SRA Handbook

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Version 12 of the Handbook was published on 31/10/2014. For more information, please click 'History' Above

Part 2: Additional requirements to become authorised under the SRA Authorisation Rules

9: All applicants must comply with Part 1

9.1

Under this test, when considering any application by an individual seeking to become an authorised role holder, all of the tests set out in Part 1 will apply in addition to this Part.

10: Additional requirements

10.1

Unless there are exceptional circumstances we may refuse your application if:

(a)

The applicant is disqualified you have been removed from being a charity trustee or a the office of trustee for a charity under section 178(1)(D) or (E) of by an order imposed by the Charities Act 2011.1993;

(b)

you have been removed and/or disqualified as a company director;

(c)

any body corporate of which you are/were a manager or owner has been the subject of a winding up order, an administrative order or an administrative receivership, or has otherwise been wound up or put into administration in circumstances of insolvency;

(d)

you have a previous conviction which is now spent for a criminal offence relating to bankruptcy, IVAs or other circumstances of insolvency;

(e)

you are a corporate person/entity subject to a relevant insolvency event defined in rule 1.2 of the SRA Authorisation Rules;

(f)

you are a corporate person/entity and other matters that call your fitness and propriety into question are disclosed or come to light;

(g)

you have committed an offence under the Companies Act 2006; and/or

(h)

we have evidence reflecting on the honesty and integrity of a person you are related to, affiliated with, or act together with where we have reason to believe that the person may have an influence over the way in which you will exercise your authorised role.

Guidance note

(i)

The provisions of the Rehabilitation of Offenders Act 1974 (as amended) and the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (as amended) do not apply to corporate persons/entities. Therefore, corporate convictions cannot become spent, so if you are a corporate person/entity you must disclose any and all matters in your application.

(ii)

Other matters under 10.1(f) include but are not limited to debts, corporate criminal matters, Companies Act transgressions such as late submission of accounts, and taking steps without submitting proper documents to Companies House.

(iii)

For the avoidance of doubt, the guidance notes to section 8.3 also apply to Part 2 of the Suitability Test.