The BSB Handbook

rS6

You must not carry on any reserved legal activity unless you are entitled to do so under the LSA.

rS7

You must not permit any third party who is not authorised to provide reserved legal activities to provide such reserved legal activities on your behalf.

rS8

If:

.1 you are an individual and do not have a practising certificate; or

.2 you are an entity and you have not been authorised or licensed to provide reserved legal activities in accordance with Section 3.E, then:

.a you may not practise as a barrister or a registered European lawyer or as a BSB entity (as appropriate); and

.b you are not authorised by the Bar Standards Board to carry on any reserved legal activity.

rS9

For the purposes of this Handbook, you practise as a barrister or a registered European lawyer, or a BSB entity if you are supplying legal services and:

.1 you are an individual and you hold a practising certificate; or

.2 you hold yourself out as a barrister or a registered European lawyer (as appropriate) or

.3 you are an entity and you have been authorised or licensed to provide reserved legal activities in accordance with Section 3.E; or

.4 you act as a manager of, or have an ownership interest in, an authorised (non-BSB) body and as such you are required by the rules of that body’s Approved Regulator to hold a practising certificate issued by the Bar Standards Board (as the case may be).

rS10

For the purposes of this Section 3.B1 any reference to the supply of legal services includes an offer to supply such services.

rS11

Rule rS9.1 above does not apply to you if you are a pupil without a provisional practising certificate if and insofar as you accept a noting brief with the permission of your pupil supervisor or head of chambers or HOLP.

rS12

If you are an unregistered barrister or registered European lawyer but do not hold a practising certificate and you supply legal services in the manner provided for in Rules rS13, rS14 and rS15 below, then you shall not, by reason of supplying those services:

.1 be treated for the purposes of this Section B of Part 3 as practising barrister or a registered European lawyer; or

.2 be subject to the rules in Part 2 of this Handbook or the rules in this Section 3.B which apply to practising barristers.

rS13

Rule rS12 applies to you if and insofar as:

.1 you are practising as a foreign lawyer; and

.2 you do not:

(a) give advice on English Law; or

(b) supply legal services in connection with any proceedings or contemplated proceedings in England and Wales (other than as an expert witness on foreign law).

rS14

Rule rS12 applies to you if:

.1 you are authorised and currently permitted to carry on reserved legal activities by another Approved Regulator; and

.2 you hold yourself out as a barrister or a registered European lawyer (as appropriate) other than as a manager or employee of a BSB entity; and

.3 when supplying legal services to any person or employer for the first time, you inform them clearly in writing at the earliest opportunity that you are not practising as a barrister or a registered European lawyer.

rS15

Rule rS12 applies to you provided that:

.1 you supplied legal services prior to 31 March 2012 pursuant to paragraph 206.1 or 206.2 of the 8th Edition of the Code; and

.2 if you supply any legal services in England and Wales, you were called to the Bar before 31 July 2000; and

.3 before 31 March in each year, and promptly after any change in the details previously supplied to the Bar Standards Board, you provide in writing to the Bar Standards Board, details of the current address(es) with telephone number(s) of the office or premises from which you do so, and:

(a) if you are employed, the name, address, telephone number and nature of the practice of your employer; or

(b) if you are an employee or manager of, or you have an ownership interest in, a regulated entity, the name, address, email address, telephone number and the name of the regulated entity and its Approved Regulator; and

.4 unless you only offer services to your employer or to the regulated entity of which you are a manager or an employee or which you have an ownership interest in, you are (or, if you are supplying legal services to clients of your employer or regulated entity of which you are an owner, manager or an employee, your employer or such body is) currently insured in accordance with the requirements of Rule C76r and you comply with the requirements of Section 2.D4.

rS16

You may only carry on reserved legal activities or supply other legal services in the following capacities:

.1 as a self-employed barrister, subject to the limitations imposed by Section 3.B3;

.2 as a BSB entity subject to the limitations imposed by Section 3.B4;

.3 as a manager of a BSB entity or as an employed barrister (BSB entity), subject to the limitations imposed by Section 3.B5;

.4 as a manager of an authorised (non-BSB) body or as an employed barrister (authorised non-BSB body), subject to the limitations imposed by Section 3.B6;

.5 as an employed barrister (non authorised body), subject to the limitations imposed by Section 3.B7; or

.6 as a registered European lawyer in any of the above capacities, in which case the equivalent limitations that would have applied if you were practising as a barrister shall apply to your practice as a registered European lawyer.

rS17

Where you carry on reserved legal activities in one of the capacities set out at Rule rS16, so as to be subject to regulation by the Bar Standards Board in respect of those reserved legal activities, any other legal services you may supply in that same capacity will also be subject to regulation by the Bar Standards Board, even if unreserved.

rS18

You may only practise or be involved with the supply of legal services (whether reserved legal activities or otherwise) in more than one of the capacities listed in Rule rS16 after:

.1 having obtained an amended practising certificate from the Bar Standards Board which recognises the capacities in respect of which you are intending to practise; and

.2 having agreed with each employer or regulated entity with which you are involved a protocol that enables you to avoid or resolve any conflict of interests or duties arising from your practice and/or involvement in those capacities,

and provided always that you do not work in more than one capacity in relation to the same case or issue for the same client, at the same time.

rS19

If you are a pupil with a provisional practising certificate, you may only supply legal services to the public or exercise any right which you have by reason of being a barrister, if you have the permission of your pupil supervisor, or head of chambers or HOLP (as appropriate).

rS20

Subject to Rule rS21, if you are a barrister of less than three years’ standing, you may:

.1 only supply legal services to the public or exercise any right of audience by virtue of authorisation by the Bar Standards Board; or

.2 only conduct litigation by virtue of authorisation by the Bar Standards Board,

if your principal place of practice (or if you are practising in a dual capacity, each of your principal places of practice) is either:

.a a chambers or an annex of chambers which is also the principal place of practice of a relevant qualified person who is readily available to provide guidance to you; or

.b an office of an organisation of which an employee, partner, manager or director is a relevant qualified person who is readily available to provide guidance to you.

rS21

If you are an employed barrister (non-authorised body) and you are only exercising a right of audience or conducting litigation for those persons listed at Rule rS39.1 to rS39.6, then the place of practice from which you perform such duties is only required to be an office of an organisation of which an employee, partner, manager or director is a relevant qualified person who is readily available to provide guidance to you if you are of less than one year’s standing.

rS22

In Rule rS20 and Rule rS21 above, the references to “qualified person” mean the following:

Supply of legal services to the public – qualified person

.1 Where you are a barrister intending to supply legal services to the public, a person shall be a qualified person for the purpose of Rule rS20 if they:

.a have been entitled to practise and have practised as a barrister (other than as a pupil who has not completed pupillage in accordance with the Bar Qualification Rules) or as a person authorised by another Approved Regulator for a period (which need not have been as a person authorised by the same Approved Regulator) for at least six years in the previous eight years; and

.b for the previous two years have made such practice their primary occupation; and

.c are not acting as a qualified person in relation to more than two other people; and

.d has not been designated by the Bar Standards Board as unsuitable to be a qualified person.

