S.I. No. 625/2006 - The European Communities (Lawyers' Establishment) Regulations, 2003 (Qualifying Certificate 2007) Regulations, 2006

S.I. No. 625/2006 - The European Communities (Lawyers' Establishment) Regulations, 2003 (Qualifying Certificate 2007) Regulations, 2006 2006 625

STATUTORY INSTRUMENT

S.I. No.625 of 2006

The European Communities (Lawyers' Establishment) Regulations, 2003 (Qualifying Certificate 2007) Regulations, 2006

THE EUROPEAN COMMUNITIES (LAWYERS' ESTABLISHMENT) REGULATIONS, 2003 (QUALIFYING CERTIFICATE 2007) REGULATIONS, 2006

The Law Society of Ireland, in exercise of the powers conferred on them by the European Communities (Lawyers' Establishment) Regulations, 2003 ( S.I. No. 732 of 2003 ) HEREBY MAKE the following Regulations:

Citation and commencement

1. (a) These Regulations may be cited as The European Communities (Lawyers' Establishment) Regulations, 2003 (Qualifying Certificate 2007) Regulations, 2006.

(b) These Regulations are intended to give effect to the Lawyers' Establishment Directive as provided for in the 2003 Regulations.

Definitions

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

“applicant registered lawyer” means the registered lawyer the subject matter of an application;

“application” means the application delivered to the Registrar by an applicant registered lawyer for a qualifying certificate for the practice year, pursuant to Regulation 3 of these Regulations;

“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 ;

“Regulation of Practice 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;

“lawyer” means any person who is an Irish citizen or a national of a member state and who is authorised to pursue his or her professional activities in a member state under any of the professional titles specified in the Schedule to the 2003 Regulations.

“Lawyers' Establishment Directive” means Directive 98/5/EC of the European Parliament and of the Council of 16 February 1998 to facilitate practice of the profession of lawyer on a permanent basis in a member state other than that in which the qualification was obtained and includes –

(i) a measure which is in force by virtue of the Agreement between the European Community and its member states, of the one part, and the Swiss Confederation, of the other, on the free movement of persons done at Luxembourg on 21 June 1999; and

(ii) the Decision of the EEA Joint Committee No 85/2002 of 25 June 2002 amending Annex VII (Mutual Recognition of Professional Qualifications) to the EEA Agreement and having an effect corresponding to that of the Directive;

“member state” means:

(i) a contracting party (other than the State) to the EEA Agreement [being the Agreement on the European Economic Area signed in Oporto on 2 May 2002, as adjusted by the Protocol to that Agreement done at Brussels on 17 March 1993] or,

(ii) the Swiss Confederation,

and, where appropriate, means more than more than one member state;

“practice year” means the calendar year ending on the 31^st day of December 2007;

“qualifying certificate” means a certificate issued by the Registrar to a lawyer in accordance with Regulation 8 of the 2003 Regulations certifying that the lawyer is qualified to pursue the professional activities of a solicitor;

“Register of Registered Lawyers” means the register established under Regulation 7 of the 2003 Regulations;

“registered lawyer” means a lawyer in respect of whom a registration certificate is in force;

“Registrar” means the registrar of solicitors for the time being appointed pursuant to Section 8 of the Solicitors Act, 1954 ;

“registration certificate” means a certificate issued by the Society to a lawyer in accordance with Regulation 6 of the 2003 Regulations;

“Registration Fee” means the fee payable by a registered lawyer admitted to the Register of Registered Lawyers for three years or more on the 1^st day of January 2007 or the fee payable by a registered lawyer admitted to the Register of Registered Lawyers for less than three years on the 1^st day of January 2007;

“Society” means the Law Society of Ireland, as the competent authority provided for in Regulation 4 of the 2003 Regulations;

“2003 Regulations” means the European Communities (Lawyers' Establishment) Regulations, 2003 ( S.I. No.732 of 2003 ).

(b) Other words and phrases in these Regulations shall have the meanings assigned to them by the Solicitors Acts, 1954 to 2002 or the Lawyers' Establishment Directive or the 2003 Regulations.

