The SRA Handbook is no longer in effect. It was replaced by the SRA Standards and Regulations on 25 November 2019.
SRA Handbook
Application to be a recognised sole practitioner
Back to version 21Version 2 of the Handbook was published on 23/12/2011. For more information, please click 'History' Above
Regulation 4: Application to be a recognised sole practitioner
- 4.1
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An application may be made under regulation 4 by a solicitor or European lawyer:
- (a)
-
for initial authorisation as a recognised sole practitioner:
- (i)
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when making an initial application for a practising certificate or for registration in the register of European lawyers;
- (ii)
-
when applying for replacement of a practising certificate or for renewal of registration in the register of European lawyers; or
- (iii)
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at any time during the currency of a solicitor's practising certificate or an REL's registration; or
- (b)
-
for renewal of an existing authorisation as a recognised sole practitioner when applying for replacement of a practising certificate or for renewal of registration in the register of European lawyers.
- 4.2
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When the SRA may grant an application
- (a)
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The SRA may grant an application under regulation 4 if the applicant:
- (i)
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will be practising as a sole practitioner from an office in England and Wales;
- (ii)
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is not, and is not about to be made, subject to a condition on his or her practising certificate or registration which would prohibit practice as a sole practitioner;
- (iii)
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has adopted a name under which his or her firm is to be recognised, and which will comply with chapter 8 of the SRA Code of Conduct (Publicity);
- (iv)
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will comply with (or has a waiver of) Rule 12 of the SRA Practice Framework Rules (Persons who must be qualified to supervise); and
- (v)
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will comply with the SRA Indemnity Insurance Rules in respect of his or her firm.
- (b)
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The SRA may refuse an application under regulation 4 if it is not satisfied that the applicant is suitable to run and manage a business providing regulated legal services or if for any other reason the SRA reasonably considers that it would be against the public interest to grant recognition.
- (c)
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In reaching a decision on an application under regulation 4 the SRA may take into account:
- (i)
-
any event listed in regulation 3.1 applying to the applicant;
- (ii)
-
any other conduct on the part of the applicant which calls into question his or her honesty, integrity or respect for law;
- (iii)
-
failure or refusal to disclose, or an attempt to conceal, any matter within (i) or (ii) above in relation to the application; or
- (iv)
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that the SRA is not satisfied that the applicant has sufficient skills or knowledge in relation to the running and management of a business which provides regulated legal services.
- (d)
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When granting an application under regulation 4 the SRA may impose a condition on the applicant's practising certificate or registration in accordance with regulation 6.
- 4.3
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If a change to the composition of a recognised body or a licensed body which was a partnership results in a solicitor or REL becoming its sole principal:
- (a)
-
the SRA must be notified within seven days; and
- (b)
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temporary emergency recognition may be granted, subject to 4.4 below, so as to enable that sole principal to continue in practice without breach of Rule 1 or Rule 2, as appropriate, of the SRA Practice Framework Rules.
- 4.4
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Application for temporary emergency recognition
- (a)
-
An application for temporary emergency recognition must be made on the prescribed form within 7 days of the change and accompanied by all information and documentation the SRA reasonably requires.
- (b)
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The SRA may grant an application for temporary emergency recognition if the following conditions are met:
- (i)
-
the SRA must be satisfied that the applicant could not reasonably have commenced an application for recognition as a sole practitioner in advance of the change; and
- (ii)
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the sole practitioner:
- (A)
-
must be practising from an office in England and Wales;
- (B)
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is not, and is not about to be made, subject to a condition on his or her practising certificate or registration which would prohibit practice as a sole practitioner;
- (C)
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must have adopted a name under which the firm is to be recognised, and which complies with chapter 8 of the SRA Code of Conduct (Publicity);
- (D)
-
must comply with or have a waiver of Rule 12 of the SRA Practice Framework Rules (Persons who must be qualified to supervise); and
- (E)
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must comply with the SRA Indemnity Insurance Rules in respect of his or her firm.
- (c)
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Temporary emergency recognition:
- (i)
-
may be granted initially for 28 days;
- (ii)
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may be granted to have effect from the date of the partnership split or any other appropriate subsequent date;
- (iii)
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may be extended for a further specified period or periods in response to a reasonable request by the applicant;
- (iv)
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must be extended (subject to (viii) below) pending determination of a substantive application for initial recognition commenced during the currency of a temporary emergency recognition;
- (v)
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may be granted or extended subject to such conditions as the SRA thinks fit, in circumstances falling within regulation 7;
- (vi)
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is to be treated as initial recognition for the purpose of these regulations;
- (vii)
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if granted, cannot prejudice the discretion of the SRA to refuse a substantive application for recognition under this regulation (which is also, for the purpose of these regulations, to be treated as initial recognition); and
- (viii)
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in exceptional circumstances, and for reasonable cause, may be revoked at any time.
- 4.5
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If a recognised sole practitioner dies:
- (a)
-
the SRA must be notified within 7 days;
- (b)
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within 28 days of the death an emergency application may be made, on the prescribed form, for recognition in the capacity of personal representative, practice manager or employee by a solicitor or an REL who is:
- (i)
-
the sole practitioner's executor;
- (ii)
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a practice manager appointed by the sole practitioner's personal representatives;
- (iii)
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an employee of the firm.
- 4.6
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If the application for recognition in the capacity of personal representative, practice manager or employee is granted:
- (a)
-
recognition will be deemed to run from the date of death;
- (b)
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recognition will not be renewed for any period after the winding up of the estate or 12 months from the date of death, whichever is the earlier.
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Guidance note
- (i)
-
The approval process for authorisation under regulation 4 will cease when recognised sole practitioners are passported to become recognised bodies and are transitioned to be regulated under the SRA Authorisation Rules. The SRA will establish a process for those practising as recognised sole practitioners at that time to be deemed approved as managers for the purpose of Rule 8.6 of the SRA Authorisation Rules.