The exercise of a right of audience – qualified person

.2 Where:

.a you are a barrister exercising a right of audience in England and Wales, a person is a qualified person for the purpose of Rule rS20 if they:

.i have been entitled to practise and have practised as a barrister (other than as a pupil who has not completed pupillage in accordance with the Bar Qualification Rules) or as a person authorised by another Approved Regulator for a period (which need not have been as a person authorised by the same Approved Regulator) for at least six years in the previous eight years; and

.ii for the previous two years:

(1) have made such practice their primary occupation; and

(2) have been entitled to exercise a right of audience before every court in relation to all proceedings; and

.iii are not acting as a qualified person in relation to more than two other people; and

.iv have not been designated by the Bar Standards Board as unsuitable to be a qualified person.

The exercise of a right to conduct litigation – qualified person

.3 Where:

.a you are a barrister exercising a right to conduct litigation in England and Wales, a person is a qualified person for the purpose of Rule rS20 if they:

.i have been entitled to practise and have practised as a barrister (other than as a pupil who has not completed pupillage in accordance with the Bar Qualification Rules) or as a person authorised by another Approved Regulator for a period (which need not have been as a person authorised by the same Approved Regulator) for at least six years in the previous eight years; and

.ii for the previous two years have made such practice their primary occupation; and

.iii are entitled to conduct litigation before every court in relation to all proceedings; and

.iv are not acting as a qualified person in relation to more than two other people; and

.v have not been designated by the Bar Standards Board as unsuitable to be a qualified person.

rS23

Rules rS24 and rS25 below apply to you where you are acting in your capacity as a self-employed barrister, whether or not you are acting for a fee.

rS24

You may only supply legal services if you are appointed or instructed by the court or instructed:

.1 by a professional client (who may be an employee of the client); or

.2 by a licensed access client, in which case you must comply with the licensed access rules; or

.3 by or on behalf of any other client, provided that:

.a the matter is public access instructions and:

.i you are entitled to provide public access work and the instructions are relevant to such entitlement; and

.ii you have notified the Bar Standards Board that you are willing to accept instructions from lay clients; and

.iii you comply with the public access rules; or

.b the matter relates to the conduct of litigation and

.i you have a litigation extension to your practising certificate; and

.ii you have notified the Bar Standards Board that you are willing to accept instructions from lay clients.

rS25

Subject to Rule rS26, you must not in the course of your practice undertake the management, administration or general conduct of a client’s affairs.

rS26

Nothing in Rule rS25 prevents you from undertaking the management, administration or general conduct of a client’s affairs where such work is foreign work performed by you at or from an office outside England and Wales which you have established or joined primarily for the purposes of carrying out that particular foreign work or foreign work in general.

rS27

Rules rS28 and rS29 apply to you where you are acting in your capacity as a BSB entity.

rS28

You may only supply legal services if you are appointed or instructed by the court or instructed:

.1 by a professional client (who may be an employee of the client);

.2 by a licensed access client, in which case you must comply with the licensed access rules; or

.3 by or on behalf of any other client, provided that:

.a at least one manager or employee is suitably qualified and experienced to undertake public access work; and

.b you have notified the Bar Standards Board that you are willing to accept instructions from lay clients.

rS29

Subject to Rule rS30, you must not in the course of your practice undertake the management, administration or general conduct of a client’s affairs.

rS30

Nothing in Rule rS29 prevents you from undertaking the management, administration or general conduct of a client’s affairs where such work is foreign work performed by you at or from an office outside England and Wales which you have established or joined primarily for the purposes of carrying out that particular foreign work or foreign work in general.

rS31

Rules rS32 and rS33 below apply to you where you are acting in your capacity as a manager of a BSB entity or as an employed barrister (BSB entity).

rS32

You may only supply legal services to the following persons:

.1 the BSB entity; or

.2 any employee, director, or company secretary of the BSB entity in a matter arising out of or relating to that person’s employment;

.3 any client of the BSB entity;

.4 if you supply legal services at a Legal Advice Centre, clients of the Legal Advice Centre; or 

.5 if you supply legal services free of charge, members of the public.

rS33

Subject to Rule rS34, you must not in the course of your practice undertake the management, administration or general conduct of a client’s affairs.

rS34

Nothing in Rule rS33 prevents you from undertaking the management, administration or general conduct of a client’s affairs where such work is foreign work performed by you at or from an office outside England and Wales which you have established or joined primarily for the purposes of carrying out that particular foreign work or foreign work in general.

rS35

Rules rS36 and rS37 apply to you where you are acting in your capacity as a manager of an authorised (non-BSB) body or as an employed barrister (authorised non-BSB body).

rS36

You may only supply legal services to the following persons:

.1 the authorised (non-BSB) body;

.2 any employee, director or company secretary of the authorised (non-BSB) body in a matter arising out of or relating to that person’s employment;

.3 any client of the authorised (non-BSB) body;

.4 if you provide legal services at a Legal Advice Centre, clients of the Legal Advice Centre; or

.5 if you supply legal services free of charge, members of the public.

rS37

You must comply with the rules of the Approved Regulator or licensing authority of the authorised (non-BSB) body.

rS38

Rule rS39 applies to you where you are acting in your capacity as an employed barrister (non authorised body).

rS39

Subject to s. 15(4) of the Legal Services Act 2007, you may only supply legal services to the following persons:

.1 your employer;

.2 any employee, director or company secretary of your employer in a matter arising out of or relating to that person’s employment;

.3 if your employer is a public authority (including the Crown or a Government department or agency or a local authority), another public authority on behalf of which your employer has made arrangements under statute or otherwise to supply any legal services or to perform any of that other public authority’s functions as agent or otherwise;

.4 if you are employed by or in a Government department or agency, any Minister or Officer of the Crown;

.5 if you are employed by a trade association, any individual member of the association;

.6 if you are, or are performing the functions of, a Justices’ clerk, the Justices whom you serve;

.7 if you are employed by the Legal Aid Agency, members of the public;

.8 if you are employed by or at a Legal Advice Centre, clients of the Legal Advice Centre;

.9 if you supply legal services free of charge, members of the public; or

.10 if your employer is a foreign lawyer and the legal services consist of foreign work, any client of your employer.

rS40

If you are called to the Bar under rQ25 (temporary call of QFLs), you may not practise as a barrister other than to conduct the case or cases specified in the certificate referred to in rQ26.

rS41

You may supply legal services at a Legal Advice Centre on a voluntary or part time basis and, if you do so, you will be treated for the purposes of this Handbook as if you were employed by the Legal Advice Centre.

rS42

If you supply legal services at a Legal Advice Centre to clients of a Legal Advice Centre in accordance with Rule rS41:

.1 you must not in any circumstances receive either directly or indirectly any fee or reward for the supply of any legal services to any client of the Legal Advice Centre other than a salary paid by the Legal Advice Centre;

.2 you must ensure that any fees in respect of legal services supplied by you to any client of the Legal Advice Centre accrue and are paid to the Legal Advice Centre, or to the Access to Justice Foundation or other such charity as prescribed by order made by the Lord Chancellor under s.194(8) of the Legal Services Act 2007; and

.3 you must not have any financial interest in the Legal Advice Centre.

rS43

If you are authorised by another Approved Regulator to carry on a reserved legal activity and currently permitted to practise by that Approved Regulator, you must not practise as a barrister and you are not eligible for a practising certificate.

rS44

In this Section 3.C, references to “you” and “your” are references to barristers and registered European lawyers who are intending to apply for authorisation to practise as a barrister or a registered European lawyer (as the case may be) or who are otherwise intending to apply for a litigation extension to their existing practising certificate.

rS45

You are eligible for a practising certificate if:

.1 you are a barrister or registered European lawyer and you are not currently suspended from practice and have not been disbarred; and

