Application for registration for an entity to be regulated by IPReg

Transcription

1 Application for registration for an entity to be regulated by IPReg Name of Entity Trading Name (if different) Companies House Registration Number (if applicable) Country of Incorporation or Registration (if applicable) Is this application for a: Licensed Body? Registered Body? Is this an application to practise as: A new Licensed Body/Registered Body? Or for an existing Licensed Body/Registered Body that is changing their legal status or identity at law? ADDRESS & CONTACT DETAILS Principal Practising Address (please use Annex B for additional practising addresses) Registered Address (if different to principal practising address) Tel. Contact Name Contact Web address 1

2 SECTION 1 This section covers services offered by the applicant firm. 2

3 SECTION 1 SERVICES SERVICE TYPES Please confirm the reserved legal activities the applicant firm wishes to undertake. Delete as appropriate: Conduct of litigation / Reserved Instrument Activities / Rights of Audience / Administration of Oaths Please confirm the unreserved legal activities the applicant firm wishes to undertake. Please confirm the non-legal services which the applicant firm wishes to undertake. If non-legal services are intended to be provided, will they be regulated by another professional body (such as ICAEW or FCA)? 1 Name of the Body Please provide a copy of your business plan (to include whether the firm outsources or intends to outsource any processes including legal work). 1 If non-legal services are to be provided, it is highly likely that you are an applicant for licensed body status. 3

4 SECTION 1 SERVICES (CONTINUED) CLIENT SERVICE Please provide a copy of your Complaints Handling Procedure required pursuant to Rule 2 12 Please provide a copy of your Terms and Conditions for Business. Please provide a copy of your procedures for the management of conflicts. Please provide details of the training procedures you have or intend to have in relation to your obligations under the Rules of Conduct for those persons for whom you have regulatory responsibility. 2 References throughout this application form to Rule are to the IPReg Rules of Conduct of Patent Attorneys, Trade Mark Attorneys and Other Regulated Persons. 4

5 SECTION 1 SERVICES (CONTINUED) INSURANCE Please confirm whether any existing Professional Indemnity Insurance (PII) issued by a participating insurer and held by the applicant firm will be transferred to the newly authorised firm or a new policy will commence upon authorisation being granted to the applicant firm (Rule 17)? Existing New If NEW, please provide a copy of the quote Details of the Policy New Existing Name of participating insurer Policy Number Period of cover (start date) Period of cover (end date) Amount of cover How many claims were made against the applicant firm (or predecessor firm) in the last complete professional indemnity period? How many claims were paid, whether by the insurer or the applicant firm in the last complete professional indemnity period? Has the applicant firm or any individual owner or Manager ever been refused professional indemnity insurance? Does the applicant firm hold any other indemnity insurance? If YES, further details may be required. 5

6 SECTION 2 This section covers information regarding the Managers and role holders within the applicant firm. 6

7 SECTION 2 MANAGERS AND ROLE HOLDERS Please insert rows in the tables below, as applicable. AUTHORISED MANAGERS 3 Please list below the Managers (i.e. partners in the case of a partnership, members in the case of an LLP or directors in the case of a company) managing the applicant firm and indicate the Managers qualification(s). Legal qualifications (Please tick all that apply) Name RTMA RPA Other Authorised Person OVERSEAS LAWYER MANAGERS If any Managers (not listed above) are registered European lawyers or registered foreign lawyers please list them below and enter their professional titles and jurisdiction of qualification(s). Name Professional title Jurisdiction(s) of qualification Managers who are authorised persons under the Legal Services Act

8 SECTION 2 MANAGERS AND ROLE HOLDERS (CONTINUED) NON-AUTHORISED MANAGERS Please list any other Managers (including corporate managers) below together with their date of registration as managers by IPReg. 4 Name Date Registered with IPReg ROLE HOLDERS 5 To be completed in respect of applications for licensing only. ROLE HOLDERS Name Date of registration with IPReg (if applicable) Qualification Contact Head of Legal Practice (HOLP) Head of Finance and Administration (HOFA) 4 If any of these Managers have not yet been approved by IPReg, you will have to submit an individual application form application in addition to this firm application form. 5 If either or both of the HOLP or HOFA have not yet been approved by IPReg, you will need to submit an individual application form application in addition to this application form. 8

9 SECTION 2 MANAGERS AND ROLE HOLDERS (CONTINUED) OWNERSHIP INTERESTS I certify that all of the equity in the applicant firm is held by one or more Authorised Persons 6. Supporting evidence of the equity in the applicant firm accompanies this application. If you cannot give this certificate, you will need to provide the additional statutory information set out in Annex A. 6 Authorised persons are essentially "lawyers" and law firms, including registered patent attorneys, registered trade mark attorneys, solicitors, barristers, registered European lawyers, IPReg-regulated law firms, SRA-regulated law firms, licensed conveyancers and legal executives. For the full definition of authorised persons please see section 18 of the Legal Services Act

