S.I. No. 798/2004 -- The Solicitors Acts, 1954 To 2002 Solicitors (Practising Certificate 2005) Regulations, 2004
STATUTORY INSTRUMENTS. |
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THE SOLICITORS ACTS, 1954 TO 2002 SOLICITORS (PRACTISING CERTIFICATE 2005) REGULATIONS, 2004. |
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THE SOLICITORS ACTS, 1954 TO 2002 SOLICITORS (PRACTISING CERTIFICATE 2005) REGULATIONS, 2004. |
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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 ), Section 82 of the Solicitors Act, 1954 and Section 22 (as substituted by Section 30 of the Solicitors (Amendment) Act, 1994 ) of the Solicitors (Amendment) Act, 1960 HEREBY MAKE the following Regulations: |
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Citation and commencement |
1. (a) These Regulations may be cited as The Solicitors Acts, 1954 to 2002 Solicitors (Practising Certificate 2005) Regulations, 2004. |
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(b) These Regulations shall come into operation on the 1st day of January 2005. |
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Definitions |
2. (a) In these Regulations, unless the context otherwise requires: |
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“applicant solicitor” means the solicitor the subject matter of an application; |
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“application” means an application delivered to the Registrar by an applicant solicitor for a practising certificate for the practice year, pursuant to Regulation 3 of these Regulations; |
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“Compensation Fund” means the fund maintained by the Society pursuant to sections 21 and 22 (as substituted, respectively, by sections 29 and 30 of the Solicitors (Amendment) Act, 1994 ) of the Solicitors (Amendment) Act, 1960 ; |
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“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 of the Society; |
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“practice year” means the calendar year ending on the 31st day of December 2005; |
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“practising certificate” means the certificate issued by the Registrar certifying that the solicitor named therein is entitled to practise as a solicitor during the practice year as and from the date of the certificate; |
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“Registrar” means the registrar of solicitors for the time being appointed pursuant to Section 8 of the Solicitors Act, 1954 ; |
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“Registration Fee” means the fee payable by a solicitor admitted to the Roll of Solicitors for three years or more on the 1st day of January 2005 or the fee payable by a solicitor admitted to the Roll for less than three years on the 1st day of January 2005; |
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“Roll” means the roll of solicitors maintained by the Registrar under Section 65 of the Solicitors (Amendment) Act, 1994 ; |
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“Society” means the Law Society of Ireland. |
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(b) Other words and phrases in these Regulations shall have the meanings assigned to them by the Solicitors Acts, 1954 to 2002. |
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(c) The Interpretation Act, 1937 applies to the interpretation of these Regulations as it applies to the interpretation of an Act of the Oireachtas. |
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Application for practising certificate. |
3. (a) An applicant solicitor shall deliver or cause to be delivered to the Registrar at the Society's premises at Blackhall Place, Dublin 7 before the 1st day of February 2005 an application which: |
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(i) shall be in the form as set out in the First Schedule to these Regulations; and |
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(ii) shall be duly completed and shall be signed by the applicant solicitor personally. |
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(b) The Registrar shall, on receipt of an application pursuant to clause (a) of this Regulation and on the Registrar being of opinion that there is or are no appropriate and reasonable ground or grounds for not doing so, cause to be issued to the applicant solicitor concerned a practising certificate which shall be dated either-- |
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(i) the 1st day of January 2005, where issued during the period beginning on the 1st day of January 2005 and ending on the 1st day of February 2005, or |
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(ii) the date on which it is issued, where issued after the 1st day of February 2005. |
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Where confirmation required of content of an application. |
4. (a) The Registrar, at any time following delivery to the Registrar by an applicant solicitor of an application (whether or not a practising certificate has been issued by the Registrar to the applicant solicitor pursuant to Regulation 3(b) of this Regulation), may, where the Registrar deems it appropriate and reasonable so to do, require the applicant solicitor to confirm in writing to the Society the accuracy of all or any specified part or parts of the application. |
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(b) Where, on receipt by the Society of a confirmation in writing from an applicant solicitor required by the Registrar pursuant to clause (a) of this Regulation, the Registrar deems it appropriate and reasonable so to do, the Registrar may require the applicant solicitor to attend before a meeting of the Compensation Fund Committee to further confirm the accuracy of all or any specified part or parts of his or her application. |
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Misconduct of knowingly furnishing false and misleading information. |
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. |
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Registration Fee and contribution to Compensation Fund. |
6. As and from the coming into operation of these Regulations, the Registration Fee together with the contribution to the Compensation Fund as specified in the Second Schedule to these Regulations shall be paid to the Society by an applicant solicitor on delivery to the Registrar of his or her application. |
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Fee for copy of entry on File A or File B. |
7. The fee payable to the Society by a person who applies to the Registrar, pursuant to Section 17 of the Solicitors (Amendment) Act, 1960 , for a copy of an entry on File A or File B shall be as specified in the Second Schedule to these Regulations. |
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Dated this 9th day of December 2004. |
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Signed on behalf of the Law Society of Ireland pursuant to Section 79 of the Solicitors Act, 1954 . |
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OWEN M. BINCHY |
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President of the Law Society of Ireland. |
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FIRST SCHEDULE |
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within referred to |
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FORM OF APPLICATION FOR A PRACTISING CERTIFICATE FOR THE PRACTICE YEAR ENDING 31st DECEMBER 2005 |
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THE LAW SOCIETY OF IRELAND |
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Blackhall Place, Dublin 7. |
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APPLICATION FOR A PRACTISING CERTIFICATE 2005* |
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(for the practice year ending 31st December 2005) |
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[Please tick if above name and address information is correct □, if not please amend as appropiate] |
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To: Registrar of Solicitors, Law Society of Ireland, Blackball Place, Dublin 7 |
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Section A -- General |
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(1) I was admitted as a solicitor in the ___________________________________ |
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(2) I am not required to hold a Practising Certificate by reason of being-- |
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(i) a solicitor in the full-time service of the State*; □ |
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or |
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(ii) a conveyancing-only solicitor employed by a non-solicitor*. □ |
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(3) (a) I am also admitted as a solicitor in the following external jurisdiction(s): |
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(b) I currently hold a certificate entitling me to practise as a solicitor in the following other jurisdiction(s): |
