SRA Standards and Regulations
Showing 237 results
Found in
SRA Education, Training and Assessment Provider Regulations
Higher rights of audience assessment providers
Only an organisation approved by the SRA may provide assessments in higher courts civil advocacy and higher courts criminal advocacy conferring a higher courts advocacy qualification. An organisation may apply to the SRA in such manner as may be prescribed to be approved to provide such assessments. The SRA may, in relation to an application for approval: grant the application, subject to such...
Found in
SRA Education, Training and Assessment Provider Regulations
Education providers
Only an approved education provider may provide and assess: a Qualifying Law Degree; a CPE; an Exempting Law Degree; or an Integrated Course. Only an authorised education provider may provide and assess the Legal Practice Course or the Professional Skills Course. An organisation may apply to the SRA in such manner as may be prescribed to be an approved education provider or an authorised...
Found in
SRA Financial Services (Conduct of Business) Rules
Execution-only business
If you arrange for a client on an execution-only basis any transaction involving a retail investment product, you must send the client written confirmation to the effect that: the client had not sought and was not given any advice from you in connection with the transaction; or the client was given advice from you in connection with that transaction but nevertheless persisted in wishing the...
Found in
SRA Financial Services (Conduct of Business) Rules
Treating complaints fairly
Notwithstanding your complaints handling obligations in the SRA Code of Conduct for Firms, you must have in place and operate appropriate and effective procedures for registering and responding to complaints from a person who is not a client.
Found in
SRA Financial Services (Conduct of Business) Rules
Exclusions for large risks
Only rules 9, 13, 14, 18, 19, 20 and 22 apply where you carry on insurance distribution activities for commercial clients in relation to contracts of insurance covering risks within the following categories: railway rolling stock, aircraft, ships (sea, lake, river and canal vessels), goods in transit, aircraft liability and liability of ships (sea, lake, river and canal vessels); credit and...
Found in
SRA Financial Services (Conduct of Business) Rules
Disclosure of information
Where you undertake credit-related regulated financial services activities for a client, you must ensure that information in connection with such activities and any agreements to which they relate are communicated to the client in a way that is clear, fair and not misleading. Where you carry on the activity of credit broking, you must indicate in any advertising and documentation intended for...
Found in
SRA Roll, Registers and Publication Regulations
Information in respect of individuals
The roll, and the registers in regulation 1.1(b) to (d) shall contain the following information in respect of each individual included in the same: their full name; their authorisation number; the date of their admission as a solicitor or commencement of their registration, as appropriate; in respect of solicitors that hold a current practising certificate, the fact that they do so and the...
Found in
SRA Overseas and Cross-border Practice Rules
Application
The Overseas Rules apply to you: as a regulated individual who is practising overseas, in place of the SRA Principles and the SRA Code of Conduct for Individuals; or as a responsible authorised body in that you must ensure that your overseas practice and the individual managers, members and owners that are involved in the day to day or strategic management of your overseas practice, comply...
Found in
SRA Compensation Fund Rules 2021
Losses outside the remit of the Fund
For the avoidance of doubt, the SRA shall not make a grant in respect of losses that: arise solely by reason of professional negligence by a defaulting practitioner, or the employee or manager of a defaulting practitioner, save as provided for in rule 3.4; are indirect or consequential, save where the SRA exercises its discretion to make a grant: under rule 8; for costs of completing or...
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