Skip to main content
Cookies and privacy
|
Site map
|
Contact us
Home
Contact
Contact us
Find us
Birmingham
London
Receiving email from us
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
Reasons for investigation
Good practice in investigations
Criteria to determine the focus of an investigation
Use of investigatory powers
Criminal prosecution
Reporting and how to report
Providing information and intelligence to the SRA
Cooperating with an investigation
Whistleblowing to the SRA
No engagement at present
Intervention and the SDT
Intervention into a practice
Solicitors Disciplinary Tribunal
Code for referral to the SDT
PC conditions, suspension, removal from the roll
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
Compliance News
Events and webinars
More help
FAQs
Ethics Q&A
Firm-based authorisation
Our approach to authorisation
Authorisation process overview
Preparing your application
Where to get help
Feedback and complaints
Forms and guidance
New licensed body (ABS)
Who needs to be authorised
Material interest: notification and authorisation
Preparing to apply for authorisation as an ABS
About the authorisation process
Application Pack Request pre-completion notes
Structure and ownership examples
Definitions and help
Begin application
New partnership
New LLP
New company
New sole practitioner
Manager change
Non-lawyer manager change
Notice of succession
Register of licensed bodies (ABS)
Resources
FAQs
Referral fees FAQs
Professional indemnity
Indemnity rules
Indemnity insurance rules
Qualifying insurers
Estimated premium income
Minimum terms and conditions
ARP contract
Financial protection
Previous indemnity rules
Guidance
Question of ethics
Fraud and dishonesty
Lottery scams
Get rich quick scams
Inheritance scams
Investment in shares scams
For more information
Share of money scams
Scams – an item held in a secure deposit box
Warning notices
Case studies
Archive
Rules and regulations
About change tracker
Code of Conduct 2007
Accounts Rules 1998
Compensation Fund Rules
Cost of Investigations
Disciplinary Procedure Rules
Financial Services (Business) Rules
Financial Services (Scope) Rules
Indemnity Rules
Indemnity Insurance Rules
Training Regulations
Practising Regulations
Transfer Regulations
Admission Regulations
Keeping of the Roll Regulations
HRA Regulations
Intervention Powers (Statutory Trust) Rules
PC Fee Order Regulations
Guidance
Question of ethics
RELs and RFLs
Financial Services rules
Financial Services (Scope) Rules
Financial Services (Business) Rules
CPD and accreditation
Continuing professional development
CPD requirements
Find a CPD provider
For in-house CPD providers
For external CPD providers
Revoking authorisation as a CPD provider
CPD FAQs
Accreditation
Higher rights of audience
Approved assessment providers
Competence standards
Insolvency practitioners
Practice requirements
Guidance papers and useful links
Police station representatives
QASA: Quality Assurance Scheme for Advocates (crime)
Notification Q&A
Scheme Q&A
Outcomes-focused regulation
Supervision
Supervision pilot report
Relationship management pilot report
Risk and OFR
Incoming reports assessment
Risk Q&A
OFR at a glance
Delivering OFR
Cost-benefit analysis
Videos about OFR
Qualified Lawyers Transfer
How to apply
Assessment organisation
Recognised jurisdictions
QLTS outcomes
English language requirement
FAQs
Key features
Qualified Lawyers Transfer Test
QLTT experience requirement
Q&A
Consumers
Who we are
How we regulate
Finding and using a solicitor
Find a solicitor
What to expect
Community language versions
Cymraeg/Welsh
Français/French
Polski/Polish
Punjabi
Bengali
Gujurati
Guangzhou huà/Cantonese
Urdu
Pashto
Soomaaliga/Somali
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
Policy statement
Disciplinary guidance
Controls
Closures
Agreements
Approval denied
Employee decision
Sanctions
Prosecutions
Tribunal findings
Recent decisions
Problems with a solicitor
Report a solicitor
Issues excluded from investigation
Guidance for witnesses
Providing information to the SRA
Whistleblowing to the SRA
A solicitor has closed down
Intervention
Solicitors we have closed down
Effect on employees
Information for trade creditors
A solicitor owes you money
General client losses
Conveyancing and mortgage claims
Wills, estate and trust fund claims
Outstanding professional fee claims
Preparing a cash statement
Recognising fraud and dishonesty
Mortgage fraud and money laundering
Suspected dishonesty
Abandonment or sudden closure
Arrest, charge or conviction
Solicitor's financial problems
Bogus solicitors
Scams
Law firms with financial problems
Frequently asked questions
Contact us
News and alerts
Students
Training provider search
Academic stage
Qualifying law degrees
Joint Academic Stage Board
Conversion courses
Institutions and courses
Certificates of academic standing
Student enrolment
Apply online
Register
Log in
Forgotten username?
Forgotten password?
