SRA Standards and Regulations

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...

Cross-border Practice Rules

This Part applies to European cross-border practice from any office by: solicitors; managers of authorised bodies who are not authorised by an approved regulator (other than the SRA) under the LSA; and authorised bodies. These rules apply to European cross-border practice from an office in England and Wales by: RELs; RFLs who are managers or employees of an authorised body; and RSLs who are...

Loss of eligibility

If the last remaining legally qualified manager of an authorised body whose role ensures the body's compliance with the eligibility requirements for its authorisation under rule 1: is sentenced to imprisonment; becomes unable to carry on their role because of incapacity; abandons the business; is made subject to a restriction, condition or other regulatory decision by the SRA or another...

Annex 2: Professional services

The professional services referred to in rule 6.1(b) are: Alternative dispute resolution. Financial services. Estate agency. Management consultancy. Company secretarial services. Other professional and specialist business support services including human resources, recruitment, systems support, outsourcing, transcription and translating. Acting as a parliamentary agent. Practising as a lawyer...

Management, control, and supervision

Subject to rules 9.2 and 9.3, an authorised body must ensure that the SRA has approved any manager or owner of the authorised body under Part 4. A sole principal whose practice has been authorised as a recognised sole practice is not required to be approved separately as a manager of that practice. If the SRA is satisfied that a manager of an authorised body is not involved in any of the...

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...

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...

Confidentiality and disclosure

You keep the affairs of current and former clients confidential unless disclosure is required or permitted by law or the client consents. Where you are acting for a client on a matter, you make the client aware of all information material to the matter of which you have knowledge, except when: the disclosure of the information is prohibited by legal restrictions imposed in the interests of...

Education, Training and Assessment providers

As set out in the SRA Education, Training and Assessment Provider Regulations: A decision made under regulation 1.4(b) or 2.3(b) to refuse to grant approved education provider, authorised education provider or authorised training provider status. A decision made under regulation 1.4(a) or 2.3(a) to grant the application for approval or authorisation subject to such conditions and for such...

Regulatory and Disciplinary

As set out in the SRA Regulatory and Disciplinary Procedure Rules: A decision made under rule 3.1(a) to give a written rebuke. A decision made under rule 3.1 (b) to direct the payment of a financial penalty together with the amount of that penalty. A decision made under rule 3.1(c) to disqualify a person from acting as a HOLP, HOFA, manager or employee of a licensed body. A decision made under...