Step 1: Accessing the Search
What do I do if the firm name searched matches a different firm's name in the matched business?
Conduct the report against the firm name searched and at the top of the report on a line without a bullet point add the wording as follows: 'Found that the account number and sort code you searched against have previously been seen in a transaction relating to a different entity within the Lawyer Checker database. That entity is called '[firm name]'. Make sure that the statement is bolded.
What do I do if there is a duplicate office in the system?
You can change a duplicate office in the system to match another office listed on Find a Solicitor/CLC for the firm you are searching against. For example, if they have 3 offices on Find a Solicitor and only 2 are listed in the system as duplicates, one can be changed and the other can be added as a new office. However, if there is only one office listed on Find a Solicitor and there are 2 duplicates in the system, you can remove all details of one of the addresses, leaving in the firm name
What do I do if it is a duplicate of a search done earlier today/yesterday?
We need to check that the search is in the same account and against the same address and this can be pushed out as it should have already been approved.
What do I do if it is a duplicate of a search done 2 days before?
We can copy the search done 2 days prior as long as it is in the same account again and against the same postcode. But as it is a new day we need to check the information all again including the solicitors conditions/scam alerts - almost like a thorough approval. If it was done more than a day ago we need to do the search from scratch to avoid any errors.
If the search result is 'Pending' in the initial result section in the Team Leader inbox?
There has been a technical error, add the following statement to the search: 'Due to a technical error, we were unable to process your search against [firm] and are unable to provide you with a result. The search has subsequently been set to free. '
Step 2: Identifying Search Type
If a search has produced an unknown result but we have seen the entity searched in our database before with similar details, what would I write?
At the top of the report, add the following wording bolded: "We have details in the Lawyer Checker database of an entity with the same name, address and account number/sort code [but with a different account number/sort code]. We last saw these details used on [list the last 3 dates]. [The account number/sort code given is very similar to that in our database so this may be due to a typographical error.]"
The search is unknown and there is a similar account number/sort code on a previous search for the same firm, however, It is 2 digits different instead of 1, should it be listed as a typo.
If it seems like a typo but 2 digits different you can write that it is 'similar' rather than 'very similar' as follows 'The account number/sort code given is similar to that in our database so this may be due to a typographical error'. Alternatively you can write 'The account number/sort code given is similar to that in our database'.
On an unknown search, where do I find the last three dates used on a previous search for the same firm with different account details?
The three most recent dates can be found in the 'previous searches' as well as the 'previous transaction' section.
If the account details search match a different entity to the name searched, what is the wording?
Conduct the report against the firm name searched and at the start of the report on a line without a bullet point add the wording as follows: 'Found that the account number and sort code you searched against have previously been seen in a transaction relating to a different entity within the Lawyer Checker database. That entity is called '[firm name]'.
If a search has been submitted against a client for AES when it was intended to be a CBAC, what is the wording?
We believe this search to be against and individual and not an entity. We therefore are unable to provide further research. If this is incorrect, please call us on 0800 133 7127.
Would you include an Unknown statement if the last searched date exceeded 3 years?
No
Step 3: Find a Solicitor
There are more than 2 entries on Find a Solicitor/SRA for the same firm?
For the second entry add a line after the CQS line as follows: 'The SRA have informed us that an entity of the name [name] also trades as the head/branch office at the [postcode] address with SRA number [number] and with no conditions listed against the entity.'
If there is a second entity on FaS/SRA that only lists the branch address (that has not been searched) as the Head office, what is the wording?
'The SRA have informed us of another entity of the name [name] with SRA number [number]. The address is listed as [full address] and there are no conditions listed against the entity.'
How would you format if there are more than 3 or more entities on Find a Solicitor/SRA for the same firm?
The SRA have informed us of the following entities: Star Legal (5) Limited (569975), Star Legal (6) Limited (569978) and Star Legal (7) Limited (569980) that also trade as the head/branch office at the BS8 1AT address with no conditions listed against the entity.
The search has been made against the name of a solicitor instead of the firm, the solicitor is regulated by the SRA but listed as 'main role not specified' on Find a Solicitor, how do we word this on the report?
Conduct the search against the solicitor and use the wording as follows: 'Not found an entity name or postcode you searched against with the SRA or CLC.' then on a separate bullet point 'The SRA have informed us that there is an individual with the [name], main role not specified, who was admitted on [date], with SRA number [number] with no conditions.'
