SRA Handbook

Substantive provisions

Version 21 of the Handbook was published on 6 December 2018. For more information, please click "History" above.

Part 2: Substantive provisions

Regulation 3: Discipline investigations

3.1

A regulated person who is the subject of a discipline investigation may be required by the SRA to pay a charge in accordance with these regulations provided that there has been an SRA finding against the regulated person.

3.2

An SRA finding may be made by:

(a)

agreement between the regulated person and the SRA;

(b)

a person duly authorised by the SRA;

(c)

a single adjudicator; or

(d)

an adjudication panel.

Regulation 4: Section 43 investigations

4.1

A person who is the subject of a section 43 investigation may be required by the SRA to pay a charge in accordance with these regulations provided that the SRA has made an order under section 43(2) of the SA.

4.2

An order under section 43(2) of the SA may be made by:

(a)

agreement between the person and the SRA;

(b)

a single adjudicator; or

(c)

an adjudication panel.

Regulation 5: Decision to require payment of charges

5.1

The amount of charges payable by any person in the circumstances falling within regulation 3.1 or 4.1 above will be determined by the person, adjudicator or adjudication panel making the relevant SRA finding or decision to make an order under section 43(2) of the SA, or where such a finding or order is made by agreement, the person duly authorised by the SRA to enter into such an agreement.

5.2

Where a person is required to pay any charges under these regulations, such charges shall be paid within a time and in the manner specified by the SRA.

Regulation 6: Basis of charges

6.1

Subject to regulation 6.2 below, the amount payable under regulation 5 will be determined in accordance with the schedule of charges in appendix 1 to these regulations.

6.2

In exceptional circumstances, the SRA may charge less than the amount that would be payable in accordance with the schedule of charges in appendix 1 to these regulations provided that it is considered by the SRA to be fair and reasonable to do so.

6.3

The SRA may require any person in the circumstances falling within regulation 3.1 or 4.1 above to pay an additional charge where such person has made an unsuccessful appeal to the SRA against the SRA finding or the order made under section 43(2) of the SA.

6.4

The additional amount payable under regulation 6.3 shall be in accordance with the schedule of charges in appendix 1 to these regulations.

6.5

For the purposes of this regulation an appeal will be unsuccessful if, after the appeal has been heard, any SRA finding remains or the order made under section 43(2) of the SA has not been quashed.

Regulation 7: Recovery of charges

7.1

Any charge which a person is required to pay under these regulations is recoverable by the SRA as a debt due to the SRA from that person.

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