.2 you meet the requirements of Rules rS46.1, rS46.2, rS46.3 or rS46.4; and

.3 either:

.a within the last 5 years either (i) you have held a practising certificate; or (ii) you have satisfactorily completed (or have been exempted from the requirement to complete) the pupillage component of training; or

.b if not, you have complied with such training requirements as may be imposed by the Bar Standards Board.

rS46

You are eligible for:

.1 a full practising certificate if either:

.a you have satisfactorily completed pupillage; or

.b you have been exempted from the requirement to complete pupillage; or

.c on 30 July 2000, you were entitled to exercise full rights of audience by reason of being a barrister; or

.d you were called to the Bar before 1 January 2002 and:

.i you notified the Bar Council that you wished to exercise a right of audience before every court and in relation to all proceedings; and

.ii you have complied with such training requirements as the Bar Council or the Bar Standards Board may require or you have been informed by the Bar Council or the Bar Standards Board that you do not need to comply with any such further requirements;

in each case, before 31 March 2012;

.2 a provisional practising certificate if you have satisfactorily completed (or have been exempted from the requirement to complete) a period of pupillage satisfactory to the BSB for the purposes of Rule Q4 and at the time when you apply for a practising certificate you are registered as a Pupil;

.3 a limited practising certificate if you were called to the Bar before 1 January 2002 but you are not otherwise eligible for a full practising certificate in accordance with Rule rS46.1 above; or

.4 a registered European lawyer’s practising certificate if you are a registered European lawyer.

rS47

You are eligible for a litigation extension:

.1 where you have or are due to be granted a practising certificate (other than a provisional practising certificate); and

.2 where you are:

.a more than three years’ standing; or

.b less than three years’ standing, but your principal place of practice (or if you are practising in a dual capacity, each of your principal places of practice) is either:

.i a chambers or an annex of chambers which is also the principal place of practice of a qualified person (as that term is defined in Rule rS22.3) who is readily available to provide guidance to you; or

.ii an office of an organisation of which an employee, partner, manager or director is a qualified person (as that term is defined in Rule rS22.3) who is readily available to provide guidance to you;

.3 you have the relevant administrative systems in place to be able to provide legal services direct to clients and to administer the conduct of litigation; and

.4 you have the procedural knowledge to enable you to conduct litigation competently.

rS48

You may apply for a practising certificate by:

.1 completing the relevant application form (in such form as may be designated by the Bar Standards Board) and submitting it to the Bar Standards Board; and

.2 submitting such information in support of the application as may be prescribed by the Bar Standards Board; and

.3 paying (or undertaking to pay in a manner determined by the Bar Council) the appropriate practising certificate fee to the Bar Council in the amount determined in accordance with Rule rS50 (subject to any reduction pursuant to Rule rS53).

rS49

You may apply for a litigation extension to a practising certificate (other than a provisional practising certificate) by:

.1 completing the relevant application form supplied by the Bar Standards Board and submitting it to the Bar Standards Board; and

.2 confirming that you meet the relevant requirements of Rule rS47.1;

.3 paying (or undertaking to pay in a manner determined by the Bar Standards Board) the application fee (if any) and the litigation extension fee (if any) to the Bar Standards Board;

.4 confirming, in such form as the Bar Standards Board may require from time to time, that you have the relevant administrative systems in place to be able to provide legal services direct to clients and to administer the conduct of litigation in accordance with Rule rS47.3; and

.5 confirming, in such form as the Bar Standards Board may require from time to time, that you have the procedural knowledge to enable you to conduct litigation competently in accordance with Rule rS47.4.

rS50

An application will only have been made under either Rule rS48 or rS49 once the Bar Standards Board has received, in respect of the relevant application, the application form in full, together with the application fee, the litigation extension fee (if any, or an undertaking to pay such a fee in a manner determined by the Bar Standards Board), all the information required in support of the application, confirmation from you, in the form of a declaration, that the information contained in, or submitted in support of, the application is full and accurate, and (in the case of Rule S48) once the Bar Council has received the practising certificate fee (if any, or an undertaking to pay such a fee in a manner determined by the Bar Council).

rS51

On receipt of the application, the Bar Standards Board may require, from you or a third party (including, for the avoidance of doubt, any BSB entity), such additional information, documents or references as it considers appropriate to the consideration of your application.

rS52

You are personally responsible for the contents of your application and any information submitted to the Bar Standards Board by you or on your behalf and you must not submit (or cause or permit to be submitted on your behalf) information to the Bar Standards Board which you do not believe is full and accurate.

rS53

When applying for a practising certificate you may apply to the Bar Standards Board for a reduction in the practising certificate fee payable by you if your gross fee income or salary is less than such amount as the Bar Council may decide from time to time. Such an application must be submitted by completing the form supplied for that purpose by the Bar Standards Board.

rS54

The practising certificate fee shall be the amount or amounts prescribed in the Schedule of Practising Certificate Fees issued by the Bar Council from time to time, and any reference in these Rules to the “appropriate practising certificate fee” or the “practising certificate fee payable by you” refers to the practising certificate fee payable by you pursuant to that Schedule, having regard, amongst other things, to:

.1 the different annual practising certificate fees which may be prescribed by the Bar Council for different categories of barristers, e.g. for King’s Counsel and junior counsel, for barristers of different levels of seniority, and/or for barristers practising in different capacities and/or according to different levels of income (i.e. self-employed barristers, employed barristers, managers or employees of BSB entities or barristers practising with dual capacity);

.2 any reductions in the annual practising certificate fees which may be permitted by the Bar Council in the case of practising certificates which are valid for only part of a practising certificate year;

.3 any discounts from the annual practising certificate fee which may be permitted by the Bar Council in the event of payment by specified methods;

.4 any reduction in, or rebate from, the annual practising certificate fee which may be permitted by the Bar Council on the grounds of low income, change of category or otherwise; and

.5 any surcharge or surcharges to the annual practising certificate fee which may be prescribed by the Bar Council in the event of an application for renewal of a practising certificate being made after the end of the practising certificate year.

rS55

The litigation extension fee shall be the amount or amounts prescribed by the Bar Standards Board from time to time, and in these Rules the “appropriate litigation extension fee” or the “litigation extension fee payable by you” is the litigation extension fee payable by you having regard to, among other things:

.1 any reductions in the annual litigation extension fees which may be permitted by the Bar Standards Board in the case of litigation extensions which are valid for only part of a practising certificate year;

.2 any discounts from the annual litigation extension fee which may be permitted by the Bar Standards Board in the event of payment by specified methods;

.3 any reduction in, or rebate from, the annual litigation extension fee which may be permitted by the Bar Standards Board on the grounds of low income, change of category, or otherwise; and

.4 any surcharge or surcharges to the annual litigation extension fee which may be prescribed by the Bar Standards Board in the event of an application for a litigation extension being made at a time different from the time of your application for a practising certificate.

rS56

If you have given an undertaking to pay the practising certificate fee to the Bar Council or the litigation extension fee to the Bar Standards Board, you must comply with that undertaking in accordance with its terms.

rS57

The Bar Standards Board shall not issue a practising certificate to a barrister or registered European lawyer:

.1 who is not eligible for a practising certificate, or for a practising certificate of the relevant type; or

.2 who has not applied for a practising certificate; or

.3 who has not paid or not otherwise undertaken to pay in a manner determined by the Bar Council, the appropriate practising certificate fee; or

.4 who is not insured against claims for professional negligence as provided for in Rule C76.