10 SECTION 3 This section covers information regarding the corporate and financial management of the applicant firm. 10

11 SECTION 3 CORPORATE AND FINANCIAL MANAGEMENT LEGAL STATUS (Select as appropriate) The applicant firm is a: Partnership an unlimited company LLP an overseas company registered in England and Wales company limited by shares an overseas company registered in Scotland company limited by guarantee an overseas company registered in rthern Ireland a societas Europaea an overseas company registered in the UK CLIENT MONEY Does the applicant firm intend to hold or receive client money? If YES, has the applicant firm set up their client account? Please confirm that all client accounts are held at a bank in England and Wales. Please provide details of your Anti Money Laundering Procedure. 11

12 SECTION 3 CORPORATE AND FINANCIAL MANAGEMENT (CONTINUED) SOURCES OF FUNDING Does the applicant firm utilise or intend to utilise external sources of finance? If YES, please provide details of each external funding source FINANCIAL MANAGEMENT RISKS Has the applicant firm or any individual Managers/owners, previously been involved in any other firm (whether registered with or licensed by IPReg or other approved legal or other regulator) which has been the subject of a winding up order, an administration order or administrative receivership or which has entered into a voluntary arrangement under the Insolvency Act 1986 or has otherwise been wound up or put into administration in circumstances of insolvency? If YES, further details may be required. AUDITED ACCOUNTS Please provide a copy of your latest audited accounts 12

13 SECTION 4 This section covers information regarding the personnel of the applicant firm. 13

14 SECTION 4 PERSONNEL REGISTERED PATENT ATTORNEYS AND REGISTERED TRADE MARK ATTORNEYS Please list below the numbers of registered patent attorneys, registered trade mark attorneys and attorneys who are on both registers (dual qualified) who are employed by or who provide services via the applicant firm who are NOT Managers of the applicant firm. Based or to be based in England & Wales Based or to be based outside England & Wales RPA RTMA DUAL OTHER PROFESSIONAL EMPLOYEES Please list below the numbers of all other professional employees (i.e. European Patent Attorneys, European Trade Mark Attorneys, Barristers, Solicitors) who are NOT registered patent attorneys or registered trade mark attorneys. Based or to be based in England & Wales Based or to be based outside England & Wales Qualifications EPA ETMA Other Authorised Person NON LEGALLY QUALIFIED FEE EARNERS Please list below the numbers of all non-legally qualified fee earners who are employed by or who provide services via the applicant firm. Based or to be based in England & Wales Based or to be based outside England & Wales n Legally qualified fee earners TOTAL NUMBER OF EMPLOYEES at the firm or in the case of a new business, at the date of commencement of trading (including support staff) 14

15 SECTION 5 This section covers the confirmation and declaration. 15

16 SECTION 5 CONFIRMATION AND DECLARATION CONFIRMATION I hereby confirm that the applicant firm applying to be regulated (A) undertakes as its primary activity legal services relating to any of the development and protection, and management and exploitation of patents and registered designs (alone or in combination with the legal services described in (B) below), including but not limited to the business of acting as agent for others for the purpose of: (i) (ii) applying for or obtaining patents and registered designs, in the United Kingdom or elsewhere; and/or conducting proceedings before the Comptroller General of Patents, Designs and Trade Marks relating to applications for, or otherwise in connection with, patents and registered designs, together with the provision of any other legal services ancillary to the legal services described above; AND/OR (B) undertakes as its primary activity legal services relating to any of the development and protection, and management and exploitation of trade marks and registered designs (alone or in combination with the legal services described in (A) above), including but not limited to the business of acting as agent for others for the purpose of: (i) (ii) applying for or obtaining the registration of trade marks and registered designs, in the United Kingdom or elsewhere; and/or conducting proceedings before the Comptroller General of Patents, Designs and Trade Marks relating to applications for, or otherwise in connection with, the registration of trade marks and registered designs, together with the provision of any other legal services ancillary to the legal services described above. Please select A B Both A and B and that the entity agrees that it will undertake to ensure that its employees and Managers will abide by the Rules of Conduct for Patent Attorneys and Trade Mark Attorneys and Other Regulated Persons 7. 7 Available from 16

