The SRA Handbook is no longer in effect. It was replaced by the SRA Standards and Regulations on 25 November 2019.
Overview
The SRA Handbook is no longer in effect. It was replaced by the SRA Standards and Regulations on 25 November 2019.
- Introduction
- Principles
- Code of Conduct
- 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
- Accounting systems and records
- Monitoring and investigation by the SRA
- Accountants' reports
- Delivery of accountants' reports
- Rule 32A: Obtaining and 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
- Rule 43A: Work to be undertaken
- Rule 43B: Failure to provide documentation
- Form of accountant's report
- Firms with two or more places of business
- Waivers
- Practice as an REL from an office in England and Wales of an Exempt European Practice
- Transitional provisions [deleted]
- Authorisation and Practising Requirements
- Practice Framework Rules
- Authorisation Rules
- Interpretation and applications
- Authorisation applications and decision period
- Conditions of authorisation
- Approval of managers, owners and compliance officers
- Notification, effect and duration of authorisation
- Changes in partnerships
- Special bodies, transitional provisions and passporting
- Reconsideration and appeals
- Register and certificate 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
- The registers, practising certificates and certificates of registration
- Information requirements, notifying third parties and review of decisions
- Interpretation and transitional provisions
- Applications, conditions and appeals
- Keeping of the Roll Regulations
- Qualification and Provider Regulations
- Introduction to the Training Regulations 2014 - Qualification and Provider Regulations
- Interpretation
- Education and training requirements
- Approved education providers and authorised education providers requirements
- Authorised training providers requirements
- Right of review and waivers
- Forms and fees
- Commencement, repeal and transitional provisions
- Admission Regulations
- QLTS Regulations
- HRA Regulations
- QASA Regulations
- Introduction to the Quality Assurance Scheme for Advocates (Crime) Regulations
- Interpretation
- Quality Assurance Scheme For Advocates (Crime) ("QASA")
- Accreditation for current practitioners
- Accreditation for new practitioners
- Practitioners returning to QASA
- Re-accreditation, special circumstances and appeals
- Repeal, commencement and transitional provisions
- Suitability Test
- SRA Transparency Rules
- Client Protection
- Indemnity Insurance Rules
- Indemnity Enactment Rules
- Indemnity Rules
- Compensation Fund Rules
- General
- 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
- Intervention Powers (Statutory Trust) Rules
- Discipline and Costs Recovery
- Overseas Rules
- Specialist Services
- Property Selling Rules
- Financial Services (Scope) Rules
- 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
- Rule 9A: Credit-related regulated activities
- Retention of records
- Waivers
- Commencement
- Interpretation
- Appendix
- Rules
- European Cross-border Practice Rules
- General
- 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
- Glossary