SRA Handbook

Introduction to the Training Regulations Part 3 - CPD Regulations

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Introduction to the Training Regulations Part 3 - CPD Regulations

Preamble

Authority: Made on 17 June 2011 by the Solicitors Regulation Authority Board under sections 2, 28, 79 and 80 of the Solicitors Act 1974, with the approval of the Legal Services Board under paragraph 19 of Schedule 4 to the Legal Services Act 2007

Date: These regulations came into force on 6 October 2011

Replacing: The Solicitors' Training Regulations 2009

Regulating: Solicitors and RELs and their post-qualification, or post registration, education and training requirements.

Overview

Outcomes-focused regulation concentrates on providing positive outcomes which when achieved will benefit and protect clients and the public.

These regulations govern the ongoing training of those practising as solicitors and RELs.

Education and training performs the underpinning, fundamental role in regulating solicitors - the creation and maintenance of competent and ethical practitioners. We regulate post-qualification training in order to give solicitors and RELs the tools they need to adhere to the Principles.

The Principles

These regulations form part of the Handbook, in which the 10 mandatory Principles are all-pervasive. They apply to all those we regulate and underpin all aspects of practice. Outcomes relevant to education and training are listed beneath the Principles.

You must:

1. uphold the rule of law and the proper administration of justice;
2. act with integrity;
3. not allow your independence to be compromised;
4. act in the best interests of each client;
5. provide a proper standard of service to your clients;
6. behave in a way that maintains the trust the public places in you and in the provision of legal services;
7. comply with your legal and regulatory obligations and deal with your regulators and ombudsmen in an open, timely and co-operative manner;
8. run your business or carry out your role in the business effectively and in accordance with proper governance and sound financial and risk management principles;
9. run your business or carry out your role in the business in a way that encourages equality of opportunity and respect for diversity; and
10. protect client money and assets.

Outcome

The outcome which applies to these regulations is that:

O(TR1)

you maintain competence through relevant ongoing training.

This outcome, and the regulations that flow from it, applies to solicitors admitted in England and Wales and RELs.