rS58

The Bar Standards Board shall not grant a litigation extension to a barrister or registered European lawyer:

.1 in circumstances where the Bar Standards Board is not satisfied that the requirements of litigation extension are met; or

.2 who has not applied for a litigation extension; or

.3 who has not paid or not otherwise undertaken to pay in a manner determined by the Bar Standards Board, the appropriate application fee (if any) and the litigation extension fee (if any).

rS59

The Bar Standards Board may refuse to issue a practising certificate or to grant a litigation extension, or may revoke a practising certificate or a litigation extension in accordance with Section 3.C5, if it is satisfied that the information submitted in support of the application for the practising certificate or litigation extension (as the case may be) is (or was when submitted) incomplete, inaccurate or incapable of verification, or that the relevant barrister or registered European lawyer:

.1 does not hold adequate insurance in accordance with Rule C76;

.2 has failed and continues to fail to pay the appropriate practising certificate fee to the Bar Council or litigation extension fee to the Bar Standards Board when due;

.3 would be, or is, practising in breach of the provisions of Section 3.B;

.4 has not complied with any of the requirements of the Continuing Professional Development Regulations applicable to them;

.5 has not declared information on type and area of practice in a form determined by the BSB;

.6 has not made the declarations required by the BSB in relation to Youth Court work;

.7 has not made the declarations required by the BSB in relation to the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017;

.8 has not provided the BSB with a unique email address.

rS60

When the Bar Standards Board issues a practising certificate or a litigation extension, it shall:

.1 inform the relevant barrister or registered European lawyer of that fact; and

.2 in the case of a practising certificate, publish that fact, together with the name and practising address of the barrister and registered European lawyer and the other details specified in Rule rS61 in the register on the Bar Standards Board’s website; or

.3 in the case of a litigation extension:

.a issue a revised and updated practising certificate to incorporate an express reference to such litigation extension in accordance with Rule rS66; and

.b amend the register maintained on the Bar Standards Board’s website to show that the relevant barrister or registered European lawyer (as the case may be) is now authorised to conduct litigation.

rS61

A practising certificate must state:

.1 the name of the barrister or registered European lawyer (as the case may be);

.2 the period for which the practising certificate is valid;

.3 the reserved legal activities which the barrister or registered European lawyer (as the case may be) to whom it is issued is thereby authorised to carry on;

.4 the capacity (or capacities) in which the barrister or registered European lawyer (as the case may be) practises; and

.5 whether the barrister or registered European lawyer (as the case may be) is registered with the Bar Standards Board as a Public Access practitioner.

rS62

A practising certificate may be valid for a practising certificate year or part thereof and for one month after the end of the practising certificate year.

rS63

A full practising certificate shall authorise a barrister to exercise a right of audience before every court in relation to all proceedings.

rS64

A provisional practising certificate shall authorise a pupil to exercise a right of audience before every court in relation to all proceedings.

rS65

A limited practising certificate shall not authorise a barrister to exercise a right of audience, save that it shall authorise a barrister to exercise any right of audience which they had by reason of being a barrister and was entitled to exercise on 30 July 2000.

rS66

A practising certificate shall authorise a barrister to conduct litigation in relation to every court and all proceedings if the practising certificate specifies a litigation extension.

rS67

Every practising certificate issued to a barrister shall authorise the barrister:

.1 to undertake:

.a reserved instrument activities;

.b probate activities;

.c the administration of oaths; and

.d immigration work.

rS68

A registered European lawyer’s practising certificate shall authorise a registered European lawyer to carry on the same reserved legal activities as a full practising certificate issued to a barrister, save that:

.1 a registered European lawyer is only authorised to exercise a right of audience or conduct litigation in proceedings which can lawfully only be provided by a solicitor, barrister or other qualified person, if they act in conjunction with a solicitor or barrister authorised to practise before the court, tribunal or public authority concerned and who could lawfully exercise that right; and

.2 a registered European lawyer is not authorised to prepare for remuneration any instrument creating or transferring an interest in land unless they have a home professional title obtained in Denmark, the Republic of Ireland, Finland, Sweden, Iceland, Liechtenstein, Norway, the Czech Republic, Cyprus, Hungary or Slovakia.

rS69

You must inform the Bar Standards Board as soon as reasonably practicable, and in any event within 28 days, if any of the information submitted in support of your practising certificate application form or litigation extension application form:

.1 was incomplete or inaccurate when the application form was submitted; or

.2 changes before the expiry of your practising certificate.

rS70

If you wish to:

.1 change the capacity in which you practise (e.g. if you change from being an employed barrister or a manager or employee of a BSB entity or an authorised (non-BSB) body to a self-employed barrister, or vice versa, or if you commence or cease practice in a dual capacity); or

.2 cease to be authorised to conduct litigation,

before the expiry of your practising certificate, you must:

.a notify the Bar Standards Board of such requested amendment to your practising certificate; and

.b submit to the Bar Standards Board such further information as the Bar Standards Board may reasonably require in order for them to be able to determine whether or not to grant such proposed amendment to your practising certificate; and

.c within 14 days of demand by the Bar Council pay to the Bar Council the amount (if any) by which the annual practising certificate fee which would apply to you in respect of your amended practising certificate exceeds the annual practising certificate fee which you have already paid (or undertaken to pay) to the Bar Council. In the event that the revised annual practising certificate fee is less than the amount originally paid to the Bar Council or in circumstances where you wish to cease to be authorised to conduct litigation, the Bar Council is not under any obligation to refund any part of the annual practising certificate fee already paid although it may in its absolute discretion elect to do so in the circumstances contemplated by the Schedule of Practising Certificate Fees issued by the Bar Council from time to time. In circumstances where you wish to cease to be authorised to conduct litigation, the Bar Standards Board is not under any obligation to refund any part of the litigation extension fee already paid although it may in its absolute discretion elect to do so.

rS71

The Bar Standards Board may amend a practising certificate if it is satisfied that any of the information contained in the relevant application form was inaccurate or incomplete or has changed, but may not amend a practising certificate (except in response to a request from the barrister or a registered European lawyer) without first:

.1 giving written notice to the barrister or registered European lawyer of the grounds on which the practising certificate may be amended; and

.2 giving the barrister or registered European lawyer a reasonable opportunity to make representations.

rS72

The Bar Standards Board shall endorse a practising certificate to reflect any qualification restriction or condition imposed on the barrister or registered European lawyer by the Bar Standards Board or by a Disciplinary Tribunal, Interim Suspension or Disqualification Panel, Fitness to Practise Panel or the High Court.

rS73

The Bar Standards Board:

.1 shall revoke a practising certificate:

.a if the barrister becomes authorised to practise by another approved regulator;

.b if the barrister or registered European lawyer is disbarred or suspended from practice as a barrister or registered European lawyer whether on an interim basis under section D of Part 5 or otherwise under section B of Part 5;

.c if the barrister or registered European lawyer has notified the Bar Standards Board that they no longer wish to have a practising certificate;

.d in the case of a Registered European Lawyer, where the individual no longer meets the eligibility requirements; and

.2 may revoke a practising certificate:

.a in the circumstances set out in Rule rS59; or

.b if the barrister or registered European lawyer has given an undertaking to pay the appropriate practising certificate fee and fails to comply with that undertaking in accordance with its terms, but in either case only after:

(i) giving written notice to the relevant barrister or registered European lawyer of the grounds on which the practising certificate may be revoked; and