If we speak to the SRA to confirm details for a search (e.g. to confirm a specific date or if you can't find an entity) what is the wording?
'We can confirm that we have spoken to the SRA on [date] and they have confirmed that ... (for example: Thursfields Legal Limited is on the ABS Register) '
If there are 2 entities on Find a Solicitor- one is SRA regulated and the other is non-SRA regulated- would I include the non-SRA regulated as a second entity?
No, just include the entity that is SRA-regulated.
A firm has searched a law firm that has 2 entities on FaS, one is SRA-regulated and the other is non-SRA regulated. The post code that they've searched appears on the non-SRA regulated entry but not the regulated. What should I do?
Do the search against the SRA-regulated entry and use the incorrect post code.
If the SRA have informed us that the firm being searched against is closed/closing, what is the wording?
- Found the entity that you have searched against with the SRA who confirm that an entity practices as [Firm Name] with SRA number [1234].
- The SRA have stated that this firm is [closed/closing].
Do we add second entities if they include 'Legal Services'?
Yes, the only second entities we would not include is Holdings, Groups or Services. If it is Legal Services, we would include.
What is the wording if we have found a related firm on the SRA that has closed/is closing but it isn't the one being searched?
Prior to your search, we received notification from the SRA that the organisation [Firm Name] with SRA number [Number] has closed/is closing. We therefore strongly recommend that you refer to the COLP or COFA or other similar Approved Persons within your organisation. The details can be seen here: [URL].
Trading Names
Do I write the firm name exactly as it is listed on Find a Solicitor?
Yes, unless the firm name is listed as Llp, in these cases, we would capitalise this to 'LLP'.
If the search is against a branch address and the head office entity has a different firm name, do we include the head office firm name on the report?
Yes. List the branch office details as usual then add in the head office details including the different name at the address point: 'The head office address is: [head office firm name] and [head office address]'.
When listing trading names, do we include the other information in brackets such as (practising style for…) or (trading style for…)?
No, you only include the trading names listed without the other information in brackets.
If a 'trading name' listed is exactly the same as the firm name, do I include it as a trading name in the report?
No, you do not need to include this if it is the exact same. If there is any variation, even if it slight i.e 'Ltd' and 'Limited', include both names.
What is the wording for listing trading names in a manual template?
The wording is: 'The entity is listed with the following trading name/names :' on the second bullet point of the report.
What do you do if there are loads of trading names listed?
The wording is: 'The entity is listed with many trading names, including:' and only list up to four trading names that are most relevant.'
Lexcel Accreditation
What is the wording for Lexcel in the manual template?
The wording is 'The entity is Lexcel accredited.'
If the firm website shows that the firm is Lexcel accredited but the Lexcel symbol does not appear on Find a Solicitor, would I state that the entity is Lexcel accredited?
No, if Lexcel accreditation is not visible on Find a Solicitor the firm is not Lexcel accredited.
If I can only find the firm listed with on the website and not Find a Solicitor so I can't confirm whether they are or not?
Go to the Lexcel website, scroll down the the section with the heading as 'Membership' and click on the hyperlink ' download a list of accredited practices'.
New Process for Checking the Firms Record
What is the wording for a Regulatory Settlement Agreement?
The wording is as follows: "Regulatory Settlement Agreement against [name of firm] (SRA number) dated [dd/mm/yyyy] that [details of what happened]. The details can be seen a thttp://www.sra.org.uk/consumers/solicitor-check/119048.article"
What is the wording for a Rebuke?
The wording is as follows: "Rebuke against [name of firm] (SRA number) dated [dd/mm/yyyy] that [details of what happened]. The details can be seen at http://www.sra.org.uk/consumers/solicitor-check/119048.article."
What is the wording for an Intervention?
The wording is as follows: "The SRA has on [dd/mm/yyyy] intervened into [name of firm] (SRA number) on the grounds that [details]. The details can be seen at http://www.sra.org.uk/consumers/solicitor-check/119048.article."
Where in the report should SRA conditions be added?
List any SRA conditions against the entity after the line 'The SRA have informed us that the postcode you searched against relates to the head/branch office and there are conditions against this entity:' on a separate bullet point.
Conditions Against the Firm
If there are no solicitors listed as working at the branch address searched, do I check for conditions on solicitors listed at other office(s)/ the conveyancing department of the entire firm?