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

Application for qualifying certificate

3. (a) An applicant registered lawyer shall deliver or cause to be delivered to the Registrar at the Society's premises at Blackhall Place, Dublin 7 on or before the 1^st day of February 2007 an application which:

(i) shall be in the form as set out in the First Schedule to these Regulations; and

(ii) shall be duly completed and shall be signed by the applicant registered lawyer personally.

(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 registered lawyer concerned a qualifying certificate which shall be dated either -

(i) the 1^st day of January 2007, where issued during the period beginning on the 1^st day of January 2007 and ending on the 1^st day of February 2007, or

(ii) the date on which it is issued, where issued after the 1^st day of February 2007.

Where confirmation required of content of an application

4. (a) The Registrar, at any time following delivery to the Registrar by an applicant registered lawyer of an application (whether or not a qualifying certificate has been issued by the Registrar to the applicant registered lawyer pursuant to Regulation 3(b) of this Regulation), may, where the Registrar deems it appropriate and reasonable so to do, require the applicant registered lawyer to confirm in writing to the Society the accuracy of all or any specified part or parts of the application.

(b) Where, on receipt by the Society of a confirmation in writing from an applicant registered lawyer 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 registered lawyer to attend before a meeting of the Regulation of Practice Committee to further confirm the accuracy of all or any specified part or parts of the application.

Misconduct of knowlingly furnishing false and misleading information

5. An applicant registered lawyer 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.

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 registered lawyer on delivery to the Registrar of his or her application.

Date this 14^th day of December 2006

Signed on behalf of the Law Society of Ireland pursuant to Section 79 of the Solicitors Act, 1954 .

PHILIP JOYCE

President of the Law Society of Ireland

FIRST SCHEDULE

within referred to

FORM OF APPLICATION FOR A QUALIFYING CERTIFICATE FOR THE PRACTICE YEAR ENDING 31^ST DECEMBER 2007

THE LAW SOCIETY OF IRELAND

Blackhall Place, Dublin 7.

APPLICATION FOR A QUALIFYING CERTIFICATE 2007^*

(for the practice year ending 31^st December 2007)

NAME:___________________________________________________

NAME OF FIRM/ORGANISATION:____________________________

PRINCIPAL PRACTICE/ORGANISATION ADDRESS:

_________________________________________________________

To: Registrar of Solicitors, Law Society of Ireland, Blackhall Place, Dublin 7.

SECTION A - GENERAL

(1) (a) My nationality is: _______________________________________

(b) My home member state is: ________________________________

(2) I was first admitted to the Register of Registered Lawyers in the State^** on the ______________200___

This application constitutes part of my application to be admitted to the Register of Registered Lawyers in the State^** as well as an application for a qualifying certificate for the practice year ending 31^st December 2007 □

(3) I am not required to hold a qualifying certificate by reason of being -

i) a registered lawyer in the full-time service of the State^* □ or

ii) a conveyancing-only registered lawyer employed by a non-solicitor^* □

(4) My current professional status is:

[Please tick [✓] as appropriate]

(a) in the State □

and/or

(b) in my home member state of __________________________ □

is as a -

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

Partner in a registered lawyer's practice □

Partner in a solicitor's practice □

Consultant registered lawyer in a registered lawyer's practice □

Consultant registered lawyer in a solicitor's practice □

Employed registered lawyer in a registered lawyer's practice □

Employed registered lawyer in a solicitor's practice □

Registered lawyer in the full-time service of the State □

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

Registered lawyer employed by an independent law centre^** □

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

Other [please specify] □

[Note: If your professional status has changed during the practice year 2006 please provide the date of such change ______________________________________ 2006]

(5) Particulars of practice in the State and/or in home member state:

(a) Name of managing partner/solicitor/registered lawyer-in-charge: ________________________

(b) Name(s) of any other practice(s) than that noted above: ______________________________

[^*** within the meaning S.I. No. 103 of 2006 ]

(6) QUESTIONS OF THE REGISTRAR OF SOLICITORS TO BE ANSWERED BY EACH APPLICANT FOR A QUALIFYING CERTIFICATE, WHETHER REFERRABLE TO THE PERIOD IN THE STATE OR IN ANY OTHER JURISDICTION.

[A registered lawyer applying for his/her first qualifying certificate and a Registered Lawyer to whom Section A(3) of this application applies should answer each of the questions].

