Regulation (Professional Conduct) Department Operations
Overview
The Regulation (Professional Conduct) Department has reviewed how we will carry out our regulatory functions at this time, in a way designed to avoid imposing unnecessary burdens on members and firms.
Queries
Members are able to raise queries in respect of Regulation and Professional Conduct via secure email at either enquiry@lawsoc-ni.org or regulation@lawsoc-ni.org. Please address your query for the attention of the Regulation (Professional Conduct) Department.
Inspections
Until further notice, the Department’s inspection activity will be conducted by way of off-site Desk Top Reviews. This will not be as in-depth as actual inspections and is likely to include some follow-up correspondence with firms. Where an issue comes to light requiring urgent attention, the Desk Top Review may lead to a subsequent full inspection of the firm. The Society’s Compliance Officers will contact principals directly should this be necessary.
Solicitors Accountants’ Reports:
During
the current Coronavirus (Covid-19) pandemic, the annual independent statutory
Reporting Accountant’s Report may be delivered electronically to the Law
Society via secure email to Regulation@Lawsoc-ni.org
. The original hard copy report should be provided to the Society by no later
than 31 August 2020. This time limit will be kept under review given the present
circumstances.
If the
statutory Reporting Accountant delivers a Report without having attended the
firm, their Report will be qualified. A Report delivered in such circumstances
will be regarded as interim only, until such time as the statutory Reporting
Accountant has been able to conduct an inspection fully in accordance with the
Solicitors Accounts Regulations 2014.
Reports
due to be delivered to the Law Society;
1. On or before 30 April 2020
As
previously advised, the timeframe in which annual independent statutory
Reporting Accountants’ Reports must be delivered to the Society was
automatically extended by three (3) months solely for those Reports which were
due to be delivered in either March and April 2020 and suspended the
requirement for statutory Reporting Accountants to attend firms during the
relevant period. This remains the case.
2. After 30 April 2020
Should
it become necessary to do so, firms are able to apply to the Law Society to
consider an extension of time in order to deliver their annual independent
statutory Reporting Accountants’ Reports.
In such a case, the principal should write in to the Law
Society via secure email to Regulation@Lawsoc-ni.org
with reasons for the extension. Applications should be made at an early
stage and will be considered on an individual case by case basis.
Third Party/Inter Professional Complaints
The Department will continue to receive third party or inter professional complaints. Solicitors who wish to make a complaint are encouraged to correspond with the Society via secure email. If a solicitor sends hard copy documents or papers to the Society please send a copy via email where possible. If you are only able to send hard copy documents or papers, unfortunately there may be a delay in your complaint being acknowledged or processed.
LEXCEL
Where members seek to apply for or renew LEXCEL accreditation, please correspond with the Department through the email addresses provided.