https://www.slab.org.uk/guidance/our-power-to-request-information-4/
https://www.slab.org.uk/guidance/our-power-to-request-information-4/
We are entitled to request any information that we may require for the purposes of performing our functions under the Act.
This applies from the applications stage to the accounts stage of the process.
You have to provide information when we ask for it and you are not specifically precluded from providing it because of any solicitor-client confidentiality.
We are obliged by strict rules of confidentiality in terms of section 34 of the Act.
The vast majority of such requests is simply for additional information to support a charge or charges.
Subject to particular arrangements with any firm, the file is normally only ever requested where there is a question mark over the validity of the account because it is so poorly framed, or we are unable to assess the account without reference to the file.
You are not precluded from providing information on the basis that it is personal data under General Data Protection Regulations (GDPR). (“Personal data” has to be information that relates to an individual, whereby that individual can be identified or identifiable, either directly or indirectly, from one or more identifiers or from factors specific to the individual.) Article 6(1)(c) of Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 provides a lawful basis for processing data where such processing is necessary for compliance with a legal obligation to which the controller (SLAB) are subject. Article 6(3) requires that the legal obligation must be laid down by UK or EU law, in this case the Act and regulations.
The need for information at the accounts stage is to achieve the overall purpose of ensuring that payments from the Fund are properly incurred in terms of section 4 of the Act, and regulations.
The Regulation has been given effect in UK law by the Data Protection Act 2018.
In order to achieve this purpose, but only where we consider it necessary, we may request your file, time records or any other information to enable us to assess your account and be satisfied that the statutory test has been met.
Until such time as information requested by us is received and the assessment complete, any steps taken to lodge an account for taxation is premature and contrary to the regulatory provisions.