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SRA Handbook
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Introduction
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Home
Solicitors
SRA Handbook
Welcome
Introduction
Principles
Code of Conduct
Accounts Rules
Authorisation and Practising Requirements
Client Protection
Discipline and Costs Recovery
Specialist Services
Glossary
Investigation and enforcement
If we are investigating you
Reporting and how to report
Intervention and the SDT
PC conditions, suspension, removal from the roll
Recognised sole practitioners
COLPs and COFAs
What is a COLP and COFA?
Responsibilities of COLPs and COFAs
Nominating COLPs and COFAs
Case studies
Resources
Events and webinars
More help
Firm-based authorisation
Our approach to authorisation
Authorisation process overview
Preparing your application
Where to get help
Feedback and complaints
Forms and guidance
Register of licensed bodies (ABS)
Resources
FAQs
Professional indemnity
Guidance
Archive
RELs and RFLs
Financial Services rules
CPD and accreditation
Continuing professional development
Accreditation
QASA: Quality Assurance Scheme for Advocates (crime)
Outcomes-focused regulation
Supervision
Risk and OFR
OFR at a glance
Delivering OFR
Videos about OFR
Qualified Lawyers Transfer
How to apply
FAQs
Key features
Qualified Lawyers Transfer Test
Smarter regulation, better outcomes
Contact us
Find us
Site map
Cookies and privacy
Consumers
Who we are
How we regulate
Finding and using a solicitor
Find a solicitor
What to expect
Get the best from your solicitor
Costs and legal aid
Legal jargon explained
Check a solicitor's record
Help with searching
About our publication policy
Controls
Closures
Agreements
Approval denied
Employee decision
Sanctions
Prosecutions
Recent decisions
Problems with a solicitor
Report a solicitor
A solicitor has closed down
A solicitor owes you money
Recognising fraud and dishonesty
Law firms with financial problems
Frequently asked questions
News and alerts
Smarter regulation, better outcomes
Contact us
Find us
Site map
Cookies and privacy
Students
Training provider search
Academic stage
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Apply online
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Download forms
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Cookies and privacy
SRA Handbook
Welcome
Introduction
Principles
Code of Conduct
Accounts Rules
Authorisation and Practising Requirements
Client Protection
Discipline and Costs Recovery
Specialist Services
Property Selling Rules
Financial Services (Scope) Rules
Rules [1-6]
Purpose [1]
Application [2]
Prohibited activities [3]
Basic conditions [4]
Other restrictions [5]
Effect of a breach of these rules [6]
Repeal, commencement and transitional provisions [7-8]
Financial Services (Conduct of Business) Rules
European Cross-border Practice Rules
SRA Insolvency Practice Rules
Glossary
Content
History
Resources
Search
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Search Financial Services (Scope) Rules
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History: Basic conditions
Version 7: Basic conditions
Compare with version 6
Release notes
Published:
1 April 2013
Period:
1 April 2013
to
present
Status:
In force
Changes from version
6
:
Yes
Version 6: Basic conditions
Release notes
Published:
1 January 2013
Period:
1 January 2013
to
1 April 2013
Status:
Superseded
Changes from version
5
:
No
Version 5: Basic conditions
Release notes
Published:
1 October 2012
Period:
1 October 2012
to
31 December 2012
Status:
Superseded
Changes from version
4
:
No
Version 4: Basic conditions
Release notes
Published:
21 June 2012
Period:
21 June 2012
to
30 September 2012
Status:
Superseded
Changes from version
3
:
No
Version 3: Basic conditions
Release notes
Published:
20 April 2012
Period:
18 April 2012
to
20 June 2012
Status:
Superseded
Changes from version
2
:
No
Version 2: Basic conditions
Release notes
Published:
23 December 2011
Period:
23 December 2011
to
17 April 2012
Status:
Superseded
Changes from version
1
:
No
Version 1: Basic conditions
Release notes
Published:
16 September 2011
Period:
6 October 2011
to
22 December 2011
Status:
Superseded
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