(a)	Has the last Qualifying Certificate issued to you been suspended or issued subject to conditions or been endorsed with conditions?	Yes □	No □
(b)	Since the last Qualifying Certificate issued to you, have you failed to comply with the Solicitors Acts, 1954 to 2002 or with any order or regulation made thereunder, including the Solicitors Accounts Regulations, 2001/2005?	Yes □	No □
(c)	Since the last Qualifying Certificate issued to you, have you failed to comply with any legislation or with any order, direction or regulation in respect of your practice as a lawyer in any other jurisdiction?	Yes □	No □
(d)	Since the last Qualifying Certificate issued to you, have you been notified by any body governing your practice as a lawyer that you have failed to exercise adequate personal supervision over any office or place of business?	Yes □	No □
(e)	Since the last Qualifying Certificate issued to you, have you been notified by any body governing your practice as a lawyer that you have failed to give an explanation which that body regards as sufficient and satisfactory in respect of any matter affecting your conduct?	Yes □	No □
(f)	Since the last Qualifying Certificate issued to you, has an order of attachment or committal been made against you?	Yes □	No □
(g)	Since the last Qualifying Certificate issued to you, have you been adjudicated bankrupt?	Yes □	No □
(h)	Since the last Qualifying Certificate issued to you, have you failed to comply with any order(s) of any court(s)?	Yes □	No □
(i)	Since the last Qualifying Certificate issued to you, have you failed to comply with any determination, requirement or direction of any body governing your practice as a lawyer in any other jurisdiction?	Yes □	No □
(j)	Since the last Qualifying Certificate issued to you, have you been sentenced to a term of imprisonment?	Yes □	No □
(k)	Have you failed to satisfy any body governing your practice as a lawyer that you are fit to carry on practice as a lawyer, having regard to the state of your physical or mental health?	Yes □	No □
(l)	Since the last Qualifying Certificate issued to you, have you failed to satisfy any body governing your practice as a lawyer that, having regard to all the circumstances, including the financial state of your practice, you should be permitted to carry on practice as a lawyer or, that you should only be permitted to carry on practice as a lawyer subject to a specified condition or conditions?	Yes □	No □
(m)	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 □
(n)	Is this application by you for a Qualifying Certificate following upon the expiration of a period of suspension from practice?	Yes □	No □
(o)	Is this application by you for a Qualifying Certificate following upon any order permitting your re-admission as a lawyer by any body governing your practice as a lawyer?	Yes □	No □

SECTION B - Solicitors' Accounts Regulations, 2001/2006

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

Part I:

(a) The last reporting accountant's report furnished to the Society was for the accounting period ending on the ________________ day of ______________ 200 ____.

(b) The name and address of my reporting accountant(s) is (are):_______________________________

_________________________________________________________________________________

(d) [If a reporting accountant's report has never been furnished to the Society] Date of commencement in practice:________________________ 200_____.

[Note: A reporting accountant's report must be furnished to the Society not later than six months after the end of your annual accounting period.]

[The declaration set out in Part II of this Section (immediately below) should be ticked by an employed applicant lawyer in private practice, or by an applicant lawyer employed by a non-solicitor/registered lawyer, who has not handled clients' moneys during the practice year 2006 other than 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 practice year 2006, other than on behalf of my employer.

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

[Please tick [✓] 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, to 2005. Part I of this Section must be completed by a lawyer other than a lawyer 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:__________________________

(d) Has a certificate from your qualified insurer ^***** (or broker) been furnished to the Society certifying the conditions and extent of your professional indemnity cover until at least the end of practice year 2007?_______________

(e) If your cover is not with an qualified insurer, have you furnished evidence that you are covered wholly or partially by insurance taken out or a guarantee provided in accordance with the rules of your home member state against any losses arising from claims in respect of your professional activities in the State until at least the end of practice year 2007 which is equivalent to the conditions and extent of cover required to be provided in that respect by solicitors practising in the State?