Yes, check the other office(s) for conditions, however, if there are over 30 solicitors to check then just check the conveyancing - residential department for the firm. This is found under 'Areas of Practice at this organisation' and then 'Conveyancing – residential'. If there are no solicitors listed as working at the branch address searched the wording is as follows: 'There are no solicitors listed as practicing at the branch address. – new bullet point – 'The SRA has informed us that there are no conditions or findings against solicitors listed as practising from the head office address.'
What is the wording for a Condition/SRA notice?
'SRA [decision type] dated [outcome date] against [Consultant/Partner/Locum/Solicitor ] [full name] (SRA ID) that [details of what happened]. [Details of outcome]. The details can be seen at [link to site]. [[Name] was granted a practising certificate free from conditions on [date].]'
If there is a notice of an SRA condition for the entity searched on the Lawyer Checker database, but the solicitor with the condition is no longer practising at the entity searched?
If the solicitor has moved to a different firm we can link that business to the Notice if we have it in the system. If the outcome date was less than a year ago, then we add this statement to the end of the notice [[Solicitor Name] is no longer listed as practising at the entity [business name].]. We then keep this on the previous business for a year from the outcome date.
Where should SRA conditions be added in the report ?
List any SRA conditions against the entity after the line 'The SRA have informed us that there are conditions or findings against solicitors listed as practising at the address you searched against:' on a separate bullet point.
If the search is against a branch address, and there are no conditions against solicitors at the branch office but there are conditions against a solicitor or solicitors practising at the head office/another branch office what is the wording?
The wording is as follows: 'The SRA has informed us that there are/is a condition(s) or finding(s) against solicitors listed as practising at the entity.' Then add a sentence at the end which says: '[Solicitor's name] is listed as practising at the [postcode] head office/branch office address' to the end of the condition.
If I have found a solicitor with a condition that has not been added to the system because the entity searched is a genuine unknown in our system and they had subsequently been granted a practising certificate free from conditions, does the condition need to be added to the report?
No, if we do not have the notice in the system and they have been granted a practising certificate free from conditions we do not need to add the Notice.
Step 4: Land Registry
If there are references to a trading name on Find a Solicitor/Streetview/ICO/firm website, do I need to check this name for land registry transactions?
Yes, if it appears to be a trading name include it on the land registry search. This is also the same for a second entity.
What is the wording for listing the past month's Land Registry transactions?
The wording is as follows:
'The previous published month shows a firm of the name [enter name] completed [enter amount ] transactions according to Land Registry data.'
What is the wording for the additional land registry lines?
After the first Land Registry line, on a separate bullet point(s) the wording is as follows:
'Further, a firm of the name [enter firm name] completed [enter amount] transactions'.
And if there are multiple entries carry on a separate line:
'A firm of the name [enter firm name] completed [enter amount] transactions.'
Step 5: Sort Code Check
When do I need to check the distance between the bank and the firm searched?
You only need to check the distance between the bank and the firm if you are 100% confident that the bank you have found relates to the sort code searched. You do not need to check the distance between the bank and the firm if you are unsure which bank the sort code relates to. For example, if the sort code related to Barclays, Bristol City Office and there are multiple Barclays in Bristol.
What is the wording for a wrong sort code on an unknown search?
The sort code searched does not appear to exist. (Needs to be in bold)
"If the bank name lists the exact same as the branch name on Sort Code Checker, do we include both?"
We do not need to include both if the name is exactly duplicated however, if there is even the slightest variation i.e. Hampden & Co. Plc and Hampden & Co Plc, both will need to be listed.
If the sort code relates to Svenska Handelsbanken, Handelsbanken AB PUBL, which does not list an address, do we need to check the distance from the office?
No, if a geographical location is not listed on sort code checker you do not need to check an address.
If the search is against a branch office, do I need to list both the distance from the branch office and head office?
Check the distance from the head office if the branch office is over 20 miles from the bank and the head office is closer to the bank than the branch address.
When should I use a bank's branch finder?
Branch finder should be used when there are multiple entries on google maps for a branch in a specific location. You can use branch finder to determine whether the name that appears on the sort code checker relates to a specific branch, if not, then you would remove the bank distance.
Step 6: Firm Website
If the SRA number listed on the website does not match the information given on Find a Solicitor/SRA?
If the website has a different SRA number to the firm on Find a Solicitor, the wording is as follows: 'There does appear to be a firm website at [] which lists the SRA as [enter number].