(ii) giving the relevant barrister or registered European lawyer a reasonable opportunity to make representations.

rS74

The Bar Standards Board:

.1 shall revoke a litigation extension if the barrister or registered European lawyer has notified the Bar Standards Board that they no longer wish to have the litigation extension; and

.2 may revoke a litigation extension:

.a in the circumstances set out in Rule rS59; or

.b if the barrister or registered European lawyer has given an undertaking to pay the appropriate litigation extension fee and fails to comply with that undertaking in accordance with its terms, but in either case only after:

(i) giving written notice to the relevant barrister or registered European lawyer of the grounds on which the litigation extension may be revoked; and

(ii) giving the relevant barrister or registered European lawyer a reasonable opportunity to make representations.

rS75

If you contend that the Bar Standards Board has:

.1 wrongly failed or refused to issue or amend a practising certificate; or

.2 wrongly amended or revoked a practising certificate; or

.3 wrongly failed or refused to issue a litigation extension; or

.4 wrongly revoked a litigation extension,

in each case in accordance with this Section 3.C, then you may lodge an application for review using the form supplied for that purpose by the Bar Standards Board which can be found on its website. For the avoidance of doubt, this Section 3.C6 does not apply to any amendment or revocation of a practising certificate or litigation extension made by order of a Disciplinary Tribunal, Interim Suspension or Disqualification Panel, Fitness to Practise Panel or the High Court.

rS76

The decision of the Bar Standards Board shall take effect notwithstanding any application for review being submitted in accordance with Rule S75. However, the Bar Standards Board may, in its absolute discretion, issue a temporary practising certificate or litigation extension to a barrister or registered European lawyer who has lodged an application for review.

rS77

If the review finds that the Bar Standards Board:

.1 has wrongly failed or refused to issue a practising certificate, then the Bar Standards Board must issue such practising certificate as ought to have been issued; or

.2 has wrongly failed or refused to amend a practising certificate, then the Bar Standards Board must make such amendment to the practising certificate as ought to have been made; or

.3 has wrongly amended a practising certificate, then the Bar Standards Board must cancel the amendment; or

.4 has wrongly revoked a practising certificate, then the Bar Standards Board must re-issue the practising certificate; or

.5 has wrongly failed or refused to grant a litigation extension, then the Bar Standards Board must grant such litigation extension as ought to have been granted; or

.6 has wrongly revoked a litigation extension, then the Bar Standards Board must re-grant the litigation extension.

rS82

In this Section 3.E, “you” and “your” refer to the partnership, LLP or company which is applying for, or has applied for (in accordance with this Section 3.E) authorisation or (if a licensable body) a licence to practise as a BSB entity, and references in these Rules to “authorisation to practise” mean the grant by the Bar Standards Board of an authorisation or a licence (as the case may be) under this Section 3.E (distinguishing between the two only where the context so requires).

rS83

To be eligible for authorisation to practise as a BSB entity, you:

.1 must have arrangements in place designed to ensure at all times that any obligations imposed from time to time on the BSB entity, its managers, owners or employees by or under the Bar Standards Board’s regulatory arrangements, including its rules and disciplinary arrangements, are complied with and confirm that the BSB entity and all owners and managers expressly consent to be bound by the Bar Standards Board’s regulatory arrangements (including disciplinary arrangements);

.2 must have arrangements in place designed to ensure at all times that any other statutory obligations imposed on the BSB entity, its managers, owners or employees, in relation to the activities it carries on, are complied with;

.3 must confirm that, subject to the provisions of rS131, you will have in place, at all times, individuals appointed to act as a HOLP (who must also be a manager) and a HOFA of the BSB entity;

.4 must confirm that you have or will have appropriate insurance arrangements in place at all times in accordance with Rule C76 and you must be able to provide evidence of those insurance arrangements if required to do so by the Bar Standards Board;

.5 must confirm that, in connection with your proposed practice, you will not directly or indirectly hold client money in accordance with Rule C73 or have someone else hold client money on your behalf other than in those circumstances permitted by Rule C74;

.6 must confirm that no individual that has been appointed or will be appointed as a HOLP, HOFA, manager or employee of the BSB entity is disqualified from acting as such by the Bar Standards Board or any Approved Regulator pursuant to section 99 of the LSA or otherwise as a result of its regulatory arrangements;

.7 must confirm that you will at all times have a practising address in England or Wales;

.8 must confirm that:

.a if you are an LLP, you are incorporated and registered in England and Wales, Scotland or Northern Ireland under the Limited Liability Partnerships Act 2000;

.b if you are a Company, you are:

.i incorporated and registered in England and Wales, Scotland or Northern Ireland under Parts 1 and 2 of the Companies Act 2006; 

.9 must confirm that at least one manager or employee is an authorised individual in respect of each reserved legal activity which you wish to provide;

.10 must confirm that you will pay annual fees as and when they become due.

rS84

In addition to the requirements set out at Rule rS83:

.1 to be eligible for authorisation to practise as a BSB entity:

.a all of the managers of the partnership, LLP or company (as the case may be) must be BSB authorised individuals or authorised (non-BSB) individuals; and

.b all of the owners (whether or not the ownership interest is material) of the partnership, LLP or company (as the case may be) must be BSB authorised individuals or authorised (non-BSB) individuals;

.2 to be licensed to practise as a BSB licensed body:

.a the body must be a licensable body, as defined by section 72 of the LSA but must also meet the eligibility requirements set out at Rule rS83; and

.b all of the non-authorised owners in the partnership, LLP or company (as the case may be) must be approved by the Bar Standards Board as being able to hold such interest taking into account the relevant suitability criteria.

rS85

In the event that you meet the eligibility criteria set out in Rule rS83, you may submit an application in accordance with Section 3.E2 and the Bar Standards Board will review that application in accordance with Section 3.E3 and 3.E4 to determine whether or not to authorise you or to grant you a licence (as appropriate) to practise as a BSB entity. In the event that the Bar Standards Board determines that you should be authorised or licensed (as appropriate) to practise as a BSB entity then it may either:

rS86

Authorise you to practise as a BSB entity in the event that you also meet the eligibility criteria set out in Rule rS84.1 and you have applied to be authorised as such in your relevant application form; or

.1 license you to practise as a BSB licensed body, in the event that you also meet the eligibility criteria set out in Rule rS84.2 and you have applied to be authorised as such in your relevant application form.

rS87

Such authorisation or licence (as appropriate) will entitle you to:

.1 to exercise a right of audience before every court in relation to all proceedings;

.2 to carry on:

.a reserved instrument activities;

.b probate activities;

.c the administration of oaths;

.3 to do immigration work; and

.4 if you have been granted a litigation extension, to conduct litigation.

Application to be authorised or licensed as a BSB entity

rS88

To apply for authorisation to practise as a BSB entity you must:

.1 complete the application form supplied by the Bar Standards Board and submit it to the Bar Standards Board; and

.2 submit such other information, documents and references in support of the application as may be required by the application form or by the Bar Standards Board from time to time; and

.3 pay the application fee in the amount determined in accordance with Rule rS94 and the authorisation or licence fee for the first year.

