Should I serve a warning if someone has entered a caveat and what happens next?

To stop the administration of an estate, a caveat can be entered, but what is a caveat and what happens if a warning is served?

Ryan Taylor, Partner in our London Private Wealth Disputes team, explain the process and share insight into how we help clients navigate these sensitive situations.

What is a caveat?

A caveat is a written notice filed at court and prevents probate being granted. This means that the estate cannot be administered or distributed until the caveat is withdrawn or otherwise resolved.

Caveats are often entered where someone wishes to dispute the validity of a will or question who is applying for the grant of representation. They can be entered for a small probate registry fee of £3.00 and last for six months before renewal is required. It may be renewed every six months until it is removed. To renew a caveat, the caveator must make an application for renewal in the last month of the six-month period that it is in force.

However, a caveat should only be used in particular circumstances, such as when someone is disputing the validity of a will and/or the person applying for the grant of representation (probate or letters of administration). Entering one without a genuine dispute can delay the administration unnecessarily and, in some cases, lead to cost consequences. Our private wealth disputes team can assist you with entering a caveat, as well as advising of the further benefits and risks of caveats.

Removing a caveat – what is a warning?

If you are applying for the grant or representation and feel that the caveat has been entered inappropriately, then you can challenge it by issuing a warning.

A warning formally notifies the person who entered the caveat (the caveator) that their objection is being challenged. Once served, the caveator has 14 days to respond, either by entering an “appearance” (explaining why the caveat should remain in place) or by withdrawing it.

If no appearance is entered within the 14 days, the caveat will be removed and the application for the grant can proceed.

You can do this at any time whilst the caveat is in place – but it is best to take legal advice before taking this step, as a warning can force action by the person who entered the caveat (the caveator), and make progression of the estate more difficult longer-term.

It’s important to act carefully and strategically when challenging a caveat. Serving a warning can help move matters forward, but it can also trigger the start of more formal proceedings. We guide our clients through the process so that every step they take is informed and proportionate.

Responding to a warning – what is an appearance?

If you are the caveator and receive a warning, you have 14 days to enter an appearance if you wish to keep the caveat in place. An appearance is a document confirming that you still object to the issuing of a grant and setting out the reasons why your original caveat was lodged.

Once an appearance has been entered, the caveat remains in place. It can only be removed by agreement between the parties or by court order. It is important that you have a valid reason for entering an appearance otherwise there is a risk of becoming responsible for legal costs.

Although an appearance means the caveat remains in place, it also provides clarity. It helps both sides understand details about the grounds on which the caveat has been entered whether there is a substantive dispute or whether the caveat was entered as a precautionary step.

What happens if there is no response to a warning?

If a caveator fails to respond to a warning within 14 days, the person applying for the grant can file a statement of service with the probate registry. Once confirmed, the caveat will be removed by the probate registry and the estate administration can continue.

How we work with clients in these situations

Our Private Wealth Disputes team often acts where a caveat has been entered following family disagreement or confusion about the validity of a will.

In one recent matter, we advised an executor after a distant relative entered a caveat, claiming the will was invalid. After investigating the grounds and communicating with the other side, we advised that the claim had no real basis. By carefully managing correspondence and serving a warning at the right time, we were able to have the caveat removed quickly and the grant of probate issued, avoiding unnecessary court proceedings and delay.