Yes, wholly covered □ [If yes, please complete Section D]

Yes, partially covered □ [If yes, please complete Section D]

No □

(f) If the equivalence of your cover (provided in accordance with the rules of your home member state) is only partial, have you furnished evidence that the additional cover required until at least the end of practice year 2007 has been obtained from an approved insurer:

Yes □

No □

I CONFIRM that the particulars set out above relating to my professional indemnity cover are correct at the date of this application: AND [if applicable] (where confirmation of professional indemnity cover has not been furnished before or with this application) I UNDERTAKE that I will 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) or (d) and (e) above) or the date of this application (whichever is the earlier), confirmation from an approved insurer or from some other insurer or guarantor in my home member state of there being in force relating to me in the State the minimum level of cover [i.e. €2,500,000 each and every claim] for the practice year 2007.

Part II:

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

I declare that it is my intention only to practise as a registered lawyer employed full-time within the State to provide legal services ^****** (or conveyancing services ^****** only) to and for my employer who is not a solicitor/registered lawyer AND I further declare that, for the duration of practice year 2007, 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 declare. Yes □

[Please tick [✓] if appropriate]

SECTION D - ADDITIONAL INFORMATION CONCERNING PROFESSIONAL INDEMNITY COVER

[Additional information to be furnished to the Society concerning professional indemnity cover to be provided by an applicant lawyer who is submitting to the Society that he or she is covered wholly or partially by insurance taken out or a guarantee provided in accordance with the rules of the applicant's home member state against any losses arising in respect of the applicant's professional activities in the State.]

1. Address of where you currently pursue or (if not currently) last pursued the professional activities of a lawyer in your home member state:_____________________________________________________________

________________________________________________________________________________________

2. Name and address of the professional governing body regulating your activities as a lawyer in your home member state:

________________________________________________________________________________________

3. Structure of how you have pursued or propose to pursue your professional activities as a lawyer -

(a) In your home member state [please tick [✓] as appropriate]:

(i) Individual in private practice? Yes □

No □

(ii) Firm? Yes □

No □

(iii) Under what type of legal entity? (i.e. whether unincorporated or incorporated):________________

__________________________________________________________________________

(iv) In partnership with non-lawyers? Yes□ No□

If yes, furnish the respective names and professions of the non-lawyers concerned:_____________

__________________________________________________________________________

(b) In the State, at present or proposed:

(i) Individual in private practice? Yes □

No □

(ii) Firm? Yes □

No □

(iii) Under what type of legal entity? _______________________________________

__________________________________________________________________________

4. Details of any existing professional indemnity cover in your home member state:

(a) Do you currently have professional indemnity cover? Yes □

No □

(b) [If the answer to (a) is Yes]

(i) What are the financial limits of such cover?__________________________

(ii) Is the cover for each and every claim or is it on an annual aggregate basis, or is there both a limit on the cover for each and every claim and an annual aggregate limit?

_________________________________________________________________

(iii) Is there separate cover for legal defence costs? If Yes □ No □, is this cover within the overall limit of the indemnity cover?_________________________________________________________

(iv) What is the level of the self-insured retention?______________________________________

Does it apply to legal defence costs? Yes □ No □

(v) Is the cover on the basis of when a claim is first brought to your attention (“claims-made basis”) or, alternatively, is it when the alleged occurrence complained of takes place (“date of occurrence basis”)?____________________________________________________

(vi) For how long does the cover continue (i.e. run-off cover) after you cease to practice as a lawyer?

___________________________________________________________________________

(vii) Does the cover extend to you as an individual in private practice in the State?

(viii) Does the cover extend to your firm's practice in the State?

Yes □

No □

(ix) Does the cover extend to all legal entities through which the firm is practising in the State?

Yes □

No □

(x) Does the cover extend to all activities permitted under Article 5 of Directive 98/5/EC to a lawyer from your home member state who is established in state, including the State, (practice of international law european law, home and host law)? Yes □ No□

If no, to what activities does it extend?______________________________________________

___________________________________________________________________________

(xi) Are there any restrictions or limitations on the scope of the cover if a claim is brought in the courts of the State?____________________________________________________________________

(xii) What are the exclusions in the cover in your home member state? [Please list all exclusions mentioned on your insurance policy or guarantee or attach the relevant part of your policy or guarantee conditions ]

