Version 7 of the SRA Handbook is in force.

• Introduction
• Principles
  • Preamble
  • Principles
    • Principles
    • Principles - notes
  • Principles - application provisions
    • Application of the SRA Principles in England and Wales
    • Application of the SRA Principles in relation to practice from an office outside England and Wales
    • Application of the SRA Principles outside practice
    • General provisions
  • Transitional provisions
    • Transitional provisions
  • Interpretation
    • Interpretation
• Code of Conduct
  • Introduction to the Code of Conduct
  • You and your client
    • Client care
    • Equality and diversity
    • Conflicts of interests
    • Confidentiality and disclosure
    • Your client and the court
    • Your client and introductions to third parties
  • You and your business
    • Management of your business
    • Publicity
    • Fee sharing and referrals
  • You and your regulator
    • You and your regulator
  • You and others
    • Relations with third parties
    • Separate businesses
  • Application, waivers and interpretation
    • Application and waivers provisions
    • Interpretation
    • Transitional provisions
• Accounts Rules
  • Preamble
  • Introduction
  • General
    • The overarching objective and underlying principles
    • Interpretation
    • Geographical scope
    • Persons governed by the rules
    • Persons exempt from the rules
    • Principals' responsibility for compliance
    • Duty to remedy breaches
    • Liquidators, trustees in bankruptcy, Court of Protection deputies and trustees of occupational pension schemes
    • Joint accounts
    • Operation of a client's own account
    • Firm's rights not affected
    • Categories of money
  • Client money and operation of a client account
    • Client accounts
    • Use of a client account
    • Client money withheld from client account on client's instructions
    • Other client money withheld from a client account
    • Receipt and transfer of costs
    • Receipt of mixed payments
    • Treatment of payments to legal aid practitioners
    • Withdrawals from a client account
    • Method of and authority for withdrawals from client account
  • Interest
    • When interest must be paid
    • Amount of interest
    • Interest on stakeholder money
    • Contracting out
  • Accounting systems and records
    • Guidelines for accounting procedures and systems
    • Restrictions on transfers between clients
    • Executor, trustee or nominee companies
    • Accounting records for client accounts, etc.
    • Accounting records for clients' own accounts
  • Monitoring and investigation by the SRA
    • Production of documents, information and explanations
  • Accountants' reports
    • Delivery of accountants' reports
    • Accounting periods
    • Qualifications for making a report
    • Reporting accountant's rights and duties - letter of engagement
    • Change of accountant
    • Place of examination
    • Provision of details of bank accounts, etc.
    • Test procedures
    • Departures from guidelines for accounting procedures and systems
    • Matters outside the accountant's remit
    • Privileged documents
    • Completion of checklist
    • Form of accountant's report
    • Firms with two or more places of business
    • Waivers
  • Overseas practice
    • Purpose of the overseas accounts provisions
    • Application and Interpretation
    • Interest
    • Accounts
    • Production of documents, information and explanations
    • Waivers
  • Transitional provisions [deleted]
    • Transitional provisions
• Authorisation and Practising Requirements
  • Practice Framework Rules
    • Introduction
    • Framework of practice
      • Solicitors
      • RELs
      • RFLs
      • In-house practice
      • Authorised bodies
      • Managers and employees authorised by another approved regulator
      • Managers and employees who are not lawyers
    • Rights of practice
      • Reserved work and immigration work
      • Practising certificates
      • Sole practitioners
      • Participation in legal practice
      • Persons who must be "qualified to supervise"
    • Formation and eligibility criteria for recognised bodies and licensed bodies
      • Eligibility criteria and fundamental requirements for recognised bodies
      • Eligibility criteria and fundamental requirements for licensed bodies
      • Formation, registered office and practising address
      • Composition of an authorised body
      • Authorised bodies which are companies
      • Information and documentation
    • Compliance with practice requirements
      • Compliance with practice requirements
      • Overseas practice
      • Waivers
      • Transitional provisions and grace period
    • Interpretation
