Follow the links below for resources related to this part of the SRA Handbook. The material does not form part of the SRA Handbook, and you will exit the Handbook if you click on any of the links listed below.
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We have published guidance to provide a practical approach for decision makers to determine financial penalties which fulfil the requirements of the Financial Penalty Criteria. This guidance applies to fines imposed upon individuals and firms (recognised bodies and licensed bodies). All fines are subject to the limits placed on the SRA's fining powers in law from time to time.
View guidance on the SRA's approach to financial penalties
The Tribunal's Appeals and Amendment Rules make provision for appeals to the Tribunal in relation to decisions by the SRA to rebuke, fine and/or publish such a decision. View The Solicitors Disciplinary Tribunal (Appeals and Amendment) Rules 2011 (PDF 17 pages, 200K)
Your quick guide to getting started with OFR and the new Handbook
In this video (3m58s), SRA Chief Executive Antony Townsend introduces the new SRA Handbook.
View video presentation
Risk and OFR
Video presentations about OFR
SRA webinar library
Important: Some of the guidance below was written and issued before the introduction of the SRA Handbook on 6 October 2011, and may refer to regulatory material that is no longer in effect. Although it may still be relevant, it has not yet been reviewed in light of the wide-ranging regulatory changes implemented on 6 October. It will be reviewed and updated (or archived) in due course.
Question of ethics
Topic-based ethics guidance
Rules and regulations in force before 6 October 2011