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(4) My current professional status |
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[Please tick as appropriate √] |
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Sole practitioner (i.e. practising as a sole principal in a solicitor's practice) □ |
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or |
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Partner in a solicitor's practice □ |
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or |
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Consultant solicitor in a solicitor's practice □ |
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or |
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Employed solicitor in a solicitor's practice □ |
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or |
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Solicitor employed by a non-solicitor (e.g. financial institution, commercial entity, statutory body) □ |
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or |
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Locum (solicitor intending only to practise on short-term contract or employment basis) □ |
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or |
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Other [please specify] □ |
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If your professional status has changed during the practice year 2004 please provide the date of any such change _________________________ |
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(5) Particulars of practice: |
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(a) Name of managing partner/solicitor-in-charge of practice: |
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__________________________________________________________________ |
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(b) Other Practice address(es): ____________________________________________ |
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[Please tick if above particulars of practice information are correct □, if not please amend as appropriate] |
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[*See notes on page 8] |
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(6) Questions of the Registrar of Solicitors to be answered by each applicant for a practising certificate, pursuant to the Solicitors Acts, 1954 to 2002. |
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(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.] |
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I did not hold a Practising Certificate since the practice year ended 31st December __________ for the following reason(s): ___ |
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________________________________________________________________________ |
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________________________________________________________________________ |
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Section B -- Solicitors’ Accounts Regulations, 2001 ( S.I. No. 421 of 2001 , Regulation 21) |
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[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.] |
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Part I: |
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(a) The last reporting accountant's report furnished to the Society was for the accounting period ending on the _______________ day of _______________ 200 _________. |
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(b) The name and address of my reporting accountant(s) is (are): |
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____________________________________________________________________ |
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____________________________________________________________________ |
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____________________________________________________________________ |
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(c) [If a reporting accountant's report has never been furnished to the Society] |
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Date of commencement in practice: ___________________________________________ |
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N.B. Please note that a reporting accountant's report must be furnished to the Society not later than six months after the end of your annual accounting period. |
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OR |
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[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.] |
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Part II: |
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I declare that I have not handled clients’moneys at any time during the practice year 2004, except on behalf of my employer. |
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Part II of Section B applies to me and I so declare. YES □ |
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[Please tick box, if appropriate] |
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Section C -- Professional Indemnity Insurance |
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[This Section must be completed to comply with The Solicitors Acts, 1954 to 2002 (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 , S.I. No. 504 of 2001 and S.I. No. 115 of 2004 . 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.] |
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Part I: |
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(a) Name of Professional Indemnity Insurer: ________________________ |
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(b) Date of commencement of current period of Professional Indemnity cover: ______________________________________________________ |
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(c) Date of expiration of current period of Professional Indemnity cover: ______________________________________________________ |
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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 ** 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 2005. |
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OR |
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Part II: |
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[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.] |
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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. |
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[Please tick box, if appropriate] |
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[** Within the meaning of S.I. No. 312 of 1995 ] |
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[*** Within the meaning of the Solicitors Acts, 1954 to 2002] |
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[N.B. Section D, Part I or Part II, Applies to all Applicants for a Practising Certificate] |
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Section D -- Investment Business Services or Investment Advice |
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[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 1 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 ****)] |
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Part I |
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I hereby UNDERTAKE that: |
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(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; |
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(b) I will not hold myself out as being an investment business firm or an insurance intermediary; |
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(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: |
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(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 |
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(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 |
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(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 |
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(d) if at any time during the course of the practice year ending on 31st December 2005 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 ). |
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Part 1 of Section D applies to me and I so undertake. |
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[Please tick box, if appropriate] YES □ |
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OR |
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(see next page) |
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****Text of Investor Compensation Act, 1998, Section 47(1)(a) and (b) |
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“(a) A solicitor in respect of whom a practising certificate (within the meaning of the Solicitors Acts, 1954 to [2002] is in force shall be an investment business firm-- |