Application for a litigation extension

rS89

To apply for a litigation extension you must:

.1 make this clear on your application form submitted in accordance with rS88 (where appropriate) or otherwise submit the relevant application form made available by the Bar Standards Board on its website for this purpose; and

.2 pay (or undertake to pay in a manner prescribed by the Bar Standards Board) the application fee (if any) and the relevant litigation extension fee (if any) in the amount determined in accordance with Rule rS94; and

.3 provide such other information to the Bar Standards Board as it may require in order to satisfy itself that:

.a you have the relevant administrative systems in place to be able to provide legal services direct to clients and to administer the conduct of litigation; and

.b you have a sufficient number of persons who are authorised to conduct litigation and to provide guidance to any managers or employees that may be involved in assisting in the conduct of litigation who are not themselves authorised and that you have an adequate number of qualified persons to provide guidance to any persons authorised to conduct litigation who are of less than three years’ standing.

Approval applications for any new HOLPs, HOFAs, owners and/or managers

rS90

If, following authorisation or the grant of a licence (as appropriate), a BSB entity wishes to appoint a new HOLP, HOFA, owner or manager, the BSB entity must:

.1 notify the Bar Standards Board of such a proposed appointment before it is made; and

.2 make an application to the Bar Standards Board for approval of the new HOLP, HOFA, owner or manager (as appropriate); and

.3 ensure that the new HOLP, HOFA, owner or manager (as appropriate) has expressly consented to be bound by the Bar Standards Board’s regulatory arrangements (including disciplinary arrangements); and

.4 pay any fees set by the Bar Standards Board in respect of such approval applications.

Application Process

rS91

An application for authorisation and/or a litigation extension is only made once the Bar Standards Board has received the application form in full, together with the appropriate fees, all the information required in support of the application and confirmation from you in the form of a declaration that the information contained in, or submitted in support of, the application is full and accurate.

rS92

On receipt of the application, the Bar Standards Board may require, from you or from a third party, such additional information, documents or references as it considers appropriate to the consideration of your application.

rS93

You are responsible for the contents of your application and any information submitted to the Bar Standards Board by you, or on your behalf, and you must not submit (or cause or permit to be submitted on your behalf) information to the Bar Standards Board which you do not believe is full and accurate.

rS94

The application fee and the litigation extension fee shall be the amount or amounts prescribed by the Bar Standards Board from time to time. The authorisation fee and litigation fee shall also be payable and shall be the amount or amounts prescribed by the Bar Standards Board from time to time.

rS95

Subject to Rules rS96 and rS97, the Bar Standards Board must make a decision in respect of each valid and complete application within the decision period.

rS96

In the event that the Bar Standards Board is not able to reach a decision within the decision period, it must notify you and must confirm to you the latest date by which you will have received a response to your application from the Bar Standards Board.

rS97

The Bar Standards Board may issue more than one notice to extend the decision period except that:

.1 any notice to extend must always be issued before the decision period expires on the first occasion, and before any such extended decision period expires on any second and subsequent occasions; and

.2 no notice to extend can result in the total decision period exceeding more than 9 months.

rS98

During its consideration of your application form, the Bar Standards Board may identify further information or documentation which it needs in order to be able to reach its decision. If this is the case, you must provide such additional information or documentation as soon as possible after you receive the relevant request from the Bar Standards Board. Any delay in providing this information shall further entitle the Bar Standards Board to issue an extension notice in accordance with Rule rS96 and rS97 (as the case may be) or to treat the application as having been withdrawn.

Applications for authorisation or the grant of a licence

rS99

In circumstances where the mandatory conditions in Rules rS83 and rS84 have been met, the Bar Standards Board must then consider whether to exercise its discretion to grant the authorisation or licence (as appropriate). In exercising this discretion, the Bar Standards Board will consider whether the entity is one which it would be appropriate for the Bar Standards Board to regulate, taking into account its analysis of the risks posed by you, the regulatory objectives of the LSA and the Entity Regulation Policy Statement of the Bar Standards Board as published from time to time.

rS100

In circumstances where the mandatory conditions set out at Rules S83 and S84 have not been met, the Bar Standards Board must refuse to grant the authorisation or licence (as appropriate).

rS101

Where the Bar Standards Board concludes that you are an entity which it is appropriate for it to regulate the Bar Standards Board may nonetheless in its discretion refuse your application for authorisation if:

.1 it is not satisfied that your managers and owners are suitable as a group to operate or control a practice providing services regulated by the Bar Standards Board;

.2 if it is not satisfied that your proposed HOLP and HOFA meet the relevant suitability criteria;

.3 it is not satisfied that your management or governance arrangements are adequate to safeguard the regulatory objectives of the LSA or the policy objectives of the Bar Standards Board as set out in the Entity Regulation Policy Statement;

.4 it is not satisfied that, if the authorisation is granted, you will comply with the Bar Standards Board’s regulatory arrangements including this Handbook and any conditions imposed on the authorisation;

.5 you have provided inaccurate or misleading information in your application or in response to any requests by the Bar Standards Board for information;

.6 you have failed to notify the Bar Standards Board of any changes in the information provided in the application;

.7 removed;

.8 for any other reason, the Bar Standards Board considers that it would be inappropriate for the Bar Standards Board to grant authorisation to you, having regard to its analysis of the risk posed by you, the regulatory objectives of the LSA or the Entity Regulation Policy Statement of the Bar Standards Board.

Applications for authorisation to conduct litigation

rS102

If the Bar Standards Board is unable to satisfy itself that the BSB entity meets the requirements set out in Rule rS89, it can refuse to grant the litigation extension.

Approval applications for any new HOLPs, HOFAs, owners and/or managers

rS103

The Bar Standards Board must consider any approval applications for any new HOLPs, HOFAs, owners and/or managers made in accordance with Rule rS90 and must determine any application by deciding whether the relevant individual meets the suitability criteria which apply relevant to such a proposed appointment.

rS104

The Bar Standards Board must conclude that an individual does not meet the suitability criteria to undertake the role of a HOLP if:

.1 they are not an authorised individual;

.2 they are disqualified from acting as a HOLP by the Bar Standards Board or an Approved Regulator or licensing authority pursuant to section 99 of the LSA or otherwise as a result of its regulatory arrangements; or

.3 It determines that the individual is not able effectively to carry out the duties imposed on a HOLP by section 91 of the LSA.

rS105

The Bar Standards Board may conclude that an individual does not meet the suitability criteria to undertake the role of a HOLP if any of the circumstances listed in Rule rS110 apply to the individual designated as the HOLP.

rS106

The Bar Standards Board must conclude that an individual does not meet the suitability criteria for acting as a HOFA if:

.1 they are disqualified from acting as a HOFA by the Bar Standards Board or by an Approved Regulator or licensing authority pursuant to section 99 of the LSA or otherwise as a result of its regulatory arrangements; or

.2 the Bar Standards Board determines that they are not able effectively to carry out the duties imposed on a HOFA by section 92 of the LSA.

rS107

The Bar Standards Board may conclude that an individual does not meet the suitability criteria for acting as a HOFA if any of the circumstances listed in Rule rS110 apply to them.

rS108

If an owner is also a non-authorised individual, the Bar Standards Board must approve them as an owner. The Bar Standards Board shall approve a non-authorised individual to be an owner of a BSB licensed body if:

.1 their holding of an ownership interest does not compromise the regulatory objectives; and

.2 their holding of an ownership interest does not compromise compliance with the duties imposed pursuant to section 176 of the LSA by the licensed body or by any authorised individuals who are to be employees or managers of that licensed body; and

.3 they otherwise meet the suitability criteria to hold that ownership interest taking into account:

(a) their probity and financial position;

(b) whether they are disqualified pursuant to section 100(1) of LSA or included in the list maintained by the Legal Services Board pursuant to paragraph 51 of Schedule 13 of the LSA; and