      • Interpretation
  • Authorisation Rules
    • Interpretation and applications
      • Interpretation
      • Form, timing and fees for applications made under these rules
      • Application information and notification of any change following application
    • Authorisation applications and decision period
      • Applications for authorisation
      • Decision period
      • Determination of authorisation applications
    • Conditions of authorisation
      • Terms and conditions of authorisation
      • General conditions on authorisation
      • Further conditions
      • Modification of terms and conditions of an authorisation
      • Regulatory conflict
      • Waivers
    • Approval of managers, owners and compliance officers
      • Application for approval
      • Approval process and production of information or documentation
      • Criteria for approval
      • Effect of approval
      • Withdrawal of approval
      • Temporary emergency approvals for compliance officers
    • Notification, effect and duration of authorisation
      • Notification of decisions
      • Notifying third parties of decisions
      • Effect and validity of authorisation
      • Revocation and suspension of authorisation
      • Unforeseen temporary breach of certain conditions and eligibility criteria
    • Changes in partnerships
      • Change to the composition of a partnership
      • Temporary emergency authorisation
    • Special bodies, transitional provisions and passporting
      • Special kinds of licensable bodies
      • Commencement, transitional provisions and repeals
      • Transition of recognised bodies and sole practitioners
    • Reconsideration and appeals
      • Reconsideration
      • Appeals by legal services bodies
      • Appeals by licensable bodies
      • Appeals - general provisions
    • Register and certificate of authorisation
      • Name of an authorised body
      • The register of authorised bodies
      • Certificates of authorisation
  • Practising Regulations
    • Applications, conditions and appeals
      • General requirements for applications under these regulations
      • Applications for practising certificates and registration
      • Application following certain events
      • Application to be a recognised sole practitioner
      • Fee determinations for acquisitions, mergers and splits
      • Applications for reinstatement
      • Conditions
      • Appeals
    • Duration, expiry and revocation of practising certificates and registrations
      • Commencement, replacement and renewal dates
      • Expiry and revocation
    • The registers, practising certificates and certificates of registration
      • The register of holders of practising certificates
      • The register of European lawyers
      • The register of foreign lawyers
      • Practising certificates and certificates of registration
    • Information requirements, notifying third parties and review of decisions
      • Information requirements
      • Notifying third parties of decisions
      • Reconsideration
    • Interpretation and transitional provisions
      • Interpretation
      • Transitional provisions
  • Recognised Bodies Regulations
    • Applications, conditions and appeals
      • Form, timing and fees for applications
      • Initial recognition and renewal of recognition
      • Fee determinations for acquisitions, mergers and splits
      • Duties in relation to compliance
      • Approval of an individual as suitable to be a manager
      • Conditions on recognition
      • Change in composition of a partnership and temporary emergency recognition following a partnership split
      • Notification of decisions by the SRA
      • Appeals
    • Duration of recognition, renewal date, revocation and expiry
      • Duration of recognition and renewal date
      • Revocation of recognition
      • Expiry of recognition
    • Name, the register and certificate of recognition
      • Name of a recognised body
      • The register of recognised bodies
      • Certificates of recognition
    • Interpretation, waivers, reconsideration and notifying third parties
      • Interpretation
      • Waivers
      • Reconsideration
      • Notifying third parties of decisions
      • Transitional provisions
  • Keeping of the Roll Regulations
    • The roll and information
      • The roll
      • Mode of keeping the roll
      • Content of the roll
      • Public access to information
      • Address for correspondence
      • Annual enquiry
    • Removal, restoration and change of name
      • Removal from the roll
      • Application for restoration to the roll
      • Application for change of name on the roll
      • Outstanding complaints
      • Disciplinary proceedings
