In the Matter of the Solicitors Act 1974: Re A Solicitor (No 13 of 2001) (Tyrone Anthony Walker)

The regulator may consider outstanding disciplinary referrals when reviewing whether a solicitor should practise without a condition. An interim condition may be justified where the matter is sufficiently serious to protect the public. The decisive question remains whether the condition is necessary in the circumstances existing at review. Historic accounting incompetence, without positive evidence of current risk, may not justify a condition that effectively stops practice. Proper filing of statutory accounts is relevant but not conclusive. The condition’s serious effects on clients and staff must also be considered. Where the evidence is insufficient, the appellate court may suspend the condition and adjourn for targeted further inquiry.

The appeal concerned a condition imposed on the appellant’s practising certificate requiring him to practise in employment or an approved partnership. The condition followed serious accounting irregularities in 1996 and 1997, which involved incompetent bookkeeping but no dishonesty, and had previously been upheld after an appeal.

The OSS Adjudicator continued the condition in March 2001, referring to pending disciplinary proceedings and earlier findings of the Solicitors Disciplinary Tribunal. The Appeals Committee rejected the appellant’s further appeal and directed that the condition take effect from 30 September 2001. The central issue was whether the condition remained necessary for public protection, having regard to the current evidence and the consequences of its enforcement.

Lord Phillips MR gave the sole judgment.

1. Outstanding disciplinary matters. The Office for the Supervision of Solicitors was entitled in principle to consider matters outstanding before the Solicitors Disciplinary Tribunal when deciding whether a solicitor should continue without a practising-certificate condition. Some referrals may be sufficiently serious to justify interim protection. The current complaint was strongly contested, and the earlier complaints had not disclosed even a prima facie case. The outstanding matters could not justify a condition as serious as the one imposed.
2. Present necessity. The relevant question was whether, in the circumstances existing at the review, it was necessary for public protection that the appellant practise with an approved partner. The assessment required positive evidence of present accountancy shortcomings or grounds for apprehension. It also required consideration of the time elapsed since the irregularities, the absence of current complaints about the service provided to clients, and the severe consequences of forcing the appellant to cease practice, including effects on his workforce and clients.
3. Evidential significance of accounts. The apparent proper filing of statutory accounts was relevant but did not guarantee that all was well with the solicitor’s accounts. The Law Society had not taken the proactive steps previously recommended to investigate whether the condition remained necessary. The appellant’s disregard of the existing condition was highly unsatisfactory, but that conduct was not the issue determining the appeal.
4. Order. The appeal was adjourned for three months and the condition was suspended during that period. The Law Society was directed to provide positive evidence addressing the continuing need for the condition. The parties were expected to communicate, and the appellant was expected to prepare an alternative partnership arrangement if necessary. There was no order as to the costs of the day.

1. Court of Appeal (Civil Division): The appeal was adjourned for three months, with the condition suspended pending further evidence.
2. Appeals Committee of the Office for the Supervision of Solicitors: On 23 August 2001, the Committee rejected the appellant’s appeal and directed that the condition take effect from 30 September 2001.
3. OSS Adjudicator: On 12 March 2001, the Adjudicator imposed the condition requiring practice in employment or an approved partnership.