17 SECTION 5 CONFIRMATION AND DECLARATION (CONTINUED) This section is to be completed by an authorised person. Knowingly or recklessly giving IPReg information which is false or misleading, or failing to inform IPReg of significant information may lead to: the application for licensing or registration being rejected; the application for approval for an authorised role holder being rejected; licensing or registration being revoked; approval being withdrawn; and/or disciplinary action being taken by IPReg. You are required to ensure that all information is correct and complete and to notify IPReg as soon as you become aware or have information that reasonably suggests that you have or may have provided IPReg with information, which was or may have been false, misleading, incomplete or inaccurate, or has or may have been changed. The submission of this portable document form constitutes a proper application and the act of submission is evidence of a binding signature. When a HOLP or HOFA is responsible for reporting matters to IPReg, as set out in the IPReg Registered Bodies Regulations 2015, failing to inform IPReg in accordance with these rules is a breach. It should not be assumed that information is known to IPReg merely because it is in the public domain or has previously been disclosed to IPReg or another regulatory body. If there is any doubt about the relevance of information it should be included. For the purposes of complying with the Data Protection Act 1998, any personal information provided in this application may be used by IPReg to discharge its statutory functions under the Legal Services Act 2007, the Copyright Designs and Patents Act 1988 and Trade Mark Act 1994 and any other relevant legislation. IPReg may make such enquiries, and seek further information as it considers appropriate, in the course of verifying information about this application and about any individual or body associated with this application to ensure compliance with the IPReg Registered Bodies Regulations In performing these checks, personal information given in the application may be disclosed to registered Credit Reference Agencies, who may keep a record of that information. IPReg reserves the right to request original documentation. In making this application on behalf of the applicant firm: I confirm that the information in this application about the applicant firm and all candidates is correct and complete to the best of my knowledge and belief. I confirm that I have the authority to make this application and the declarations on behalf of the applicant firm and all the candidates named in this application. I confirm that reasonable steps have been (or will at the commencement of trading be) taken to ensure that the applicant firm, all candidates and all employees understand the regulatory responsibilities of their proposed roles as set out in the Legal Services Act 2007 and the IPReg Registered Bodies Regulations 2015 and agree to be subject and bound by the regulatory arrangements of IPReg. I have obtained the necessary consents from each of the candidates for disclosure by IPReg to the applicant firm of the results of any checks or any information and any documents held in respect of the candidate. I confirm that IPReg will be notified as soon as any information provided in this application has changed. I confirm that the information by which I have calculated the fee is true, complete and accurate. I authorise IPReg to make such enquiries and seek such further information, as it considers appropriate in the course of verifying information about this application. I confirm that the applicant firm will provide all necessary permissions to allow for information to be given to IPReg. 17

18 SECTION 5 CONFIRMATION AND DECLARATION (CONTINUED) I agree to any information about the licensing or registration and any approval of candidates including any conditions to being published in accordance with IPReg publication policy. I confirm that the applicant firm believes on the basis of due and diligent enquiry that each candidate is a fit and proper person in accordance with the IPReg Registered Bodies Regulations 2015 and The Guidelines on the Assessment of Character and Suitability of Applicants. I confirm the applicant firm will ensure that any candidate whilst resident or working in the UK will hold the appropriate and valid documentation necessary in order to comply with Immigration Regulations and statutes. I have discussed with the nominee HOLP and HOFA any concerns and/or issues regarding their suitability as the applicant firm s HoLP and HoFA. I confirm that the applicant firm is satisfied that the HOLP/HOFA nominee(s) will be able to fully discharge their responsibilities as a HOLP and/or HOFA in the applicant firm. 18

19 SECTION 5 CONFIRMATION AND DECLARATION (CONTINUED) Please provide details of the authorised person 8 making this declaration: Title Forename(s) Surname Role Contact Signature If completed electronically please tick to say you confirm the declaration 8 Authorised persons are essentially "lawyers" and law firms, including registered patent attorneys, registered trade mark attorneys, solicitors, barristers, registered European lawyers, IPReg-regulated law firms, SRA-regulated law firms, licensed conveyancers and legal executives. For the full definition of authorised persons please see section 18 of the Legal Services Act

20 SECTION 6 This section covers the fee calculation. 20

21 SECTION 6 FEE CALCULATION EITHER 1. FOR AN ENTITY THROUGH WHICH ONLY A SINGLE ATTORNEY AND NO OTHER ATTORNEYS OR OTHER PROFESSIONALS PROVIDE SERVICES 124 OR 2. FOR ALL OTHER ENTITIES A) BASE FEE B) TOTAL NUMBER OF REGISTERED PATENT ATTORNEY AND REGISTERED TRADE MARK ATTORNEY MANAGERS AND EMPLOYEES PRACTISING VIA THE ENTITY x = C) TOTAL NUMBER OF OTHER PROFESSIONAL MANAGERS AND EMPLOYEES PRACTISING VIA THE ENTITY i.e. those professional managers and employees who are: i) not a registered patent attorney or a registered trademark attorney; ii) based in the UK; and is iii) qualified as a: a) European patent attorney; b) European trademark attorney; c) barrister; and/or d) solicitor; or iv) is qualified to be a registered patent attorney or a registered trademark attorney but is not registered as such x = TOTAL (Add lines A, B and C) FEE FOR AUTHORISATION (applicable only for Licensed Bodies and equivalent to the Annual Fee) FEE FOR 2016 TOTAL FEES PAYABLE Please return the completed application form together with a cheque for the required fee payable to IPReg to: Intellectual Property Regulation Board Fifth Floor, Outer Temple Strand London WC2R 1BA 21

