SRA Practising Regulations 2011 - Applications, conditions and appeals - General requirements for applications under these regulations
Version 2 (Superseded)

Version 2 of the Handbook was published on 23 December 2011, and was superseded by Version 3 on 18 April 2012. For more information, click "History" above.

Regulation 1: General requirements for applications under these regulations

1.1

An application under these regulations must comprise:

(a)

the prescribed form, correctly completed;

(b)

the prescribed fee or fees;

(c)

if the application is for a practising certificate, for replacement of a practising certificate, for registration or for renewal of registration, any prescribed contribution to the Solicitors' Compensation Fund;

(d)

such additional information, documents and references as may be specified by the SRA; and

(e)

any additional information and documentation which the SRA may reasonably require.

It is not necessary to submit all documents, information and payments simultaneously, but an application will only have been made once the SRA has received all of the documentation, information and payments comprising that application.

1.2

Every applicant must:

(a)

ensure that all details relating to him or her given on any form prescribed under these regulations are correct and complete;

(b)

notify the SRA as soon as he or she becomes aware that any information provided in an application under these regulations has changed.

1.3

Every form submitted under these regulations must be personally signed by the applicant unless:

(a)

a solicitor or REL has been given written permission by the SRA, in exceptional circumstances, to sign on the applicant's behalf; or

(b)

the application is made wholly or partly on a prescribed form which is designed to be completed and signed on behalf of a number of applicants in one firm or organisation. In that case, the form must be signed by a solicitor or REL who:

(i)

is authorised to sign the form by the firm or organisation;

(ii)

has the consent of all the persons named in the form to sign the form on their behalf; and

(iii)

has taken reasonable steps to ensure that all details given on the form are correct and complete.

1.4

The SRA must notify its decision and reasons in writing to the applicant when it:

(a)

refuses an application;

(b)

grants an application subject to a condition; or

(c)

refuses a permission required under a condition on a practising certificate or registration.

1.5

The SRA shall determine the amount of any fees required under these regulations and the SRA's decision shall be final.

1.6

The SRA may prescribe from time to time a fee moderation process under which a recognised sole practitioner may make an application for the fee for renewal of authorisation as a recognised sole practitioner to be varied. A decision under this process shall be final.

Guidance notes

(i)

Please refer to the forms and notes.

(ii)

"In writing" includes any form of written electronic communication normally used for business purposes, such as emails.

(iii)

Fees prescribed for the purposes of these regulations are prescribed:

(a)

under section 11 of the SA for a practising certificate or registration in the register of European lawyers;

(b)

under section 13ZB of the SA for authorisation as a sole practitioner; or

(c)

under paragraph 2 of Schedule 14 to the Courts and Legal Services Act 1990 or section 11 of the SA for registration in the register of foreign lawyers.