If the branch address searched is not listed on the website but the head office address is, do I mention it in the report?
'There does appear to be a firm website at […] which confirms the head office address.'
If there is no address at all on website but there is a telephone number, what is the wording?
'There does appear to be a firm website at […] which confirms the telephone number listed with the SRA. The website does not appear to list an address'
If there is no address at all listed on the website and no telephone number, what is the wording?
'There does appear to be a firm website at […] which does not appear to list an address'
The SRA number/trading name/address is visible on a google search page, however, it cannot be found on the actual website, can I write that the website confirms the address/SRA number?
No, do not state that information is listed unless it can be seen on the website.
What is the wording for a second website found on google?
On a separate line the wording is: 'There also appears to be a firm website at [website] [which confirms the address/SRA number].'
If the wrong address is listed on the website, what is the wording?
The wording is 'There appears to be a firm website at [site URL] which lists the address as [list address in full]. The head/branch address searched does not appear to be listed on the website'.
When two similar working URL's e.g. http://[firm name].com/ and http://[firm name].co.uk, are both look like the same website do we include both the URLs in the report?
Yes, any variation of valid URLs should be included on separate lines. After the first website line the wording is as follows: 'There also appears to be a firm website at [enter URL] which confirms…'. Also, specify on the FCA line which website is confirmed on the register. However, make sure that when the URLs are entered into the search bar they do not automatically change to the same URL, if this happens only include the one URL.
If a different website is listed on the FCA to the one found using Google search but when the link is opened it redirects to the website found on Google what is the wording?
The wording is: 'The entity is listed on the FCA Register of Exempt Professional Firms. This confirms the name, SRA number, address and lists the website as http://www.chapsol.com which redirects to http://www.qualitysolicitors.com/chapsol. '
If you are searching a branch office and that address is confirmed on the website but only the head office SRA number is on there, what is the wording?
There does appear to be a firm website at [site URL] which confirms the branch address & head office SRA number.
If you are searching a branch office and the branch address and branch SRA number are on the website what is the wording?
There does appear to be a firm website at [site URL] which confirms the branch address & branch SRA number.
If you are searching a branch office and the branch address is on the website what is the wording?
There does appear to be a firm website at [site URL] which confirms the branch address.
If you are searching the head office and the head office address is on the website what is the wording?
There does appear to be a firm website at [site URL] which confirms the address.
If a website is opened and it redirects to another website what is the wording?
'There does appear to be a firm website at [site URL] which redirects to [site URL].' You then add in the website it redirects to separately as usual on another paragraph: 'There does appear to be a firm website at [] which confirms...'.
What is the wording if a second entities SRA number is listed on the website?
'...which confirms the [00000] SRA Number.'
What is the wording if the firms website has listed a scam alert?
The firms website has on [date] released a Scam Alert regarding [a summary of what the scam is]. The details can be found at [URL for the scam alert page].
If the website does not appear to load, what is the wording?
There does appear to be a firm website at [site URL] which does not appear to load.
If the website is a holding page?
The does appear to be a firm website at [site URL] which appears to be a holding page.
If the firm has a lot of websites, is there a maximum number of websites you need to include?
No, we cannot be selective of which ones we include so we include all of them. If there are more than 5, only include the main website that relates to the firm being searched against so as not to cause confusion.
If the website does include a digital badge however, when I click on it, it does not direct to the verified page. What is the wording?
The website also shows a digital badge awarded by the SRA however, it does not redirect to say that the website is verified by the SRA. The logo can only be used by approved and authorised websites.
I have found the SRA number/address/trading name on a PDF document from the website, can I say the website confirms this?
Yes
What is the wording if the website directs to a page shown right?
Click on the 'Not secure' button to the left of the URL and select the correct statement based on the information provided:
The certificate has expired or is not yet valid: 'There does appear to be a firm website at [URL] which does not appear to hold a valid certificate. Consequently, we are unable to confirm details on the website.'
What is the wording if there is a website listed on the SRA but it redirects to a different website that looks dodgy or unsecured?
There appears to be a firm website/There also appears to be a firm website at [URL] which redirects to [URL] which does not appear to be a secure website, nor does it appear to relate to the firm.
Step 7: Internet Search
If I find an SRA Scam Alert on a google search, what it the wording for the report?
'The SRA has on [date] released a Scam Alert regarding [details of alert]. [How this relates to the entity]. The details can be found at [link to site].'
