SRA Handbook

Decisions to disqualify, and to review a disqualification

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

Rule 9: Decisions to disqualify, and to review a disqualification

9.1

Subject to rule 9.6, any decision to disqualify a person from acting as a HOLP or HOFA or being a manager or employee shall continue to have effect until such time as it is brought to an end:

(a)

by the SRA following a review under rule 9.4 or an internal appeal or reconsideration under rule 11 or 13; or

(b)

by the appellate body following an appeal under rule 12.

9.2

A person who has been disqualified from acting as a HOLP or HOFA, or being a manager or employee, may apply to the SRA for a review of the disqualification only:

(a)

after a period of 12 months from the date of the decision to disqualify, or after such other period as may be specified in the decision to disqualify; or

(b)

where there has been one or more prior unsuccessful applications to review the disqualification, after a period of 12 months from the date of the decision of the most recent application, or after such other period as may be specified in that decision.

9.3

Where the SRA has received an application under rule 9.2:

(a)

rule 6 shall apply save that:

(i)

before making a decision in respect of the application a report shall instead be prepared in relation to the matters leading to the decision to disqualify and any information or evidence relating to the person's conduct or behaviour in the period since that decision was made;

(ii)

rule 6.5 shall not apply and rules 6.10 to 6.12 shall apply only to the extent that they refer to the application of rule 6;

(iii)

reference to a person under investigation in rule 6 should be read as a reference to a person who has made an application under rule 9.2; and

(iv)

reference to a disciplinary decision should be read as a reference to a decision as to whether to bring a disqualification to an end in accordance with rule 9.4;

(b)

the SRA may:

(i)

exercise any investigative or other powers at any time; and

(ii)

request from the applicant documents or other information relevant to the application.

9.4

The SRA shall decide to bring a disqualification to an end if it is satisfied that:

(a)

it is no longer undesirable for the disqualified person to engage in the relevant activity or activities; and

(b)

it is proportionate and otherwise in the public interest to do so.

9.5

In considering whether to bring a disqualification to an end, the SRA shall take into account all of the circumstances including:

(a)

the criteria at appendix 3; and

(b)

any indicative guidance published by the SRA from time to time.

9.6

Any decision to disqualify a person from acting as a HOLP or HOFA or being a manager or employee may include a direction that the disqualification shall not take effect until any internal or external appeals made under rules 11 or 12 have been withdrawn or determined.

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