SRA Handbook

Grants in respect of persons in default of regulatory requirements

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

Rule 4: Grants in respect of persons in default of regulatory requirements

4.1

A grant may be made in respect of a defaulting solicitor even if the defaulting solicitor had no practising certificate in force at the date of the relevant act or default, provided that the SRA is reasonably satisfied that the applicant was unaware of the absence of a valid practising certificate.

4.2

A grant may be made in respect of a defaulting REL even if, at the date of the relevant act or default, the registration of that lawyer in the SRA's register of European lawyers had expired or been revoked under the SRA Practising Regulations, provided that the SRA is reasonably satisfied that the applicant was unaware of the expiry or revocation.

4.3

A grant may be made in respect of a defaulting recognised body even if the recognition of that body was suspended or was revoked under the SRA Recognised Bodies Regulations or the SRA Authorisation Rules (as the case may be) on or before the date of the relevant act or default, provided that the SRA is reasonably satisfied that the applicant was unaware of such suspension or revocation.

4.4

A grant may be made in respect of a defaulting licensed body even if the licence issued to that body under the SRA Authorisation Rules has been suspended or revoked on or before the date of the relevant act or default, provided that the SRA is reasonably satisfied that the applicant was unaware of the suspension or revocation.

4.5

A grant may be made in respect of a defaulting RFL even if, at the date of the relevant act or default, the registration of that lawyer in the register of foreign lawyers had expired or been revoked under the SRA Practising Regulations, provided that the SRA is reasonably satisfied that the applicant was unaware of the expiry or revocation.