If there are internet entries but they are few in number (i.e. Only 3 or 4), what is the wording?
The wording is as follows: 'Internet searches show entries relating to the entity at the same address given by the SRA but they are few in number'.
Step 8: Google Streetview
If the office is not visible (on a pedestrianised street/private street/ private business park road) but you can see the entrance of the park/end of the pedestrianised or private street what is the wording?
The wording is 'A search using Streetview shows that the address appears to be on a [pedestrianised street/ private street/ business park]. Streetview image capture is dated [date].' For the Streetview image capture date choose the one closest to the address, for example at the end of a pedestrianised street looking down the street towards where the office should be, or the entrance of the private road/business park.
The address is not available on Streetview at all, for example the road and those surrounding are all not accessible not all, what is the wording?
'Google Streetview access does not appear to be available at the address searched.'
If a previous firm name is displayed on Streetview image capture, do I write ' The firm name [old firm name] is permanently and prominently displayed' or 'The firm name does not appear to be displayed'? The website does state the change of name.
If it is a past/merged firm name write - 'The firm name '[name visible]' is permanently/and prominently displayed'.
The office visible on Streetview has a different and unrelated to the firm name to the one searched, do we include the firm name in the report as 'appears to be an office building with the firm name '[enter name]' permanently/prominently displayed'?
The wordings is 'A search using Streetview shows that the address appears to be an office building. The firm name does not appear to be displayed. Streetview image capture appears to show the firm name as '[enter name]' and is dated [date].
The address search is a post box address, what is the wording?
'The address searched appears to be a post box address'.
If an incorrect postcode for an entity is searched, would I conduct a Streetview search for both the incorrect postcode and the correct registered address for the entity?
Yes, search for both the addresses on Streetview and list them on separate bullet points. The wording for an incorrect postcode searched on Streetview is as follows: 'A search using Streetview shows that the [enter postcode] post code appears to relate to [enter area or street/town the postcode relates to]'
If the postcode search relates to the bank instead of the firm, what is the wording?
The wording is as follows: 'A search using Streetview shows that the [enter postcode] post code appears to relate to [enter bank name/street/town the postcode relates to]'
If a postcode searched does not appear to be an existing postcode or it is a non-geographical postcode what is the wording?
The wording is: 'A search using Streetview shows that the [postcode] address does not appear to relate to a geographical address'. Or 'A search shows that the postcode does not appear to exist'.
If a postcode searched shows a site / building still under construction what is the wording?
The wording is: 'A search using Streetview shows that the (Postcode) address appears to be (E.g.. an office building) under construction with the firm name (E.g. permanently) displayed / The firm name does not appear to be displayed. Streetview image capture is dated (Date).
The address searched is a house in a residential area?
The wordings is 'A search using Streetview shows that the address appears to be a residential property . The firm name does not appear to be displayed. Streetview image capture is dated [date].'
If an older Streetview date shows that the firms name used to be permanently and prominently displayed but the most recent date doesn't show the firm name, what do we say?
If the firm name is not shown in the most recent Streetview date we would state: 'The firm name does not appear to be displayed.'
Can we use a street view that any user/firm has added?
Yes, as long as this is a 360 Streetview and you are confident that the building/street view relates to the firm. if you are unsure in any way please refer this to Sarah and we can assess on an individual basis.
What do you do if you cant specify which building it is referring to but you know all buildings/area at the address are the exact same?
Remove the line to state whether it is permanently or prominently displayed/not displayed. As we do not want to make assumptions but want to give the client as much info as we can.
If the firm name is shown clearly on a sign inside of the building, what wording do we use?
'..with the firm name permanently and prominently displayed'
What is the wording if there is a sign stating that the firm has moved when searching the address listed with the regulatory body?
A search using Streetview shows that the address appears to be an office building with the firm name permanently and prominently displayed. The sign states that the firm address has moved. Streetview image capture is dated (Date).
Step 9: Companies House
Do we include Dissolved, Closed or Converted Companies?
Do not include Dissolved or Closed Companies, unless there are no other active companies listed on Companies House. If you do have to include a dissolved company, you will also need to include the dissolved date:
'...the company is listed as Dissolved. The company was incorporated on [date]. It was dissolved on [date].'
"If there are multiple companies that I need to include in the search, would I write 'There is another entity listed...' for the additional entries.?"
No, all entries should follow the normal wording as shown further up on this page. We don't say 'There is another entity'.