___________________________________________________________________________

5. [If deemed appropriate by the applicant] Any further details or comments concerning professional indemnrty insurance cover in respect of your proposed pursuance of the professional activities of a solicitor in the State:________________________________________________________________________________________

______________________________________________________________________________________________

[NOTE: SECTION E, PART I OR PART II, APPLIES TO ALL APPLICANTS FOR A QUALIFYING CERTIFICATE]

SECTION E - 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 to 2001 ( 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 lawyer other than a lawyer to whom Part II of this section applies. Part II applies to a lawyer who is an investment business firm or who is an insurance intermediary in one or more of the circumstances set forth in Section 47(1)(a) or (b) of the Investor Compensation Act, 1998 (set out below^****** )]

Part I

I hereby UNDERTAKE that:

(a) I will not provide investment business services (including acting as an insurance intermediary) or investment advice to clients or, if I do so, I will do so only when 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;

(c) If I provide investment business services or investment advice to clients incidental to the provisions 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 10^th 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 12^th December 1977 and 89/646/EEC of 15^th 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

(d) if at any time during the course of the practice year ending on 31^st December 2007 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 to 2001 ( S.I. No. 439 of 1998 as amended by S.I. No. 504 of 2001 ).

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

[Please tick [✓] if appropriate] Yes □

OR [see page 7]

SECTION E - INVESTMENT BUSINESS SERVICES OR INVESTMENT ADVICE (CONTINUED)

Part II

1. I am an applicant for a qualifying certificate as a lawyer 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 or 12^th December 1977 and 89/646/EEC of 15^th 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 , (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 Irish Financial Services Regulatory Authority and The Investor Compensation Company Limited of that fact.

2. I attach herewith evidence in writing:

(a) either -

(i) of having being authorised by the Irish Financial Services Regulatory Authority as an authorised investment business firm;

(ii) of having informed the Irish Financial Services Regulatory Authority 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 31^st December 2007, a bond or bank guarantee and a policy of insurance, each acceptable to the Society, by way of providing indemnity against loses 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 registered lawyer (in respect of whom a qualifying 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 (as substituted by section 29 of the Solicitors (Amendment) Act, 1994 ) of the Solicitors (Amendment) Act, 1960 , and

(ii) the minimum level of cover as provided for in accordance with The Solicitors Acts, 1954 to 1994 (Professional Indemnity Insurance) Regulations, 1995 to 2005 made by the Society under section 26 of the Solicitors (Amendment) Act, 1994 .

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

[Please tick [✓] if appropriate] Yes □

SECTION F - DATA PROTECTION STATEMENT

It is necessary for the Society to collect and record certain personal data relating to each holder of a qualifying certificate [“such holder”], 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 such holder 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. This may include the provision of data to insurers providing professional indemnity cover and brokers arranging such cover.

The personal data about such holder 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 such holder are the following:

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

• the reference to such holder in the records maintained by the Society;

• the reference to such holder 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 such holder as part of a mailing list or a set of address labels;

• the furnishing of information relating to the good standing of such holder, when requested, to Irish governmental agencies or to foreign governmental agencies (including governmental agencies outside the European Union) or to commercial entitles or to individual members of the public, including information recorded in the records maintained by the Society;

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

• The provision by the Society of the practice address and/or e-mail address of such holder to third party non-commercial entities, e.g. Bar Associations, which provide useful information to the profession.

NOTE:

(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:

I do not wish to be informed of commercial products or services by post or e-mail directly from third party commercial entities □

(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.

	I hereby declare that the particulars set out in Sections A, B, C and D 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 E;
	OR
	(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 E 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 F.
	[Please delete (A)(i) or (ii), as appropriate.]
	Dated this_________day of________________2006/2007.
	Name (block letters):__________________________________________
	Signature:___________________________________________________


	Membership of the Society
	I hereby apply for membership of the Society as a registered lawyer holding a qualified certificate for the practice year 2007.
	Signature:___________________________

	Enclosed remittance [see amounts set out on page 10]
	[Please tick [✓] as appropriate]
	Registration Fee	□
	Compensation Fund Contribution	□
	Membership Subscription	□
	Solicitors' Benevolent Association Contribution	□
	Free Legal Advice Centres Contribution	□
	Community Law Centres Contribution	□
	Total of enclosed remittance	€

[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 for due completion and re-submission to the Registrar of Solicitors, which could result in a delay in the issuing of a qualifying certificate to the applicant.]

