mySRA Contact us
  2. For law professionals
  3. SRA Handbook
  4. v7
  5. Client Protection
  6. Indemnity Insurance Rules
  7. Disciplinary offences and reporting
  8. Disciplinary consequences of failure to comply with these Rules

The SRA Handbook is no longer in effect. It was replaced by the SRA Standards and Regulations on 25 November 2019.

SRA Handbook

Disciplinary consequences of failure to comply with these Rules

Back to version 21

Version 7 of the Handbook was published on 01/04/2013. For more information, please click 'History' Above

Rule 16: Disciplinary consequences of failure to comply with these Rules

16.1

The provisions in Part 4 of the Rules are made without prejudice to the powers of the Council or the Society under the SA, the AJA, the Courts and Legal Services Act 1990, the European Communities (Lawyer's Practice) Regulations 2000 or the LSA, or rules made under any of them, to bring disciplinary proceedings or take disciplinary action against any firm that has failed to comply with these Rules or any person who is or was a principal in such a firm or to intervene in a practice carried on by such a firm.

Commentary:

Payment of the ARP default premium and/or the ARP run-off premium does not detract from the fact that the firm in question, and each principal of that firm, has committed a breach of these Rules as a result of the firm being a firm in default. If a firm in default is not an eligible firm, it must either obtain qualifying insurance in the open market, or cease carrying on practice and make an application to the ARP for run-off cover in accordance with Rule 5.2.

16.2

Without prejudice to any other disciplinary offence which may arise under these Rules, it shall be a disciplinary offence for any firm or any person who is at the relevant time a principal in a firm to

(a)

be in policy default,

(b)

fail to implement any special measures to the satisfaction of the Society; and

(c)

undertake any activities in connection with private legal practice in breach of Rule 5.3.

Commentary:

Policy default and special measures are defined in the Glossary. Note that a firm that is carrying on a practice while in policy default will also not be an eligible firm for the purpose of seeking further cover through the ARP.

Top