If the postcode that has been searched relates to a previous address of the firm, where on the Companies House entry do I view previous changes of address and what is the wording in the report?
If a company has moved address, you should be able to find information on the change of address on Companies House under the 'Filing History' tab. The wording is as follows:
'The registered office address changed from [enter full address] to the [current postcode] address on [date].'
If a company is listed as a 'Private company limited by guarantee without share capital', how do I write this?
We always put the company type as it appears on Companies House so we would still write this out in full.
The wording for this is:
"The entity appears to be a Private company limited by guarantee without share capital', [Company Registered Name] with company number [company number]. The Registered Office is [enter full address] and the company is listed as [Active] and incorporated on [dd/mm/yyyy date incorporated]. [The company changed name on [] from [previous company name].]"
What is the wording for an entity listed as Industrial/Provident or Registered Society on Companies House?
First, list the companies house entry and word in the report as follows:
'The entity appears to be listed as an Industrial and Provident or Registered Society, [name], with company number [company number].' (This will need to be added on the manual template).
Next, follow the link on Companies house to the FCA Mutuals Public register https://mutuals.fca.org.uk / and search the register for the company. Find the listing on the FCA Mutuals register and word on a separate bullet point in the report as follows:
'The entity is listed on the FCA Mutuals Public Register with number [number]. This confirms the name and address of the entity. The entity was registered on [date of registration].'
mutuals.fca.org.uk
Other Mutuals Links. Download the Register (CSV of basic society details); Glossary and other information about the register; Request digitisation of files not currently available online; Mutuals Society Portal (submit application forms or register n…
A company has changed its name several times, how many and which one should we include?
We only need to add one name change unless it is relevant to the search.
The wording for one name change is:
'This company changed its name on [date] from [previous name].'
If you are adding an additional one, add the below to the above:
'...and on [date] from [previous name].'
Would you add a company with the name '[company name] Property Services Limited', '[company name] Legal Services Limited' or '[company name] trustees?
We do not include companies that are '(company name) trustees/secretarial/pensions/services/Nominees/Group' unless it isn't on Companies House with any other name. We do, however, list companies that include 'legal' in the name such as '… Legal services Limited'.
If a company is listed as a 'Private Limited Company', how do I write this?
A company can either be a Private Limited Company or a Public Limited Company. In both cases, we would just remove the 'Private/Public' and write 'a Limited Company'.
If directors listed as practising at one entity are also listed as practising at another, what is the wording?
The wording is:
'The entity appears to be a [Company Type], [Company Registered Name], with company number [company number]. The Registered Office is [enter full address] and the company is listed as [Active] and incorporated on [dd/mm/yyyy date incorporated]. [The company changed name on [date] from [previous company name]]. Directors listed as practising at this entity are also listed as practising at [other firm name].'
If Companies House list 2 entries for relating to the firm being searched against but they are both Dissolved, do we include both?
No, only include the more recent Dissolved company.
Step 10: FCA Register
What is the wording for entity listed on the Register of Financial Services Firms?
The wording is 'The entity is listed on the FCA Register of Financial Services Firms with registration number []. This confirms the name as [name] and the address searched. The effective date is shown as [date] and the current status is listed as ['status'].
What is the wording when trading names are listed on the FCA?
The wording is 'The FCA Register lists the following trading name/names: [list of names].' This is to be added to end of the FCA statement.
What is the wording when there is a second entity listed on the FCA?
The wording is ' An entity of the name [entity name] is listed on the FCA Register of Exempt Professional Firms. This confirms the [state which SRA number] SRA number, address and website.'
If an entity is listed on only one of the FCA registers, do we include both statements?
No, only include the statement for the FCA Register that the entity is listed on. If the entity is not listed on either, only include the wording 'The entity does not appear to listed on the FCA Register of Exempt Professional Firms.'
On the FCA Register of Financial Services Firms the firm status is listed as 'Introducer A.R', should I list this on the report?
Yes, list the status as Introducer A.R. For example: 'The entity is listed on the FCA Register of Financial Services Firms with registration number []. This confirms the name as [name] and address searched. The effective date is shown as [date] and the current status is listed as 'Introducer A.R'.
If the branch address searched is confirmed on the FCA register, what is the correct wording?
When confirming a branch address on the report, always write 'confirms the branch address' rather than 'confirms the branch office address'. (This should be same throughout the entire report).
