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Advice & Information on revisions to Rule B6 (Accounts, Accounts Certificate, Professional Practice and Guarantee Fund) effective from 4 January 2023

Subject to the provisions of rule 6.6 every practice unit shall – (a) ensure that at all times the sum at the credit of the client account, or where there are more such accounts than one, the total of the sums at the credit of those accounts, shall not be less than the total of the clients’ money held by the practice unit;

Do I have to keep all my client funds in the client bank account? Yes. You must always have sufficient funds in the client bank account to cover all of the client credit balances.

There are three Accounts Certificate forms

Signature of Certificates on Powers of Attorney - Trainee Solicitors Sections 15, 16 and 16A of the Adults with Incapacity (Scotland) Act 2000 provide that a continuing power of attorney or a welfare power of attorney must incorporate a certificate by a practising solicitor or a doctor that the solicitor or doctor has interviewed the granter immediately before he or she signed the documents;

Subject to rules 3.2 and 3.5, you shall be entitled to advertise and promote your services in any way you think fit.

Where your fees for your services are advertised either by you or by a third party and whether or not you are named in such an advertisement the advertisement must include mention of outlays and VAT with no less prominence than the fees.

Where in the course of advising a client you identify a situation which may require appearance in a Superior Court in circumstances where such appearance is restricted to a solicitor advocate or an advocate, you shall advise your client:

Save where and to the extent stated to the contrary in any of these rules: if you are a solicitor the following rules apply to you

Rule 3 in Section A of the rules sets out which of the practice rules apply to the different categories of regulated person both generally and when engaged in certain types of work.

Save when and to the extent engaged in cross-border practice you shall comply with the standards of conduct set out in this rule 1.

The standards of conduct contained in rule B1 do not apply when you are engaged in cross-border practice. Note that this term does not encompass transactions or activity between the constituent parts of the United Kingdom.

All applications for waiver should be made on the relevant form (see the Forms and Fees related to Rule A5) and addressed to the Secretary of the Rules, Waivers and Guidance Sub-Committee.

All applications for waiver should be made on the relevant form (see the Forms and Fees related to Rule A5) and addressed to the Secretary of the Rules, Waivers and Guidance Sub-Committee.

Rule D2.1.3 is intended to promote achievement of the regulatory objectives (in particular those

Rule A5 provides that the Council may waive practice rules except those specified in Schedule 2 to the rules.

Guidance on approval by beneficiaries of a final accounting before distribution and settlement

You shall neither authenticate, nor apply for registration in the Land Register of, a document created as an electronic communication within the ARTL System on behalf of any person unless you have obtained a mandate in your favour

You shall not cause or permit the name of any person to appear on the nameplate or professional stationery of the practice unit of which you are a manager unless that person is:

Practice rule on duty to co-operate with the SLCC

You should never attempt to prevent or discourage clients or others from making complaints to the Scottish Legal Complaints Commission whether by means of provisions in your Terms of Business, or by any other means. Any attempt to do so may call into question your compliance with the Standards of Conduct.

AML resources including Guidance related to Rule B9

The regulatory regime for consumer credit work changed on 1 April 2014.

This information will assist those planning to cease (or wind up) a practice.