Richard
Harbord
Solicitor
224014
Decision - Control of practice
Outcome: Condition
Outcome date: 1 July 2024
Published date: 9 July 2024
Firm details
Firm or organisation at time of matters giving rise to outcome
Name: Harbord & Co
Address(es): Harbord McGlinchey Solicitors, The Atrium, 4 Curtis, Road, Dorking RH4 1XA
Firm ID: 471544
Outcome details
This outcome was reached by SRA decision.
Decision details
Richard Harbord's practising certificate for 2023/2024 is subject to the following conditions:
- Mr Harbord may not act as a manager or owner of an authorised body.
- Mr Harbord may not act as a compliance officer for legal practice (COLP) or compliance officer for finance and administration (COFA) for any authorised body.
- Mr Harbord does not hold or receive client money, or act as a signatory to any client or office account or have the power to authorise transfers from any client or office account.
- An exception to condition 3 is granted to allow Mr Harbord to facilitate the smooth transfer of accounts to the new entity taking over Harbord & Co and McGlinchey & Co.
- Mr Harbord may not practise on his own account under regulation 10.2(a) or (b) of the SRA Authorisation of Individuals Regulations.
In these conditions the terms are as defined in the SRA Glossary.
Reasons/basis
The above conditions are necessary in the public interest. They are reasonable and proportionate having regard to the purposes set out in regulation 7 of the SRA Authorisation of Individuals Regulations, and the regulatory objectives and principles governing regulatory activities as contained in section 28 of the Legal Services Act 2007.
Decision - Prosecution
Outcome: Referral to Solicitors Disciplinary Tribunal
Outcome date: 6 December 2023
Published date: 24 April 2024
Firm details
Firm or organisation at time of matters giving rise to outcome
Name: McGlinchey & Co & Harbord & Co
Address(es): The Atrium, 4 Curtis Road, Dorking RH4 1XA
Firm ID: 512174 & 471544
Outcome details
This outcome was reached by SRA decision.
Reasons/basis
This notification relates to a Decision to prosecute before the Solicitors Disciplinary Tribunal. This is an independent Tribunal which will reach its own decision after considering all the evidence, including any evidence put forward by the Solicitor. The Tribunal has certified that there is a case to answer in respect of allegations which are or include that, while in practice as a Partner at McGlinchey & Co ('Firm 1') and as a sole practitioner in Harbord & Co ('Firm 2'):-
1. Between approximately July 2017 and December 2020, he used, or allowed the use of, Firm 1's client account as a banking facility in relation to the proceeds of sale of two properties for which he was the client.
2. He failed to obtain and/or deliver Accountants' Reports in accordance with the requirement to do so within six months at the end of the accounting period for;
2.1 any or all of the 2019, 2020, 2021, 2022 and 2023 accounting periods relating to Firm 1
2.2 any or all of the 2019, 2020, 2021, 2022 and 2023 accounting periods relating to Firm 2
3. Between 8 November 2020 and at least 31 August 2023, he failed to adequately cooperate with, and respond to, the SRA's enquiries and requests in respect of the provision of Accountants' Reports for Firm 1 and Firm 2
4. By reason of the matters set out above or any of them in his capacity as the Firm's Compliance Officer for Finance and Administration (COFA), he failed to ensure or take adequate steps to ensure compliance with the Firm's regulatory obligations under the 2011 Accounts Rules and/or the 2019 Accounts Rules.
The allegations are subject to a Hearing before the Solicitors Disciplinary Tribunal and are as yet unproven.