      • Notice of intention to remove name
      • Letter of confirmation or notice of refusal
    • Forms, fees and appeals
      • Forms
      • Fees
      • Appeals
    • Interpretation and transitional arrangements
      • Interpretation
      • Transitional provision
  • Qualification Regulations
    • Introduction to the Training Regulations Part 1 - Qualification Regulations
    • Interpretation
      • Interpretation and definitions
      • Compliance with these regulations
    • The academic stage of training
      • Completion of the academic stage
      • Certificates of completion of the academic stage
      • Validity periods of certificates of completion of the academic stage
      • Eligibility to attempt a CPE
      • Exemption from a part or parts of a CPE
      • Attending a CPE
      • Compliance with regulations relating to a CPE
      • Transfer between CPE providers
      • Commencing the vocational stage of training
    • Student enrolment
      • Requirement to obtain certificates of enrolment
      • Applying for student enrolment
      • Validity of student enrolment
      • Refusal of student enrolment applications, and appeals
    • LPC
      • Completion of the LPC
      • Course requirements
    • The training contract
      • Purpose of the training contract
      • Types and terms of training contracts
      • Full-time training contract
      • Part-time training contract
      • Part-time study training contract
      • Registration of a training contract
      • Duties under the training contract
      • Absences from work during a training contract
      • Termination of a training contract
      • Conciliation procedure
      • Adequate training under a training contract
    • The PSC
      • Requirement to complete the PSC
    • The CILEx and Justices' Clerks Assistants routes
      • Chartered Legal Executive route
      • Graduate of CILEx route
      • Justices' Clerks' Assistants route
    • Character and suitability of prospective solicitors
      • Misbehaviour of a prospective solicitor
      • Disclosure of character and suitability issues
      • Criminal Records Bureau disclosures
    • General
      • Waiver of regulations
      • Forms and fees
      • Admission as a solicitor
  • Training Provider Regulations
    • Introduction to the Training Regulations Part 2 - Training Provider Regulations
    • Interpretation
      • Interpretation and definitions
    • Authorisation to take trainee solicitors
      • Authorisation of training establishments
    • Training establishments
      • Application
      • Taking of trainees
      • Commencement, registration and termination of a training contract
      • Responsibilities of training establishments
      • Recognition of previous experience
      • Appointment of training principal
      • Induction of trainees
      • Training of trainee solicitors
      • Secondment of trainee solicitors
      • Modular training contracts
      • Absences from work of trainees
      • Monitoring of training contracts and SRA powers
    • Training principals
      • Responsibilities of training principals
    • Supervisors of trainees
      • Responsibilities of supervisors of trainees
    • PSC providers
      • Authorisation of PSC providers
    • Waiver, forms and fees
      • Waiver of regulations
      • Forms and fees
  • CPD Regulations
    • Introduction to the Training Regulations Part 3 - CPD Regulations
    • Interpretation
      • Interpretation and definitions
      • Application of these regulations
    • Basic requirement
      • Basic CPD requirement
    • Requirements for new solicitors/RELs
      • CPD requirement during the first three years of admission
      • CPD requirement during the first months after admission
      • CPD requirement during the first months after registration with the SRA pursuant to the Establishment Directive
      • Part-time employment
    • Activities
      • CPD activities
      • Requirements for solicitors who have been RELs
    • Records
      • Obligation to keep a CPD training record
    • Pre-qualification training
      • CPD undertaken before admission
    • Suspension of requirements
      • Suspension of CPD requirement
    • Returning to practice
      • CPD requirements upon return to full-time or part-time legal practice or employment following a suspension during the newly admitted or registered period
      • CPD requirements upon return to full-time legal practice or employment following a suspension at any time from the end of your first CPD year or onwards
      • CPD requirements upon return to part-time legal practice or employment following a suspension at any time from the end of your first CPD year or onwards
    • Applications and waivers