22 ANNEX A ADDITIONAL STATUTORY INFORMATION This section is to be completed by applicant firms wishing to become a Licensed Body. Great care should be taken when completing this section of the form and applicant firms should ensure that they have satisfied their legal obligations under Schedule 13 of the Legal Services Act 2007, as a failure to meet the requirements of the Act could result in a criminal offence being committed. INFORMATION REQUIRED UNDER SCHEDULE 13 OF THE LEGAL SERVICES ACT 2007 Please provide structure charts detailing: (i) The governance structure of the applicant firm. (Please include the positions of the HoLP and HoFA and all Managers 9 within that structure). (ii) The corporate structure of the applicant firm. (Please clearly state the percentage shareholdings 10 and voting rights held by persons or bodies (corporate or unincorporated). Please include details of all parent undertakings 11 of the applicant firm up to and including the beneficial owner 12. Please also include details of whether any persons or bodies identified are associated 13 with others.) Governance structure Corporate structure 9 The term Manager generally means directors of a company, members of an LLP or partners in a partnership. Please see section 207 of the Legal Services Act The term Shares as used in the Legal Services Act 2007 has a much broader meaning than would ordinarily be attributed to it. The Legal Services Act 2007 applies different tests for determining whether a person has a share in such a body depending upon whether it is a body with capital or a body without capital. For further details please see section 72(6) of the Legal Services Act As defined by section 420 of the Financial Services and Markets Act The definition of a beneficial owner is the person for whose benefit the asset in question is owned: The ultimate beneficial owner would therefore be the individual holding the final benefit of that asset without holding it for the benefit of any other party. 13 Associates in relation to a person (including a body of persons (corporate or unincorporated)) and a shareholding in a body or an entitlement to exercise or control the exercise of voting power in a body means a person listed at paragraph 5(2) of Schedule 13 to the Legal Services Act

23 ANNEX A ADDITIONAL STATUTORY INFORMATION (CONTINUED) INFORMATION REQUIRED UNDER SCHEDULE 13 OF THE LEGAL SERVICES ACT 2007 (continued) Do any of the non-authorised Managers or owners identified in the structure charts above (whether by entitlement or, in your opinion, de facto and whether alone or on an associated basis): Hold at least 10% of the shares in the applicant firm or a parent undertaking? Exercise significant influence over the management of the applicant firm or a parent undertaking by virtue of their shareholding in the applicant firm or parent undertaking (as applicable)? Exercise, or control the exercise of, voting power 14 in the applicant firm or parent undertaking which, if it consists of voting rights, constitutes at least 10% of the voting rights in the applicant firm or parent undertaking (as applicable)? Exercise significant influence over the management of the applicant firm or any parent undertaking by virtue of their entitlement to exercise, or control the exercise of, voting rights of the applicant firm or any parent undertaking? Have the ability to impose directions on the operating or financial policies of the applicant firm or parent undertaking (including by virtue of any Articles of Association or control contract)? Have an unqualified right to appoint or remove a majority of the directors of the applicant firm or parent undertaking? 14 Voting power in relation to a body which does not have general meetings at which matters are decided by the exercise of voting rights, means the right under the constitution of the body to direct the overall policy of the body or alter the terms of its constitution. Please see paragraph 5(4) of Schedule 13 to the Legal Services Act

24 ANNEX A ADDITIONAL STATUTORY INFORMATION (CONTINUED) INFORMATION REQUIRED UNDER SCHEDULE 13 OF THE LEGAL SERVICES ACT 2007 (continued) Have any right to veto or is otherwise able to have dominant influence (passively or actively) in respect of the exercise of voting power in respect of the applicant firm or parent undertaking(s)? If you have answered YES to any of the above questions please provide an individual application form in respect of each person identified. Please list each of those persons below. Is the applicant firm or any parent undertaking is managed on a unified basis with another body or with other bodies not regulated by IPReg? If YES, please provide further details. Please provide details of the procedures you have or intend to have in place to ensure compliance with section 190 (Legal Professional Privilege) of the Legal Services Act

25 ANNEX B OTHER PRACTISING ADDRESSES (if any) Address Postcode Tel.. Contact Address Postcode Tel.. Contact Address Postcode Tel.. Contact Please copy this sheet if the applicant firm has any further practising addresses. 25