SRA Standards and Regulations
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SRA Transparency Rules
Complaints information
An authorised body, or an individual practising in the circumstances set out in regulation 10.2(b)(i) to (vii) of the SRA Authorisation of Individuals Regulations, must publish on its website details of its complaints handling procedure including, details about how and when a complaint can be made to the Legal Ombudsman and to the SRA.
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SRA Assessment of Character and Suitability Rules
Disclosure and evidential requirements
Subject to rule 6.3 below, on making an application under any of the provisions set out in rule 1.1, you must disclose all matters, wherever they have taken place (including overseas), which are relevant to the SRA's assessment of your character and suitability, including, where practicable, any information set out in Table 4 which is relevant to the matter in question. On making an...
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SRA Assessment of Character and Suitability Rules
Assessment
When considering your character and suitability, the SRA will take into account the overriding need to: protect the public and the public interest; and maintain public trust and confidence in the solicitors' profession and in legal services provided by authorised persons. In doing so, the SRA will take into account the nature of your role, and your individual circumstances, on a case by case...
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SRA Application, Notice, Review and Appeal Rules
Notices
Any notice under the SRA's regulatory arrangements must be given in writing by delivering it, or sending it by post or by electronic mail, to the recipient's last notified postal or electronic mail address, as appropriate. If the intended recipient of a notice is represented, the notice may instead be given by sending or delivering it to the representative's practising or business address, or...
Found in
SRA Financial Services (Conduct of Business) Rules
Execution of transactions
You must ensure that where you have agreed or decided in your discretion to effect a transaction, you must do so as soon as possible, unless you reasonably believe that it is in the client's best interests not to.
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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...
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SRA Overseas and Cross-border Practice Rules
Dealings with client money
In all dealings you have with client money (overseas) you must: safeguard client money and assets entrusted to you; keep client money (overseas), separate from money which belongs to you; on receipt, pay client money (overseas) promptly into, and hold it in, an overseas client account, unless: to do so would conflict with your obligations under local law or regulation or with any obligation...
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SRA Overseas and Cross-border Practice Rules
Overseas Principles
You act: in a way that upholds the constitutional principle of the rule of law and the proper administration of justice in England and Wales. in a way that upholds public trust and confidence in the solicitors' profession of England and Wales and in legal services provided by authorised persons. with independence. with honesty. with integrity. in a way that encourages equality, diversity and...
Found in
SRA Authorisation of Firms Rules
Temporary emergency authorisation or approval
An application for temporary emergency authorisation may be made: within seven days of any change in the management or control of an authorised body which brings into being a new unauthorised body or practice; within 28 days of the death or incapacity of a sole practitioner by a solicitor or an REL who is: the sole practitioner's executor, personal representative, attorney under a lasting...
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