      • CPD questions on the practising certificate application form
      • Waivers of CPD monitoring requirements
  • Admission Regulations
    • Introduction to the Admission Regulations
    • Interpretation
      • Interpretation and definitions
    • Appeals
      • Appeals against our decisions on student enrolment and certificates of eligibility for overseas lawyers
      • Appeals against our decisions arising from character and suitability issues
    • Applications for admission
      • When you can make an application for admission
      • Form and fees
      • Our decisions
      • Admission following issue of certificate of satisfaction
      • Cause for preventing admission following issue of a certificate of satisfaction, and review of such a decision
      • Admission certificates
  • QLTS Regulations
    • Introduction to the Qualified Lawyers Transfer Scheme Regulations
    • Interpretation and eligibility
      • Interpretation and definitions
      • Eligibility
    • Assessments, recognised jurisdictions and qualified lawyers
      • QLTS assessments
      • Review of lists of recognised jurisdictions and qualified lawyers
      • Lawyers seeking admission under the Establishment Directive
    • Appeals, and suitability
      • Review of decisions on eligibility
      • Character and suitability of prospective solicitors
    • Forms, fees and admission
      • Forms and fees
      • Admission as a solicitor
    • Transition from previous regulations
      • Commencement and repeal
      • Transitional arrangements
  • HRA Regulations
    • Introduction to the Higher Rights of Audience Regulations
    • Interpretation
      • Interpretation and definitions
    • Rights, and qualification
      • Rights of audience
      • Qualifications to exercise extended rights of audience
      • Qualifying to exercise extended rights of audience
    • Rights from previous professional status
      • Qualification gained in another jurisdiction
      • Conversion provisions for barristers
      • Conversion provision for RELs
    • Assessments and ongoing training
      • Assessments
      • Continuing professional development
    • Applications, reviews and transitional arrangements
      • Applications and reviews
      • Transitional arrangements
  • QASA Notification Regulations
    • Interpretation
      • Interpretation and definitions
    • Notification provisions
      • Notification requirements
      • Commencement
  • Suitability Test
    • Introduction to the Suitability Test
    • Basic requirements
      • Criminal offences
      • Disclosure
      • Behaviour not compatible with that expected of a prospective solicitor or authorised role holder
      • Assessment offences
      • Financial evidence
      • Regulatory history
      • Evidence
      • Rehabilitation
    • Additional requirements to become authorised under the Authorisation Rules
      • All applicants must comply with Part 1
      • Additional requirements
• Client Protection
  • Indemnity Insurance Rules
    • General
      • Authority and commencement
      • Citation
      • Definitions and interpretation
    • Responsibility and monitoring
      • Obligation to effect insurance
      • Responsibility
      • Insolvency of qualifying insurer
      • Monitoring
      • RELs
    • The ARP
      • Operation of the ARP
      • Applying to the ARP
      • Special measures
      • Time in the ARP
      • Power to collect contribution from firms
    • Firms in default
      • Eligibility of firms in default
      • Firms which fail to apply to the ARP
      • Arrangements in relation to uninsured firms
    • Disciplinary offences and reporting
      • Disciplinary consequences of failure to comply with these Rules
      • Use of information
      • Details of qualifying insurer
    • General powers of the Council
      • Waiver powers
    • Other obligations
      • Accountants' reports
  • Indemnity Enactment Rules
    • The enactment rules
      • Authority
      • Commencement and application
      • Transitional provisions
  • Indemnity Rules
    • General provisions and interpretation
      • Authority
      • Citation
      • Definitions and interpretation
      • Establishment and maintenance of fund
      • Indemnity Periods before 1 September 1987
      • Application of the Rules
      • Scope of indemnity
    • Indemnity cover
      • Indemnity
      • Exclusions from cover
      • Manner of indemnity
      • Source of indemnity
      • Maximum liability of the fund
      • Indemnity limit
      • Conditions
      • Arbitration
    • Contributions
      • Power to require contributions
    • Management and administration of the fund
      • Powers of the Society
      • Use of information