If I have found more than one firm website, do I need to list which website is confirmed on the FCA register?
Yes, if you have found more than one firm website always specify which URL is listed on the FCA register as follows: 'The entity is listed on the FCA Register of Exempt Professional Firms. This confirms the name, SRA number, address and [enter full URL (for example http://www.firmname.co.uk)] website.'
If a different website is listed on the FCA to the one found using Google search but when the link is opened it redirects to the website found on Google what is the wording?
The wording is: 'The entity is listed on the FCA Register of Exempt Professional Firms. This confirms the name, SRA number, address and lists the website as http://www.chapsol.com which redirects to http://www.qualitysolicitors.com/chapsol. '
Do we add the FCA listing if it says 'No Longer Authorised'?
No, do not include it. Use the wording 'The entity does not appear to be listed on the FCA Register of Exempt Professional Firms'. You still need to check the assistant for conditions on the SRA.
On the FCA Register of Financial Services Firms the firm status is listed as 'Appointed Representative', should I list this on the report?
Yes, list the status as Appointed Representative For example: 'The entity is listed on the FCA Register of Financial Services Firms with registration number []. This confirms the name as [name] and address searched. The effective date is shown as [date] and the current status is listed as 'Appointed Representative '.
On the FCA Register of Financial Services Firms it states the following: This is a firm that we have been told is either operating regulated activities without the correct authorisation, or is running a scam. We strongly suggest you avoid dealing with unauthorised firms like this. Would I include this in the search?
Yes, you would use the following wording: 'The entity is listed on the FCA Register of Exempt Professional Firms. This confirms the (name, SRA number, address and website). The FCA have issued the following warning: This is a firm that we have been told is either operating regulated activities without the correct authorisation, or is running a scam. We strongly suggest you avoid dealing with unauthorised firms like this. For further clarification please contact the FCA directly. Details can be seen at (enter the link for the FCA page).
What do you use when the FCA Register lists a RICS number instead of an SRA number?
The entity is listed on the FCA Register of Exempt Professional Firms. This confirms the name, address, website and the RICS number is listed as 12345.
The FCA Register site is down, what do I do?
If you have tried a different browser to the one you already use and the site still does not work, use the following wording: At the time of conducting this search, the FCA Register was not available.
What is the wording when the FCA Register issues a 'Warning/Cloned firms' notice?
'The FCA Register has also issued a warning that...'
What is the wording when the FCA Services Firms status is listed as 'Authorised - applied to cancel'
'The entity is listed on the FCA Register of Financial Services Firms with registration number []. This confirms the name as [name] and address searched. The effective date is shown as [date] and the current status is listed as 'Authorised - applied to cancel. This means that the firm has applied to cancel its authorisation but must still meet our standards in dealing with its customers. '
Step 11: ICO Register
If the firm name is included as part of the address e.g. 'James E Baird Solicitors, 37 Frederick Street, Sunderland, SR1 1LN', do we include the firm name as part of the address on the report or remove it?
Remove the firm name from the address and add it on the line 'There is another name listed as James E Baird Solicitors'.
If the firm name included as part of the address is different to the registered name, does this count as another name listed?
Yes, any other name on the register's information should be included on the line 'There is another name listed as.../There are other names listed as [other name(s)]'.
Do we include other names that are exactly the same as the registered name?
Yes, always include any name listed under 'other names' on the register even if it is the same as the registered name.
If the ICO entry is under a solicitor's name who works at the firm searched, what is the wording?
The wording is 'The entity is listed on the ICO Data Protection Register as 'name', who is the regulated principal at this firm, with registration number [number]….' However, if the name listed on the register is the sole practitioner, do not include 'the regulated principal at this firm' because the sole practitioner should already have been identified in the report.
If the ICO entry is registered under a person's name who does not work at the practice, what is the wording?
The wording is ''The entity is listed on the ICO Data Protection Register as 'name' with registration number [number]….'.
For a CLC, if one of the listed licence holders is listed as the registered name on ICO do I need to include 'who is the regulated principal at the entity' after their name in the report?
No, in the same way as for a sole practitioner we do not need to add 'who is the regulated principal at the entity' if they have already been referred to in relation to the entity in the report.
If the ICO details a 'Representative' name and/or address what is the wording?
Add the following to the end of the ICO bullet Point: The register lists a representative name as (name) at the (postcode) address, who is the regulated principal at the entity. (Only put 'who is the regulated principal at the entity ' at the end of the statement if they are listed on Find a Solicitor.)
