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PRACTICE RULES 1989

as amended by the Notarial Rules and Orders (Ratification and Citation) Rules 1991 and the Notaries (Access to Justice Act) (Consequential Provisions) Rules 1999

REVOKED BY THE NOTARIES PRACTICE RULES 2001 SUBJECT TO THE SAVINGS IN RULE 24.2

Citation and Commencement

These Rules may be cited as the Notaries' Practice Rules 1989 and shall come into operation on the 1st day of April 1990. Rule 1 (Practice of a Notary and obtaining instructions)

(1) A Notary shall exercise his office in accordance with the Oath or Declaration made by him at the time of the grant of his Notarial Faculty, as set forth in the Public Notaries Act 1843, s.7;

(2) A Notary shall not directly or indirectly obtain or attempt to obtain instructions for professional work or permit another person to do so on his behalf, or do anything in the course of practising as a Notary in any manner which compromises or impairs or is likely to compromise or impair any of the following:

(a) the Notary's independence or integrity;

(b) a person's freedom to instruct a Notary of his choice;

(d) the good repute of the Notary or of the Notary's profession;

(e) the Notary's proper standard of work;

(f) the Notary's duty of care to persons in all jurisdictions who may place legitimate reliance on the statements of fact contained in his notarial acts.

Rule 2 (Publicity)

A Notary may advertise his practice and seek to obtain directly or indirectly clients and business in any manner and through any medium whether informative or promotional with the exception of unsolicited telephone calls or unsolicited visits to persons or organisations, provided that:

(a) the client's freedom to instruct a qualified person of the client's choice is not thereby unduly restricted;

(b) the Notary's good reputation for integrity and professional standards of work is not thereby damaged;

(c) he complies with the British Code of Advertising Practice, the Independent Broadcasting Authority Code of Advertising Standards and Practice and the Direct Mail Regulations. Provided, however, that nothing in this Rule shall be construed as authorising the use of the word "notaries" or any word designating or indicating notarial services in any publicity for activities which are not of a notarial nature.

Rule 2A (Scrivener Notaries)

No notary shall describe himself as a Scrivener or a Scrivener notary unless he holds the qualifications to practise as a Scrivener notary from time to time prescribed by the Incorporated Company of Scriveners of London

Rule 3 (Introductions and referrals)

When a Notary enters into an arrangement with another person for the introduction of clients to the Notary or by the Notary to the other person he must ensure:

(a) that the client is informed in writing of the arrangement and of any commission or other benefit the Notary may be receiving or pay;

(b) that he obtains the client's written agreement as to the destination of the commission or else he shall account to the client for the commission;

(c) that he remains able to advise the client independently in accordance with these Rules and continues to do so regardless of his own interests.

Rule 4 (Employed Notaries)

(1) (The general prohibitions)

A Notary who is the employee of a non-notary shall not perform any notarial act as part of his employment or do or perform any notarial act for his employer.

Provided, however, that nothing in this Rule shall prevent a Notary who is employed by a solicitor or is a member of a firm of solicitors from performing notarial acts for the clients of that solicitor or firm.

(2) (Interpretation)

In this Rule:

(a) references to a Notary's employer include the employer's holding, associated or subsidiary company; and references to an employee include an employee of such holding, associated or subsidiary company; and

(b) "holding company" and "subsidiary company" have the meanings assigned to them by the Companies Acts 1985 and 1989, and two companies are "associated" where they are subsidiary companies of the same holding company.

Rule 5 (Offering services other than as a Notary)

(1) (a) Subject to compliance with this Rule and provided there is no breach of Rule 1 or any other provision of these Rules, a Notary may engage in such lawful business activities as he may desire;

(b) Nothing in this Rule shall prevent a Notary, who is qualified as a solicitor, from practising as such; and such a practice shall not be subject to paragraph (3) of this Rule.

(2) (Prohibition in respect of certain services)

A Notary shall not by himself or with any other person set up, operate, actively participate in or control any business, other than a Notary's practice, which engages in any activity reserved to Notaries (whether solely or together with other persons) or offers legal services customarily offered by a Notary as part of his practice.

(3) (Safeguards for the public)

Where a Notary by himself or with any other person without breach of paragraph

(2) of this Rule operates, actively participates in or controls any business, other than a Notary's practice, the Notary shall ensure:

(a) that the name of that business has no substantial element in common with the name of any practice of the Notary;

(b) that the words "notaries," "attorney(s)" or "lawyer(s)" or any words designating or indicating a notarial or legal practice are not used in connection with the Notary's involvement with that business;

(c) that any client referred by any practice of the Notary to the business is informed in writing that, as the customer of that business, he does not enjoy any protection attaching to the client of a Notary, and that where that business shares premises or reception staff with any practice of the Notary, every customer of the business is informed in writing that, as the customer of that business, he does not enjoy the protection attaching to the client of a Notary.