PRACTICE YEAR ENDING 31ST DECEMBER 2007

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

	FEES PAYABLE^✻
	€
Registration Fee (including €127 for Education Centre)	1,146
Compensation Fund Contribution	400
[See notes 3 & 4, below]	1,546
Membership Subscription	55
[See notes 4 & 5, below]	1,601
Solicitors' Benevolent Association Contribution	25
Free Legal Advice Centres Contribution	15
Community Law Centres Contribution	15
[See note 5, below]
TOTAL	€1,656

[✻payable by a lawyer admitted to the Register of Registered Lawyers for less than three years on the 1^st day of January 2007]

NOTES

1. This application must be duly completed by an applicant lawyer seeking a registered lawyer's qualifying certificate who is intending to engage in the State during the practice year ending 31^st December 2007 in the provision of legal services, whether as a sole practitioner or as a partner in a solicitor's or registered lawyer's practice or as an employee of any solicitor or registered lawyer or of any other person or body, including an applicant who does not require a qualifying certificate by reason of being a lawyer 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 lawyer employed full-time in the State to provide conveyancing services only to and for his/her non-solicitor or non-registered lawyer employer [section 56, Solicitors (Amendment) Act, 1994 ].

2. The practice year coincides with the calendar year. A Qualifying Certificate must be received by the Registrar at the Society's premises at Blackhall Place, Dublin 7 on or before Thursday, 1st February 2007 in order for the qualifying certificate to be dated 1st January 2007 and thereby to operate as a qualification to practise from the commencement of the practice year 2007. A Qualifying Certificate issued after the 1^st February 2007 must [under Section 45 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 2007, a listing of registered lawyers holding Qualifying Certificates as at 31st March 2007 will be forwarded to each County Registrar, District Court Clerk, Taxing Master and Bar Association

3. The Registration Fee and the Compensation Fund Contribution are required to be paid by each applicant lawyer seeking a registered lawyer's qualifying certificate.

4. An applicant lawyer applying for his/her first qualifying certificate during the practice year 2007 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 application; and the registered lawyer a membership subscription in respect of that practice year (or part thereof) shall be at the reduced rate of €20

5. Payment of the Membership Subscription and/or the Solicitors' Benevolent Association Contribution and or the Free Legal Advice Centres Contribution and/or a contribution to the Community Law Centres 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. The new voluntary contribution to Community Law Centres will be allocated to the Ballymun Community Law Centre and the Northside Community Law Centre.

SECOND SCHEDULE

within referred to

		EURO
(a)	Registration Fee for the practice year ending on the 31^st day of December 2007 payable to the Society on application for a qualifying certificate by an applicant registered lawyer admitted to the Register of Registered Lawyers three years or more on the 1^st day of January 2007:	€1,441
(b)	Registration Fee for the practice year ending on the 31^st day of December 2007 payable to the Society on application for a qualifying certificate by an applicant registered lawyer originally admitted to the Register of Registered Lawyer for less than three years on the 1^st day of January 2007:	€1,146
(c)	Contribution to the Compensation Fund for the practice year ending on the 31^st day of December 2007 payable to the Society on application for a qualifying certificate by an applicant registered lawyer.	€400

[* See notes on page 10]

[** meaning the Republic of Ireland]

[* See notes on page 10]

[** meaning the Republic of Ireland]

[****Within the meaning of S.I. No. 719 of 2005]

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

[******Within the meaning of the Solicitors Acts, 1954 to 2002]

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

“(a) A [registered lawyer in respect of whom a qualifying certificate] is in force shall be an investment business firm-

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

(ii) where [such lawyer] 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, [such lawyer] 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 [registered lawyer, in respect of whom a qualifying certificate] 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 [Irish Financial Services Regulatory Authority] and [The Investor Compensation Company Limited] that he or she is an investment firm for the purposes of this Act.”

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Irish Statutory Instruments

S.I. No. 625/2006 - The European Communities (Lawyers' Establishment) Regulations, 2003 (Qualifying Certificate 2007) Regulations, 2006