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(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 |
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(ii) where the solicitor holds himself or herself out as being an investment business firm, or |
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(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-- |
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(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 |
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(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 |
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(III) a manager of a collective investment undertaking authorised to market units in collective investments to the public, |
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which is situate in the State or the relevant branch of which is situate in the State, |
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and shall be required to be authorised as an authorised investment business firm pursuant to the provisions of the [Investment Intermediaries Act,] 1995. |
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(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.” |
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Part II |
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1. I am a solicitor WHO-- |
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(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 |
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(b) holds himself/herself out as being an investment business firm, or |
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(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-- |
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(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 |
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(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 |
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(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, |
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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 , (as amended by the Investor Compensation Act 1998 ), 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. |
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2. I attach herewith evidence in writing: |
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(a) either-- |
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(i) of having been authorised by the Central Bank of Ireland as an authorised investment business firm; |
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or |
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(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; |
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(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; |
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(c) of having in place, valid and irrevocable for at least the duration of the practice year ending on 31st December 2005, 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-- |
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(i) the Compensation Fund as provided for in accordance with section 21 (as substituted by section 29 of the Solicitors (Amendment Act, 1994), of the Solicitors (Amendment) Act, 1960 , |
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and |
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(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 , S.I. No. 504 of 2001 and S.I. No. 115 of 2004 made by the Society under section 26 of the Act of 1994. |
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Part II of Section D applies to me and I enclose evidence in writing, as requested. |
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SECTION E -- DATA PROTECTION STATEMENT |
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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. |
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The personal data about a solicitor as set out in the annual Law Directory may be used by the Society for administration, management, marketing and professional development purposes, as well as in pursuance of the Society's regulatory functions. Apart from its publication in the annual Law Directory, other examples of the actual or possible uses of such personal data relating to a solicitor are the following: |
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■ the circulation of the Society's Gazette to a solicitor member of the Society, which may include or be accompanied by commercially-related material; |
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■ the reference to a solicitor in the Register of Practising Solicitors or in the records of professional indemnity insurance cover maintained by the Society; |
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■ the reference to a solicitor on the Society's website; |
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■ 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; |
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■ 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; |
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■ 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 marketing or professional development purposes. |
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■ the provision by the Society of the practice address and/or e-mail address of a solicitor to third party non-commercial entities, e.g. the Bar Associations, which provide useful information to the profession. |
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NOTE: |
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(i) If you do not wish to be informed of commercial products or services by post or e-mail directly by third party commercial entities please tick [√] the box immediately below: |
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I do not wish to be informed of commercial products or services by post or e-mail directly from third party commercial entities □ |
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(ii) You have the right to request in writing 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. |
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N.B. This application must be duly completed and dated and personally signed by the applicant. If details are omitted from the application, it could be returned to the applicant, which could result in a delay in the issuing of a practising certificate to the applicant. |
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PRACTICE YEAR ENDING 31ST DECEMBER 2005 |
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Registration Fee, Compensation Fund Contribution, Membership Subscription, Solicitors’ Benevolent Association Contribution and Free Legal Advice Centres Contribution. |
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NOTES |
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1. This application must be duly completed by a solicitor engaged (or intending to engage) during the practice year ending 31st December 2005 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]. |
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2. The practice year coincides with the calendar year. This application must be received by the Registrar at the Society's premises Blackhall Place, Dublin 7 on or before Tuesday 1st February 2005 in order for the practicing certificate to be dated 1st January 2005 and thereby to operate as a qualification to practise from the commencement of the practice year 2005. A Practising Certificate issued after the 1st February 2005 must [under Section 48, as amended by Section 55 of the Solicitors (Amendment) Act, 1994 , of the Solicitors Act, 1954 ] bear the date on which the application is actually received by the Registrar. In April 2005, a listing of solicitors holding Practising Certificates as at 31st March 2005 will be forwarded to each County Registrar, District Court Clerk, Taxing Master and Bar Association. |
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3. The Registration Fee and the Compensation Fund Contribution are required to be paid by each applicant for a Practising Certificate. |
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4. A solicitor admitted during the practice year commencing 1st January 2005 and, if applying for his/her first Practising Certificate during that practice year, may calculate the Registration Fee and 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 €20. |
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5. Payment of the Membership Subscription and/or the Solicitors’ Benevolent Association Contribution and/or the Free Legal Advice Centres Contribution is/are not a condition(s) 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. |
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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. |
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SECOND SCHEDULE |
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within referred to |
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