Practice unit options and information

We require seven working days of receipt of all documentation to authorise a traditional practice. Please submit the following:

• PUI 1
• Payment (if applicable) of:
  • Client Protection Fund fee
  • Accounts fee
  • AML fee
• Sample letterhead*
• IFB 1, if required (see below)
• Your practice unit’s Master Policy professional indemnity insurance schedule as issued by Lockton
• Anti-money laundering information – see Compliance section

*This can apply to letterheads, business cards and email footers. There are no specific requirements as to what a letterhead should contain – although it would be useful to have your name, the name of the firm and contact details. We are just keen to make sure that details are accurate and compliant with our rules before you start trading. 

There are statutory requirements in relation to publication of company and LLP names: at registered offices, on stationery, invoices, emails and websites (e.g. The Company, Limited Liability Partnership and Business (Names and Trading Disclosures) Regulations 2015 and Companies Act 2006).

We require all documentation one month prior to the proposed start date (Rule D5.3) 

Please submit the following:

• PUI 1
• INC1
• Memorandum and articles of association (M&A) (required) – (Rule D5.4.1 provides specific requirements for M&A as standard M&A are not compliant)
• Copy of the certificate of incorporation of the company
• Signed Client Protection Fund undertakings from each manager
• See fee page for current rate
• Payment of the Client Protection Fund fee for each manager (if payment for the year has not already been made)
• Sample letterhead
• IFB1 form, if required
• Once an application has been granted, we require either your endorsement to your indemnity insurance schedule if you are converting an existing practice or your schedule of insurance as issued by Lockton
• Anti-money laundering information - see Compliance section

We require all documentation one month prior to the proposed start date (Rule D5.3) 

Please submit the following:

• PUI 1
• INC1
• LLP agreement (optional)
• Copy of the certificate of incorporation of the company
• Signed Client Protection Fund undertakings from each manager
• See fee page for current rate
• Payment of the Client Protection Fund fee for each manager (if payment for the year has not already been made)
• Sample letterhead
• IFB1, if required
• Once an application has been granted, we require either your endorsement to your indemnity insurance schedule if you are converting an existing practice or your schedule of insurance as issued by Lockton
• Anti-money laundering information - see Compliance section

We require all documentation three months prior to the proposed commencement date.

Please submit the following:

• PUI1
• MNP1
• RFL1 form for each non-Scottish manager
• Annual payment of the Client Protection Fund fee for each Scottish manager (if payment for the year has not already been made). There is an additional fee for MNP registration in addition to the incorporation fee. See fee page for current rate.
• Sample letterhead
• IFB1, if required
• The practice unit’s indemnity insurance schedule as issued by Lockton or evidence of insurance if you use multinational options b or c right (Rule B7.1.6)
• If the MNP is to be a limited company or LLP, or if an existing limited company or LLP currently operating outside Scotland is to be used, that entity will require to be recognised as an incorporated practice – in that case, we will require sight of all the additional documentation described in the incorporated practices sections above.

a) Multi-national practice (recognised by the Law Society of Scotland only)

There is a requirement that at least one Scottish manager and a manager qualified in the other jurisdiction are appointed in the business. 

Becoming a Scottish MNP (with approval from us) only entitles you to have lawyers from another jurisdiction as managers (as registered foreign lawyers registered in Scotland) in the Scottish business. The practice unit is only entitled to do Scottish work, including Scottish reserved area work, and non-reserved work in the other jurisdiction.

b) Multi-national practice (recognised by the Solicitors Regulation Authority (SRA) only)

Example: an English business becoming an English MNP (with approval from the SRA) only entitles you to have lawyers from another jurisdiction as managers (as registered foreign lawyers, or RFLs, registered in England and Wales) in the English business. 

The practice unit is only entitled to do English work and Scottish non-reserved work. Scottish solicitor managers in such a practice would register as RFLs with the SRA.

c) Multi-national practice (recognised by us and SRA)

Example: if a single business registers as an MNP with both the SRA and us, not only are solicitors from both jurisdictions entitled to be managers of the business (all managers also being registered as RFLs in one jurisdiction or another, depending on where they originally qualified), the business is also entitled to do work in both jurisdictions whether reserved area or not. 

See Law Society Rule D8 for further information on Multi-National Practices.

This provides for the registration of foreign lawyers, ie lawyers from jurisdictions outwith Scotland (including England and Wales). Foreign lawyers must be registered with us before they can enter into MNPs with Scottish solicitors or incorporated practices. An MNP must have at least one Scottish solicitor and one registered foreign lawyer (see Law Society rule D7).

A list of jurisdictions recognised by us for RFL licensing purposes is available on our website. If an RFL is from a jurisdiction that is not listed, an application must be made for recognition of that home regulator.