Rule 6 (Acceptance and refusal of instructions)

In the case of a transfer of any estate or interest in real or immovable property a Notary must not accept instructions from or continue to act for any person whose interests conflict with those of any other person by whom the Notary is at the material time also instructed. In particular, in the case of such a transfer, a Notary must not act for:

(a) both parties to a transaction save where it appears that there is no conflict of interest between the parties and both have consented in writing;

(b) any other party where the Notary himself or any member of his family or any associate of his or employee is a party to the transaction;

(c) any party where the Notary himself or any member of his family or any associate of his or employee, not being a party to the transaction, is interested in the transaction in a private capacity.

Provided, however, that nothing in this Rule shall prevent a Notary from acting for both a willing buyer and a willing seller in a transfer of any estate or interest in real or immovable property outside the United Kingdom provided that both parties have consented in writing.

Rule 7 (Fee sharing)

(1) Subject to paragraph (2) of this Rule, a notary shall not share or agree to share his professional fees with any person not entitled to act as a notary; provided that this Rule shall not prohibit the payment of any allowance or allowances, sum or sums of money, that are or shall be agreed to be made or paid to the widows or children of any deceased notary or notaries, by any surviving

partner or partners of such deceased notary or notaries.

(2) A notary who also practises in partnership as a solicitor may share professional fees with his partners who are solicitors, provided that a notary who shares fees by virtue of this paragraph shall keep accounts which enable the income and expenditure arising from his practice as a notary to be distinguished from the income and expenditure arising from his practice as a solicitor, and shall furnish the Faculty Office with such additional information as to his partnership and accounting arrangements as may be prescribed in Rules or Orders of the Master.

Rule 8 (Name of a firm of Notaries)

The name of a firm of Notaries shall consist only of (a) the name or names of one or more present or former principals together with, if desired, conventional references to the firm and to such persons; (b) a firm name in use on 1st January 1989; or (c) the name of a firm of solicitors of which he be a partner; or (d) one approved in writing by the Master of the Faculties.

Rule 9 (Investment business)

(1) Without prejudice to the generality of the principles embodied in Rule 1 of these Rules, a Notary shall not in connection with investment business have any arrangement with another person under which the Notary could be constrained to recommend to clients or effect for them (or refrain from so doing) transactions in some investments but not others, with some persons but not others, or through

the agency of some persons but not others; or to introduce or refer clients or other persons with whom he deals to some persons but not others; nor shall a Notary be an appointed representative.

(2) Notwithstanding any provision in Rule 5 of these Rules a Notary shall not by himself or with any other person set up, operate, actively participate in or control any separate business which is an appointed representative.

(3) This Rule shall have effect in relation to the conduct of investment business within or into any part of the United Kingdom.

(4) In this Rule "appointed representative," "investment" and "investment business" have the meanings assigned to them by the Financial Services Act 1986.

Rule 10 (Supervision of a Notary's Office)

(1) A Notary shall ensure that every office where he or his firm practises is and can reasonably be seen to be properly supervised. Such supervision shall be exercised by a Notary holding a Practising Certificate who shall spend sufficient time at such office to ensure adequate control of the staff employed there and afford requisite facilities for consultation with clients. Such Notary may be a principal, employee or consultant of the firm or a locum tenens.

(2) In determining whether or not there has been compliance with the requirement as to supervision in paragraph (1) of this Rule, account shall be taken of, inter alia, the arrangements for the principals to see or be apprised of incoming mail.

(3) Where supervision in accordance herewith is prevented by illness, accident or other sufficient or unforeseen cause for a prolonged period, suitable alternative arrangements shall be made without delay to ensure compliance.

(4) In cases where a Notary is not in attendance on days when his office is normally open to the public, he shall make adequate arrangements to ensure the provision of notarial services to persons requiring the same.

Rule 11 (Waivers)

In any particular case or cases the Master of the Faculties shall have power to waive in writing any of the provisions of these Rules for a particular purpose or purposes expressed in such waiver, and to revoke such waiver.

Rule 12 (Interpretation)

In these Rules, except where the context otherwise requires:

(a) "arrangement" means any express or tacit agreement between a Notary and other person, whether contractually binding or not;

(b) "firm" includes a sole practitioner;

(d) "Notary" includes a firm of notaries; and

(e) "solicitor" means a Solicitor of the Supreme Court of Judicature in England and Wales;

(f) words importing the masculine gender include the feminine, words in the singular include the plural and words in the plural include the singular.