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Client Security Fund Committee

Client Security Fund Regulations
As Amended Effective October 15, 2005
 

RULE 1.  DEFINITIONS

A. For purposes of these regulations, the following definitions shall apply:

 

     1)  The "Committee" shall mean the Client Security Fund Committee.
     2)  The "Fund" shall mean the client security fund established pursuant to 2-68 of the Connecticut Practice Book.
     3)  "Reimbursable loss" shall mean any loss that is eligible for reimbursement pursuant to 2-71 of the Connecticut Practice Book.
     4)  "Dishonest conduct" shall mean conduct as set forth in 2-69 of the Connecticut Practice Book.
     5)  "Claimant" shall mean an individual claiming a reimbursable loss.


RULE 2. GENERAL REGULATIONS

A. The Committee shall meet to consider claims and other appropriate matters as often as the Committee deems necessary to properly and expeditiously discharge its duties.

B. The Committee reserves the right, from time to time, to add to, subtract from or otherwise amend these regulations.
 

RULE 3. CLAIMS FOR REIMBURSEMENT

A. Claims for reimbursement from the fund shall be submitted to the Committee, in writing, on such form as may be prescribed by the Committee for such use. An individual submitting such a claim of a reimbursable loss shall provide the Committee with the following information: 

     1) The name, address and telephone number of the claimant;
     2) The name and last known address of the attorney whose dishonest conduct is the subject of the claim;
     3) The amount of the claimed reimbursable loss;
     4) The date or period of time during which the claimed reimbursable loss was incurred;
     5) A general statement of facts relative to the claim, including a description of the dishonest conduct alleged to have resulted in the reimbursable loss, and a description of any civil, criminal or disciplinary proceedings pending in connection with the dishonest conduct;

B. The form shall be signed by the Claimant and shall contain the claimant's sworn statement that the facts are true to the best of the claimant's knowledge and belief.

C. Claims shall be addressed to the office of the Committee.

D. The claimant shall have the responsibility of providing satisfactory evidence of a reimbursable loss.

E. In its discretion, the Committee may waive any of the requirements of this rule.  The Committee may also return to a claimant without review claims that substantially fail to meet the requirements of this rule.
 

F. No claim or claim form may be filed with or submitted to the Client Security Fund Committee by way of a facsimile machine or other electronic means.  Any such document so received will not be considered as having been filed with the Client Security Fund Committee.
 

RULE 4.  PROCESSING CLAIMS
 

A. Upon receipt of a claim, the Committee shall cause the attorney who is the subject of the claim or the attorney's representative to be notified by certified mail within ten days of the filing of such claim.  The attorney or his or her representative shall have twenty days from the date the notice was mailed to file a response with the Committee.  The Committee shall notify the Statewide Grievance Committee of each claim, and shall request the Statewide Grievance Committee to furnish it with a report of its investigation, if any, on the matter.

B. The Committee shall cause an appropriate investigation to be made of each claim that is properly filed in accordance with these rules for a determination of whether the same is for a reimbursable loss and to determine the extent, if any, to which the claim shall be reimbursed by the fund.  Before commencing an investigation of a claim, the Committee may request that the claimant provide further information with respect to the claim.  The Chair of the Committee may designate an individual or individuals to investigate and report on a particular claim, if deemed appropriate.

C. The Committee may, in its discretion, pursuant to 2-75(e) of the Connecticut Practice Book, hear testimony from the claimant, the subject attorney or any other person whose testimony is deemed necessary to make a determination concerning the claim.  The Chair of the Committee may designate a member of the Committee to receive the testimony, and render a report on the same.

D. Upon completion of the investigation of a claim, the Chair of the Committee or his or her designee shall place the claim on the agenda of a regular meeting of the Committee for consideration by the Committee. A copy of the claim, any supporting documentation accompanying the claim,  any materials received by the Committee in connection with its investigation of the claim, any report or transcript regarding any testimony received in connection with the claim, and the report, if any, rendered by any individual or individuals assigned to investigate the claim, shall be provided to the members of the Committee.  The Committee shall thereafter determine the validity of the claim and the amount, if any, for which the claimant shall be reimbursed by the fund. Based upon the claims approved for reimbursement, the claims being processed and the amounts available in the fund, the Committee shall determine in its sole and absolute discretion the amount, the order and the manner of payment to be made on each approved claim.  A determination to reimburse a claimant shall require an affirmative vote of at least seven members.  The Committee may also table their consideration of the claim pending the receipt of such additional information or documentation as the Committee deems necessary to render its decision.

E. The claimant and the attorney whose conduct is the subject of the claim shall be notified of the Committee's decision in writing.

 

RULE 5.  SUBROGATION FOR REIMBURSEMENTS MADE

Pursuant to 2-81 of the Connecticut Practice Book, the Committee shall require, as a condition of reimbursement to a claimant, a transfer to the Committee of the claimant's rights against the attorney whose dishonest conduct was the subject of the claim, on such form as may be prescribed by the Committee.


RULE 6.  COLLECTION OF CLIENT SECURITY FUND FEE

The Committee shall collect the client security fund fee by a collection date established by the Committee, which date shall be prior to the end of the calendar year for which the fee is due, from each individual obligated pursuant to 2-70 of the Connecticut Practice Book to pay the fee.  All individuals required to pay the fee shall remit payment of the client security fund fee by the collection date established pursuant to this regulation.


 
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