      • Waivers
      • Decisions by the Society
    • Maintenance and termination of the fund
      • Maintenance and termination of the fund
  • Compensation Fund Rules
    • General
      • Interpretation
    • The Fund
      • Maintenance of and contributions to the Fund
    • Grants and applications
      • Grants which may be made from the Fund
      • Grants in respect of persons in default of regulatory requirements
      • Grants in respect of uninsured defaulting practitioners
      • Grants to practitioners
      • Foreign lawyers
      • Losses outside the remit of the Fund
      • Undertakings
      • Multi-party and multi-profession issues
      • Applications: form and time limit
      • Documentation in support
      • Exhausting other remedies
      • Notice to defaulting practitioner
      • Costs
      • Interest
      • Maximum grant
      • Recovery and subrogation
      • Reduction in grants
      • Deduction from grants
      • Refusal of an application
      • Appeals
      • Notice of requirements
      • Waivers
    • Repeals and commencement provisions
      • Repeals and commencement
  • Intervention Powers (Statutory Trust) Rules
    • General
      • Interpretation
      • Holding statutory trust monies
      • Proportionality
      • Identifying beneficial entitlements
    • Claims
      • Claimants to money
      • Verification of claims
      • Shortfall in statutory trust account
      • Distribution of beneficial entitlements
      • Residual balances
      • Miscellaneous
      • Commencement and application
      • Transitional provisions
• Discipline and Costs Recovery
  • Disciplinary Procedure Rules
    • General
      • Interpretation
      • Scope
      • Disciplinary powers
    • Practice and Procedure
      • Investigations
      • Seeking explanations
      • Report stage
    • Decisions
      • Decisions: general
      • Decisions to impose a penalty
      • Decisions to disqualify, and to review a disqualification
      • Applications to the Tribunal
    • Appeals, Reviews and Reconsideration
      • Internal appeals
      • Appeals to the Tribunal and the appellate body
      • Reconsideration
    • Notification, Publication and Commencement
      • Notification of Disqualification decisions
      • Publication of decisions
      • Application and repeal
      • Transitional Provisions
    • Appendix 1
    • Appendix 2
    • Appendix 3
  • Cost of Investigations Regulations
    • General
      • Interpretation
      • Scope
    • Substantive provisions
      • Discipline investigations
      • Section 43 investigations
      • Decision to require payment of charges
      • Basis of charges
      • Recovery of charges
    • Repeals and transitional provisions
      • Repeals
      • Transitional Provisions
    • Appendix 1
• Specialist Services
  • Property Selling Rules
    • Rules
      • Purpose
      • Application and interpretation
      • Standards of property selling services
      • Statement of agreement
      • Transactions in which you have a personal interest
      • Waivers
  • Financial Services (Scope) Rules
    • Rules
      • Purpose
      • Application
      • Prohibited activities
      • Basic conditions
      • Other restrictions
      • Effect of a breach of these rules
    • Repeal, commencement and transitional provisions
      • Repeal, commencement and transitional provisions
      • Interpretation
  • Financial Services (Conduct of Business) Rules
    • Rules
      • Purpose
      • Application
      • Status disclosure
      • Execution of transactions
      • Records of transactions
      • Record of commissions
      • Safekeeping of clients' investments
      • Packaged products - execution-only business
      • Insurance mediation activities
      • Retention of records
      • Waivers
      • Commencement
      • Interpretation
    • Appendix
  • European Cross-border Practice Rules
    • General
      • Purpose
      • Application
    • Substantive provisions
      • Occupations considered incompatible with legal practice
      • Fee sharing with non-lawyers
      • Co-operation between lawyers of different CCBE states
      • Correspondence between lawyers in different CCBE states
      • Paying referral fees to non-lawyers
      • Disputes between lawyers in different member state
      • Fee of lawyers of other CCBE states
    • Interpretation and transitional provisions
      • Interpretation
      • Transitional Provisions
  • SRA Insolvency Practice Rules
    • Rules
      • Purpose
      • Interpretation
      • Standard of insolvency practice
      • Waivers
• Glossary
  • Introduction and Preamble
  • General
    • Application
    • Definitions
    • General Interpretation
    • Transitional Provisions