SRA Standards and Regulations

Other business requirements

You must not be a manager, employee, member or interest holder of a business that: has a name which includes the word "solicitors"; or describes its work in a way that suggests it is a solicitors' firm; unless it is an authorised body. If you are a solicitor who holds a practising certificate, an REL, RFL or RSL, you must complete and deliver to the SRA an annual return in the prescribed form....

Client money and assets

You properly account to clients for any financial benefit you receive as a result of their instructions, except where they have agreed otherwise. You safeguard money and assets entrusted to you by clients and others. You do not personally hold client money save as permitted under regulation 10.2(b)(vii) of the Authorisation of Individuals Regulations, unless you work in an authorised body, or...

Commencement, revocation, and transitional provisions

Regulations 1.1 to 3.3 come into force on a date to be determined in an order made by the SRA Board. [Note: this date is 1 September 2021] Regulations 4.2 to come into force on a date to be determined in an order made by the SRA Board. Subject to regulations 11.3 to 11.7, regulations 3A.1 to 3F.4 shall be revoked on the date determined in accordance with regulation 11.1. Regulations 3A.1 to...

Recognition of Professional Qualifications and Implementation of International Recognition Agreements (Amendment) Regulations 2023

If you are a Swiss lawyer, you will be eligible for admission as a solicitor under Part 2 of The Recognition of Professional Qualifications and Implementation of International Recognition Agreements (Amendment) Regulations 2023 (as amended) if: you satisfy the requirements of those regulations; and the SRA is satisfied as to your character and suitability to be a solicitor.

Academic stage

Your eligibility to commence the academic stage of training will be determined according to the requirements, which may be approved by the SRA, of the relevant approved education provider. You may be entitled to credit for prior certified or experiential learning, which may entitle you to exemption from assessment in some subjects required by the Joint Statement. You must make any application...

Service and competence

You only act for clients on instructions from the client, or from someone properly authorised to provide instructions on their behalf. If you have reason to suspect that the instructions do not represent your client's wishes, you do not act unless you have satisfied yourself that they do. However, in circumstances where you have legal authority to act notwithstanding that it is not possible to...

Conflict of interests

You do not act if there is an own interest conflict or a significant risk of such a conflict. You do not act in relation to a matter or a particular aspect of it if you have a conflict of interest or a significant risk of such a conflict in relation to that matter or aspect of it, unless: the clients have a substantially common interest in relation to the matter or the aspect of it, as...

The investigation process

The SRA may carry out such investigations, and in doing so may exercise any of its investigative powers, as it considers appropriate: to identify whether a matter comprises an allegation under rule 1.2, or to the consideration of an allegation under rule 3. As soon as reasonably practicable after commencing an investigation under rule 2.1(b), the SRA will inform the relevant person accordingly...

Consideration by authorised decision makers

On finding that an allegation is proved (save for sub-paragraph (g)), an authorised decision maker may decide as appropriate in respect of a relevant person to: give a written rebuke, in accordance with section 44D(2)(a) of the SA or paragraph 14B(2)(a), Schedule 2 to the AJA; subject to rule 3.6, direct the payment of a financial penalty in accordance with section 44D(2)(b) of the SA,...

Definitions and interpretation

The SRA Glossary shall apply and unless the context otherwise requires: all italicised terms shall be defined in accordance with the Glossary; terms shall be interpreted in accordance with the Glossary; a reference to a Rule is to a Rule forming part of these Rules, except in relation to Schedule 1 where a reference to a rule is to a rule in the Solicitors' Indemnity Rules 1999; the Schedule...