(c) their associates; and

(d) the suitability criteria in Rule rS110 which apply to managers and employees.

rS109

If a manager is a non-authorised individual, the Bar Standards Board must approve them as a manager. The Bar Standards Board must approve a non-authorised individual to be a manager of a BSB licensed body if they meet the suitability criteria to hold that interest taking into account:

.1 their probity;

.2 whether they are disqualified pursuant to section 100(1) of the LSA or included in the list maintained by the Legal Services Board pursuant to paragraph 51 of Schedule 13 of the LSA; and

.3 the suitability criteria in Rule rS110 which apply to managers and employees.

rS110

The Bar Standards Board may reject an application if it is not satisfied that:

.1 an individual identified in an application for authorisation or the grant of a licence as a proposed owner, manager, HOLP or HOFA of the relevant applicant body; or

.2 any individual identified as a replacement owner, manager, HOLP or HOFA,

meets the suitability criteria to act as an owner, manager, HOLP or HOFA of a BSB entity. Reasons why the Bar Standards Board may conclude that an individual does not meet the suitability criteria include where an individual:

.3 has been committed to prison in civil or criminal proceedings (unless the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (SI 1975/1023) applies, this is subject to any conviction being unspent under the Rehabilitation of Offenders Act 1974 (as amended));

.4 has been disqualified from being a director;

.5 has been removed from the office of charity trustee or trustee for a charity by an order under section 72(1)(d) of the Charities Act 1993;

.6 is an undischarged bankrupt;

.7 has been adjudged bankrupt and discharged;

.8 has entered into an individual voluntary arrangement or a partnership voluntary arrangement under the Insolvency Act 1986;

.9 has been a manager of a regulated entity or a BSB entity which has entered into a voluntary arrangement under the Insolvency Act 1986;

.10 has been a director of a company or a member of an LLP (as defined by section 4 of the Limited Liability Partnerships Act 2000) which has been the subject of a winding up order, an administration order or administrative receivership; or has entered into a voluntary arrangement under the Insolvency Act 1986; or has been otherwise wound up or put into administration in circumstances of insolvency;

.11 lacks capacity (within the meaning of the Mental Capacity Act 2005) and powers under sections 15 to 20 or section 48 of that Act are exercisable in relation to that individual;

.12 is the subject of an outstanding judgment or judgments involving the payment of money;

.13 is currently charged with an indictable offence, or has been convicted of an indictable offence, any offence of dishonesty, or any offence under the Financial Services and Markets Act 2000, the Immigration and Asylum Act 1999 or the Compensation Act 2006 (unless the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (SI 1975/1023) applies, this is subject to the Rehabilitation of Offenders Act 1974 (as amended));

.14 has been disqualified from being appointed to act as a HOLP or a HOFA or from being a manager or employed by an authorised or licensed body (as appropriate) by the Bar Standards Board or another Approved Regulator or licensing authority pursuant to its or their powers under section 99 of the LSA or otherwise as a result of its regulatory arrangements;

.15 has been the subject in another jurisdiction of circumstances equivalent to those listed in Rules rS110.1 to rS110.14;

.16 has an investigation or disciplinary proceedings pending against them and/or has professional conduct findings against them either under the disciplinary scheme for barristers or otherwise; or

.17 has been involved in other conduct which calls into question their honesty, integrity, or respect for the law;

.18 has not consented to be bound by the regulatory arrangements (including disciplinary arrangements) of the Bar Standards Board.

rS111

The Bar Standards Board will notify you of its decision in writing within the decision period or by such later date as may have been notified to the applicant body in accordance with Rules rS96 or rS97. In the event that the Bar Standards Board decides to refuse to grant the application, it must give the reasons for such refusal.

rS112

Any authorisation given by the Bar Standards Board to a BSB entity, and the terms of any licence granted by the Bar Standards Board to a BSB licensed body in accordance with this Section 3.E must specify:

.1 the activities which are reserved legal activities and which the BSB entity is authorised to carry on by virtue of the authorisation or the licence (as the case may be); and

.2 any conditions subject to which the authorisation or the licence (as the case may be) is given (which may include those in Rule rS114).

rS113

Authorisations and licences must, in all cases, be given on the conditions that:

.1 any obligation which may from time to time be imposed on you (or your managers, employees, or owners) by the Bar Standards Board is complied with; and

.2 any other obligation imposed on you (or your managers, employees or owners) by or under the LSA or any other enactment is complied with.

.3 you (and your managers, employees, and owners) consent to be bound by the regulatory arrangements (including the disciplinary arrangements) of the Bar Standards Board; and

.4 if the conditions outlined at rS113.5 apply, the Bar Standards Board may without notice:

.a modify an authorisation granted under rS116;

.b revoke an authorisation under rS117;

.c require specific co-operation with the Bar Standards Board as provided for in rC64 and rC70;

.d take such action as may be necessary in the public or clients’ interests and in the interests of the regulatory objectives; and

.e recover from the BSB entity any reasonable costs that were necessarily incurred in the exercise of its regulatory functions.

.5 The conditions referred to in rS113.4 are that:

.a one or more of the terms of the BSB entity’s authorisation have not been complied with;

.b a person has been appointed receiver or manager of the property of the BSB entity;

.c a relevant insolvency event has occurred in relation to the BSB entity;

.d the Bar Standards Board has reason to suspect dishonesty on the part of any manager or employee of the BSB entity in connection with either that BSB entity’s business or the business of another body of which the person was a manager or employee, or the practice or former practice of the manager or employee;

.e the Bar Standards Board is satisfied that it is necessary to exercise any of the powers listed in rS113.4 in relation to the BSB entity to protect the interests of clients (or former or potential clients) of the BSB entity.

rS114

In addition to the provisions in Rule rS113, an authorisation or a licence may be given subject to such other terms as the Bar Standards Board considers appropriate including terms as to:

.1 the non-reserved activities which you may or may not carry on; and/or

.2 in the case of licensed bodies:

(a) the nature of any interest held by a non-authorised owner provided always that the Bar Standards Board complies with its obligations under paragraph 17 of Schedule 13 to the LSA; and/or

(b) any limitations on the shareholdings or voting controls which may be held by non-authorised owners in accordance with paragraph 33 of Schedule 13 to the LSA.

rS115

Except where indicated otherwise in the authorisation or licence, any authorisation or licence granted in accordance with this Section 3.E will be of unlimited duration except that the authorisation or licence:

.1 the authorisation or licence shall cease to have effect on the occurrence of any of the following:

(a) if you have your authorisation/licence withdrawn in accordance with Rule rS117; or

(b) if you obtain authorisation/licence from an Approved Regulator or licensing authority;

.2 the authorisation or licence may cease to have effect on the occurrence of any of the following:

(a) if you fail to provide the relevant monitoring information or fail to pay any relevant fees in circumstances where the Bar Standards Board has notified you (i) that such information or payment is required within a particular time; and (ii) that failure to provide such information or payment within that time may result in the withdrawal of your authorisation or licence in accordance with this Rule rS115; or

(b) if you fail to replace your HOLP/HOFA in accordance with the requirements of this Handbook.

