is required to undertake CPD must: .1 prepare a written CPD Plan setting out the barrister's learning objectives and the types of CPD activities he or she proposes to undertake during the calendar year
.c there are no exceptional circumstances which would warrant no further action being taken on the complaint or the complaint being dismissed; and .c there are no exceptional circumstances which would warrant the complaint being dismissed; and Definition of ‘professional misconduct’ means a breach of this Handbook by a BSB regulated person which is not appropriate for disposal by way of no further action or the imposition of administrative sanctions, pursuant to Section 5.A means a breach of this Handbook by a BSB regulated person which is not appropriate for disposal by way of no further action or the imposition of administrative sanctions, pursuant to Section 5.A Effective from 1 August 2015 Reference Previous Provision in the 1st Edition of the BSB Handbook New Provision in the 2nd Edition of the BSB Handbook (New Text in Bold) gC93 The documents that you may be required to disclose pursuant to Rule C64 may include client information that is subject to legal privilege. It has been recognised in R v Special Commissioner and Another, Ex P Morgan Grenfell & Co Ltd ([2003] 1 A.C. 563) that the disclosure of a client’s privileged information to a legal regulator does not infringe the client’s right to privilege. This is because the information is not being sought for the purposes of making it public or to be used against the person entitled to the privilege. Note the difference where you are being required to report serious misconduct by others. In those circumstances, where legal professional privilege applies, this will override the requirement to report serious misconduct by another. Information which you are requested to disclose under Rule C64 may include client information that is subject to legal privilege. You are not entitled to disclose such information without the consent of the client. You may enquire whether your client is willing to waive privilege but should be alert to the possibility that you may have a conflict of interest in giving him any advice as to whether he should. The BSB will look at the question of privilege on a case by case basis. It will bear in mind in the exercise of its regulatory functions that a client might have been prepared to waive privilege if asked. Observations in R (Morgan Grenfell & Co Ltd) v Special Commissioner [2003] 1 A.C. 563 at [32], referred to in R (Lumsdon) v Legal Services Board [2013]