Section 41/43 - Approval of Employment
Application Form
This form is to apply for approval of employment of:
•
a person who has been struck off the roll of solicitors or suspended from practice (Section 41),
OR
•
a person who has been made subject to an Order under Section 43 of the Solicitors Act 1974.
References to employment in this document shall be read as also including arrangements to
remunerate.
Please read our guidance before completing this form:
www.sra.org.uk/solicitors/enforcement/pc-conditions/suspension-removal-roll.page
This form is an editable PDF. Please save it on your computer before and after completing. Please
include in the file name for the document, the name of your firm and title of the form (for example “Smith
LLP S41”).
Please complete this form using a Window based operating system. The PDF application must be
created with Adobe PDF. Please note this form is not compatible with Mac computers.
Which section of the Solicitors Act 1974 applies?
Section 41
Section 43
Section 1 – Firm Details and Contact Person
1.1 Firm Name: 1.2 Firm SRA Number:
Contact for application
1.3 Details of the individual acting as a designated contact for the application. All future correspondence
relating to the application will be directed to this person.
Name:
Position: Email address:
Telephone number:
Section 2 – Prospective employee
2.1 Full name of prospective employee: 2.2 Date struck off/suspended from the roll
or made subject to Section 43:
2.3 SRA Number
(if known):
2.4 Have you read the Findings in respect of the prospective employee? v1.0 21.09.2016
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Yes
No
Section 3 - Prospective employee’s work history
This section must be completed by the prospective employee.
3.1 Contact details:
Email address:
Telephone number:
3.2 Details of any work that you have undertaken since being struck off the roll/suspended from
practice or becoming subject to Section 43 (continue on a separate sheet if necessary).
Name of employer
Dates of employment Job Title
From
To
Duties & responsibilities
You must attach references from previous employers, stating the positions held, in particular
any positions of trust and responsibility.
Section 4 - Proposed employment
4.1 The proposed job title:
4.2 Job description.
Please give a full description of the role the prospective employee would undertake. This should detail the tasks and responsibilities to be carried out in the proposed role. The application may be delayed if full details are not provided. (You may provide a copy of any job profile/job description as a separate attachment if necessary).
4.3 The address of the office which will be the prospective employee’s normal place of work: 4.4 Have any of the firm’s managers or employees ever worked
with the prospective employee?
If YES, give details:
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Yes
No
Supervision details:
4.5 Details of the person(s) who will be directly responsible for the daily supervision of the prospective
employee.
4.5.1 Supervisor’s Name:
4.5.2 Supervisor’s job title:
4.6 In light of the Findings, what practical steps will you undertake to ensure that the prospective
employee is properly supervised and that the public is protected?
4.7 Is it proposed that the prospective employee will:
4.7.1 Supervise any other staff?
Yes
No
4.7.2 Have responsibility for receiving or holding client money?
Yes
No
4.7.3 Be a signatory to the client and/or office account? Yes
No
Yes
No
4.7.4 Have direct contact with clients?
Section 5 - Previous applications
5.1 Has the firm ever employed anyone who is subject to
section 41 or 43 of the Solicitors Act 1974?
If YES, please confirm:
5.1.1 the name of the person employed:
5.1.2 their dates of employment:
5.1.3 their role:
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Yes
No
Section 6 - Declarations
To be completed by a Manager
6.1 I have provided all information relevant to this application.
6.2 The information I have provided in this form and in any supporting
documents is correct and complete to the best of my knowledge.
6.3 I will ensure that the proposed employee is properly supervised
at all times and in accordance with any conditions imposed.
6.4 I understand that the Managers in the practice are liable in professional
conduct for the employee’s acts or omissions.
6.5 I understand that the SRA may disclose any information provided by me and/or the
proposed employee, and any reports the SRA prepares to any relevant third party.
Details of the Manager making this declaration:
Surname:
Title: Signature:
SRA number: Forename(s):
Date of Birth:
Date:
If completed electronically, please tick to confirm this declaration.
To be completed by the prospective employee
6.6 I have provided all information relevant to this application.
6.7 The information I have provided in this application is correct
and complete to the best of my knowledge.
6.8 I understand that the SRA may disclose any information provided
by me, my proposed employer and any reports the SRA prepares to
any relevant third party.
Surname:
Title: Signature:
SRA number: Forename(s):
Date of Birth:
Date:
If completed electronically, please tick to confirm this declaration.
Section 7 - Returning the form
Please email the form with supporting documents and list of enclosures to:
[email protected].
Applicant checklist
To help us process your application quickly please check that:
7.1 The declarations have been signed and dated.
7.2 Any additional information has been labelled and securely attached to the email.
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