.3 The licence of a partnership or other unincorporated body (“the existing body”) may continue where the existing body ceases to exist and another body succeeds to the whole or substantially the whole of its business subject to the following in rS115.3(a)-(b):

(a) you have notified the Bar Standards Board of such a change within 28 days;

(b) if there is no remaining partner who was a partner before the existing body ceased to exist the licence shall cease to have effect from the date the existing body ceased to exist.

rS116

In addition to any powers which the Bar Standards Board may have in accordance with Part 5, the Bar Standards Board may modify the terms of an authorisation or licence granted by it:

.1 if you apply to the Bar Standards Board for the terms of such authorisation or licence (as the case may be) to be modified; or

.2 if it is satisfied that any of the information contained in the relevant application form was inaccurate or incomplete or has changed; or

.3 if such modification is required in accordance with the provisions of this Handbook; or

.4 where the Bar Standards Board reasonably considers that such modification is appropriate and in accordance with the regulatory objectives under the LSA or the policy objectives of the Bar Standards Board; or

.5 where the conditions in rS113.5 are met,

but, in the circumstances set out in Rules rS116.2 to rS116.4 above, shall only be entitled to do so after:

.a giving notice to you in writing of the modifications which the Bar Standards Board is intending to make to your authorisation or licence (as the case may be); and

.b giving you a reasonable opportunity to make representations about such proposed modifications.

rS117

In addition to any powers which the Bar Standards Board may have in accordance with Part 5, the Bar Standards Board may:

.1 revoke an authorisation or licence granted by it:

(a) subject to Section 3.F, in the event that you no longer comply with the mandatory requirements set out in Rules rS83 and rS84; or

(b) if your circumstances have changed in relation to the issues considered by the Bar Standards Board in Section 3.E4; or

(c) if revocation otherwise appears appropriate taking into account the regulatory objectives of the Bar Standards Board; or

(d) where the conditions in rS113.5 are met.

.2 suspend an authorisation or licence granted by it to give it an opportunity to investigate whether or not your authorisation or licence should be revoked in accordance with Rule rS117 (for the avoidance of doubt a BSB entity whose authorisation has been suspended remains a BSB regulated person),

but (except for when the conditions in rS113.5 are met) in either case only after:

(i) giving written notice to the relevant BSB entity of the grounds on which the authorisation or licence may be revoked; and

(ii) giving the relevant BSB entity a reasonable opportunity to make representations.

rS118

If you consider that the Bar Standards Board has (other than pursuant to [Section 5]):

.1 wrongly refused an application for authorisation or licence; or

.2 wrongly imposed a term or condition on an authorisation or licence; or

.3 wrongly modified the terms of your authorisation or licence; or

.4 wrongly refused to modify the terms of your authorisation or licence; or

.5 wrongly revoked or suspended your authorisation or licence; or

.6 wrongly done any of these things in relation to a litigation extension to your authorisation or licence; or

.7 failed to provide to you notice of a decision in accordance with this Section 3.E, then you may lodge an application for review of that decision using the form supplied for that purpose by the Bar Standards Board. Such application for review will only have been made once the Bar Standards Board has received the relevant fee in respect of such application for review.

rS119

Any individual:

.1 designated to act as a HOLP or a HOFA; or

.2 identified as a non-authorised owner or manager of the applicant body,

who considers that the Bar Standards Board has wrongly concluded that they do not meet the suitability criteria which apply to their proposed position in the entity, may lodge an application for a review of that decision using the form supplied for that purpose by the Bar Standards Board. Alternatively, you may lodge an application for review on their behalf whether or not they have 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.

rS120

Any application for a review of the decision must be made within 28 days from the date when the decision is notified to you.

rS121

The decision of the Bar Standards Board will take effect notwithstanding the making of any application for a review in accordance with Rule rS118 or rS119. However, the Bar Standards Board may, in its absolute discretion, issue a temporary authorisation, licence or litigation extension to a BSB entity which has lodged an application for a review in accordance with this Section 3.E11.

rS122

If the review finds that the Bar Standards Board:

.1 has wrongly failed or refused to grant an authorisation or licence; or

.2 has wrongly imposed a term or condition on an authorisation or licence;

then in each case the Bar Standards Board must issue such authorisation or licence as ought to have been issued.

rS123

If the review finds that the Bar Standards Board:

.1 finds that the Bar Standards Board has wrongly modified an authorisation or licence; or

.2 finds that the Bar Standards Board has wrongly refused to modify an authorisation or licence,

then in each case the Bar Standards Board shall make such modification to the authorisation or licence as ought to have been made.

rS124

If the review finds that the Bar Standards Board has wrongly revoked or suspended an authorisation or licence, then the Bar Standards Board shall re-issue such authorisation or licence.

.1 If the review finds that the Bar Standards Board has wrongly done any of the things described in rS122 or–rS123 in relation to your litigation extension, then the Bar Standards Board shall grant such litigation extension as ought to have been granted.

rS125

If the review finds that the Bar Standards Board has wrongly concluded that an individual does not meet the suitability criteria relevant to their proposed position, the Bar Standards Board shall amend its decision and confirm that they do meet the suitability criteria which apply to their proposed position.

rS126

If, after such a review, you or the relevant individual(s) (as the case may be) do not agree with the decision you or the relevant individual(s) may appeal to the First Tier Tribunal against the decision.

rS127

Any appeal to the First Tier Tribunal against a decision of the BSB must be lodged within 28 days from the date that the decision is notified to you.

rS127A

Where a BSB decision is appealed to the First Tier Tribunal, the First Tier Tribunal may suspend the effect of that decision until the conclusion of the appeal.

rS128

The Bar Standards Board must keep a public register containing the names and places of practice of all BSB entities (together with details of the reserved legal activities which such BSB entities are able to undertake) as well as details of any bodies which have in the past been granted authorisation or obtained a licence from the Bar Standards Board but where such licence and/or authorisation is no longer current.

rS129

If an authorisation or licence is, at any time, suspended or made subject to conditions, this must be noted on the register of BSB entities by the Bar Standards Board.

rS130

If, at any time, and for whatever reason, you fail to meet the mandatory conditions in Rules rS83 and rS84 which apply to the type of BSB entity which you are, then you must notify the Bar Standards Board of your failure to comply with the mandatory conditions within seven days of your failure to comply and, at the same time, you must submit your proposals for rectifying that non-compliance which, for the avoidance of doubt, must include your proposed timetable for rectifying them. If the Bar Standards Board considers that your proposals for rectifying them are not sufficient, the Bar Standards Board may issue a notice suspending or revoking your authorisation or licence (as appropriate) in accordance with Section 3.E10.

rS131

If a BSB entity ceases to have a HOLP or HOFA whose designation has been approved by the Bar Standards Board, the BSB entity must immediately and in any event within seven days:

.1 notify the Bar Standards Board;

.2 designate another manager or employee to replace its previous HOLP or HOFA, as appropriate; and

.3 make an application to the Bar Standards Board for temporary approval of the new HOLP or HOFA, as appropriate.

rS132

The Bar Standards Board may grant a temporary approval under this Section 3.F2 if on the face of the application and any other information immediately before the Bar Standards Board, there is no evidence suggesting that the new HOLP or HOFA is not suitable to carry out the duties imposed on them under this Handbook.

rS133

If granted temporary approval under Rule rS132 for its designation of a new HOLP or HOFA, the BSB entity must:

.1 designate a permanent HOLP or HOFA, as appropriate; and

.2 submit a substantive application for approval of that designation in accordance with Rule rS90,

before the expiry of the temporary approval or any extension of that approval by the Bar Standards Board, otherwise the Bar Standards Board may be entitled to suspend or revoke the authorisation or licence in accordance with Section 3.E10.