If ICO is not available at the time of conducting the search, what is the wording?
At the time of conducting this search, the ICO Data Protection Register was not available'.
What do we do if the address listed with ICO is a previous registered address?
Change the wording to state lists the address instead of confirms. Add the additional line of 'This relates to a previous office.'
If the listed trading name is the exact same as the registered name, do we need to include it?
No, we do not need to include it.
Step 12: Checking for Scam Alerts
If I find an SRA Scam Alert on a google search, what it the wording for the report?
'The SRA has on [date] released a Scam Alert regarding [details of alert]. The details can be found at [link to site].'
Step 13: Checking for Notices
Standard Wording
Scam Alerts
'The SRA has on [date] released a Scam Alert regarding [details of alert]. [How this relates to the entity]. The details can be found at [link to site].'
Example:
'The SRA has on 28/08/2015 released a Scam Alert regarding members of the public being contacted by telephone from someone falsely claiming to be from Nationwide Solicitors LLP. The call related to a car accident the receiver had been involved in. The SRA has previously authorised and regulated a firm of solicitors called Nationwide Solicitors LLP, whose address was 523 - 525 Green Lane, Ilford. This firm closed on 29 October 2014. The details can be found at http://www.sra.org.uk/consumers/scam-alerts/2015/Aug/nationwide-solicitors-llp.page.'
Condition/SRA notice
SRA [type] dated [outcome date] against [full name] (SRA ID) that [details of what happened]. [Details of outcome]. The details can be seen at [link to site]. [[Name] was granted a practising certificate free from conditions on [date].]
Example:
'SRA Referral to Solicitors Disciplinary Tribunal dated 08/09/2014 against Anthony Julius Newton (092919) that he transferred funds from client account without notifying the client and that he took unfair advantage of the client. The allegations are subject to a Hearing before the Solicitors Disciplinary Tribunal and are as yet unproven. The details can be seen at http://www.sra.org.uk/consumers/solicitor-check/092919.article.'
Solicitors Disciplinary Tribunal
'Solicitors Disciplinary Tribunal order dated 09/12/2015 against Mohammed Ekramulhoque Mazumder (486999). The matter was heard on 08/12/2014 and 09/12/2014 and resulted in Mr Mazumder being fined £2,000. The details can be seen at http://www.solicitorstribunal.org.uk/Content/documents/11333.2015.Asghar.Mazumder.Rahman.pdf.'
Client change of bank account details
Example: 'Prior to your search we received notification on 14/10/2014 from an organisation purporting to be Countrywide Property Lawyers Ltd indicating that they had changed their bank account details, effective from 29/11/2014. If you would like to see a copy of this communication we are happy to provide it to you on request to support@lawyerchecker.co.uk quoting reference 201400008.Countrywide however we strongly recommend that you speak to the COLP or COFA or other similar Approved Persons for entities regulated by other Regulators at the firm to ensure that the communication is legitimate.'
Client notice for a merger
Example: 'Prior to your search we received notification on 02/10/2015 from an organisation purporting to be Langley's Solicitors LLP indicating that they had transferred its Residential Conveyancing Division to Home Property Lawyers a limited company on 01/10/2015. Home Property Lawyers will be wholly owned by Langley's Solicitors LLP. If you would like to see a copy of this communication we are happy to provide it to you on request to support@lawyerchecker.co.uk quoting reference 201500011.HomePropertyLawyers. However we strongly recommend that you speak to the COLP or COFA at the firm to ensure that the communication is legitimate.'
Law Society Gazette article for merger
Example: 'As of 02/10/2015 the firm Jeffrey Green Russell has been acquired by the firm Gordon Dadds through a pre-pack administration. The combined firm will be known as Gordon Dadds Incorporating Jeffrey Green Russell. Further details can be found at http://www.lawgazette.co.uk/practice/gordon-dadds-acquires-jeffrey-green-russell/5051404.fullarticle.'
Insolvency notices
check the website https://www.thegazette.co.uk/insolvency for notices
Example: ' As of [date] the firm [firm name] has entered into administration. [Details if applicable]. Further details can be found at [enter URL].'
Step 14: Finishing a Search
If a register is not available at the time of conducting the search (e.g. ICO, Companies House, FCA), what is the wording?
'At the time of conducting this search, the (name of website) (Register) was not available'.