Apply online
Change password
Log out
Character and suitability
FAQs
Download forms
Legal Practice Course
LPC providers
Accreditation of prior learning
Training contract
Professional Skills Course providers
Written standards
Guidance and forms
Training contract applications
TC4 guidance notes
Work-based learning pilot
Questions and answers
About us
How we work
What we do
Our board and committees
Public meetings
Our committees
Our management
Our charter
Decision making
Framework
Compliance committee statement
Decision-making structure
Decision-maker criteria
Principles
Criteria
Archive
Adjudicators
Reconsideration policy
Waivers policies
Indemnity insurance rules
Schedule of delegations
Archive
Disclosure - our approach
Witness evidence
Reports
Consumer research
Compensation Fund review
Regulated population statistics
Assigned risks pool
Monitoring data
Enforcement action impact assessment
Corporate social responsibility
Records management
Litigation panel tender
Q&A
Register
Equality and diversity
Equality Framework
Equality objectives
Action plan
Equality impact assessment schedule
Equality impact assessments
Recent equality impact assessments
Reports
Diversity monitoring
Diversity data collection
Publication framework
Guidance for firms
Reasonable adjustment policy
Gender reassignment policy
Forum on disability
Terms of reference
Newsletter
Subscribe
News and events
SRA Update
Press office
News releases
Events
Roadshows
Webinars
Strategy
Sub-strategies
Enforcement strategy
Assigned risks pool
Conveyancing
Referral fees ban
Communications strategy
Engagement strategy
Empowering consumers
Risk framework
Risk index
Independent regulation
Policy
Our approach
Work programme
Referral fees
History and effect of the ban
Consultation with stakeholders
Our approach to the ban
Guidance
Compensation Arrangements Review
Legal Education and Training Review
Consultation and discussion
Closed consultations
Subscribe to alerts
Our approach to consultation
Our consultation responses
Discussion papers
Complaints about our service
Complaints charter
Complaints policy
Make a complaint
Unreasonable behaviour
Jobs
Benefits
Equality and diversity
mySRA
Forms and applications
Help and guidance
Getting started
Account activation
User guides
FAQs
Using mySRA
Keeping of the roll
PC renewal
Fees
Ways to pay
Fee policy 2012/13
Fee calculator
Turnover definition
mySRA updates
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
Qualifying law degrees
Joint Academic Stage Board
Conversion courses
Institutions and courses
Certificates of academic standing
Student enrolment
Apply online
Character and suitability
FAQs
Download forms
Legal Practice Course
LPC providers
Accreditation of prior learning
Training contract
Professional Skills Course providers
Guidance and forms
Training contract applications
Work-based learning pilot
Questions and answers
Smarter regulation, better outcomes
Contact us
Find us
Site map
Cookies and privacy
About us
How we work
What we do
Our board and committees
Our management
Our charter
Decision making
Disclosure - our approach
Reports
Corporate social responsibility
Records management
Litigation panel tender
Equality and diversity
Equality Framework
Equality impact assessments
Reports
Diversity monitoring
Diversity data collection
Reasonable adjustment policy
Gender reassignment policy
Forum on disability
Newsletter
News and events
SRA Update
Press office
Events
Strategy
Sub-strategies
Risk framework
Independent regulation
Policy
Our approach
Work programme
Consultation and discussion
Closed consultations
Subscribe to alerts
Our approach to consultation
Our consultation responses
Discussion papers
Complaints about our service
Complaints charter
Complaints policy
Make a complaint
Unreasonable behaviour
Jobs
Benefits
Equality and diversity
Smarter regulation, better outcomes
Contact us
Find us
Site map
Cookies and privacy
mySRA
Forms and applications
Help and guidance
Getting started
Account activation
User guides
FAQs
Fees
Ways to pay
Fee policy 2012/13
Turnover definition
mySRA updates
Log in
Don't have an account?
Smarter regulation, better outcomes
Contact us
Find us
Site map
Cookies and privacy
SRA Handbook
Welcome
Introduction
Principles
Code of Conduct
Accounts Rules
Authorisation and Practising Requirements
Practice Framework Rules
Authorisation Rules
Practising Regulations
Keeping of the Roll Regulations
The roll and information [1-6]
Removal, restoration and change of name [7-13]
Removal from the roll [7]
Application for restoration to the roll [8]
Application for change of name on the roll [9]
Outstanding complaints [10]
Disciplinary proceedings [11]
Notice of intention to remove name [12]
Letter of confirmation or notice of refusal [13]
Forms, fees and appeals [14-16]
Interpretation and transitional arrangements [17-18]
Qualification Regulations
Training Provider Regulations
CPD Regulations
Admission Regulations
QLTS Regulations
HRA Regulations
QASA Notification Regulations
Suitability Test
Client Protection
Discipline and Costs Recovery
Specialist Services
Glossary
Content
History
Resources
Search
Advanced search
Search Keeping of the Roll Regulations
Search all of the Handbook
History: Disciplinary proceedings
Version 7: Disciplinary proceedings
Release notes
Published:
1 April 2013
Period:
1 April 2013
to
present
Status:
In force
Changes from version
6
:
No
Version 6: Disciplinary proceedings
Release notes
Published:
1 January 2013
Period:
1 January 2013
to
1 April 2013
Status:
Superseded
Changes from version
5
:
No
Version 5: Disciplinary proceedings
Release notes
Published:
1 October 2012
Period:
1 October 2012
to
31 December 2012
Status:
Superseded
Changes from version
4
:
No
Version 4: Disciplinary proceedings
Release notes
Published:
21 June 2012
Period:
21 June 2012
to
30 September 2012
Status:
Superseded
Changes from version
3
:
No
Version 3: Disciplinary proceedings
Release notes
Published:
20 April 2012
Period:
18 April 2012
to
20 June 2012
Status:
Superseded
Changes from version
2
:
No
Version 2: Disciplinary proceedings
Release notes
Published:
23 December 2011
Period:
23 December 2011
to
17 April 2012
Status:
Superseded
Changes from version
1
:
No
Version 1: Disciplinary proceedings
Release notes
Published:
16 September 2011
Period:
6 October 2011
to
22 December 2011
Status:
Superseded
Top