21 September 2023
Understand how firms subject to the money laundering regulations must comply with the requirement to have a firm wide risk assessment under regulation 18.
30 May 2023
A guide for our decision makers to assist them in arriving at an appropriate financial penalty for the individuals and firms we regulate.
30 May 2023
This guidance is to help you understand how we make a first-instance decision in a disciplinary case and how we deal with an application for an internal review of that decision.
16 May 2023
Guidance: to help you understand the approach we take to health issues which are raised by those we are investigating and the medical evidence we might ask for.
4 May 2023
Guidance on our approach where we consider that individuals and firms have failed to take appropriate steps to look after colleagues' wellbeing.
2 May 2023
Case studies to be read in conjunction with the guidance on workplace environment: risks of failing to protect and support colleagues
23 March 2023
The requirements under the Transparency Rules to publish information concerning your complaints procedure.
1 March 2023
How to prevent your firm’s client bank account being improperly used as a banking facility.
1 March 2023
Case studies to be read in conjunction with the warning notice on improper use of client account as a banking facility.
16 February 2023
Questions and answers for SRA-authorised firms that receive client money in the form of fees and disbursements and want to rely on the exemption not to operate a client account.
14 December 2022
Understand your obligations and how to comply with them. We will have regard to it when exercising our regulatory functions.
23 November 2022
Guidance for solicitors and firms the SRA regulates that supervise individuals delivering legal services. This includes services delivered by individuals who are not authorised by us.
23 November 2022
Under the Immigration and Asylum Act 1999 (IAA) you must be a 'qualified' person to provide immigration and asylum advice and services to the public in England and Wales - explained in this detailed guidance.
1 September 2022
To explain your obligations when you as a legal practitioner are convicted in relation to matters of principle or social conscience.
1 September 2022
Guidance about sexual misconduct allegations for those we regulate and complainants considering reporting allegations of sexual misconduct to us.
1 September 2022
To help explain Principle 5 and the requirement to act with integrity.
30 August 2022
What our Standards and Regulations require when acting for clients who may be affected by industrial action taken by the Criminal Bar Association (CBA).
9 August 2022
To explain your obligations when undertakings are provided by, or on behalf of, incorporated practices.
9 August 2022
To help you understand what our Standards and Regulations require when acting for clients who are buying leasehold properties and to avoid possible breaches of our requirements.
29 July 2022
Clarifies the position of SRA-authorised firms following the introduction of new regulatory requirements relating to pre-paid funeral plans.
