Archived criteria

This page serves as an archive for decision-making criteria. To view a criteria click on the type of decision below.

The current decision-making criteria are available.

Decisions

Applications

• Accountant's report, decision to extend or refuse to extend time in which to deliver
• Accountant's report, decision to grant dispensation to deliver
• Accountant's report, decision to waive requirement to deliver
• Client account, decision in relation to application to authorise withdrawal of client money from
• Conduct rule or regulation, decision in relation to an application to waive
• Employ a person, permission to grant or refuse
• Employment, partnership, membership, directorship or management of solicitors, RELs or RFLs, decision to approve subject to conditions
• Solicitors' Indemnity Rules, rule 10, and Solicitors' Indemnity Insurance Rules, rule 19.1, decision to grant or refuse application for waiver under
• Suspension of practising certificate or registration, decision to terminate

Findings and outcomes

• Disciplinary sanction, decision to issue by way of reprimand or severe reprimand
• Employment or remuneration of non-solicitor, decision to prevent
• Finding and warning, decision to issue
• Letter of advice, decision to issue
• Practising certificate or registration application, decision to trigger regulation 3.1(b) of the SRA Practising Regulations in relation to next
• Decision to order the prosecution of non-solicitors under the Solicitors Act 1974
• Regulatory settlement agreement, decision to enter into
• Solicitors Disciplinary Tribunal, decision to refer matter to
• Unsatisfactory explanation of conduct, decision to give REL notice of

Indemnity insurance

• Qualifying insurance policy, decision to grant exemption to firm containing at least one REL from obligation to take out

Intervention

• Intervene, decision to
• Intervention, decision to release emergency funds after
• Make a grant out of the Compensation Fund, decision to

Investigations and enforcement

• Allegation, decision to exclude from investigation
• Costs recoverable as a debt, decisions relating to
• Forensic investigation, decision to authorise
• Information or documents – application to the High Court to require another person to provide information or documents
• Information or documents, decision to make an order to require provision or production of
• Information or production of documents - decision to make an order to require a regulated person to attend to provide.

Registration, recognition, authorisation, conditions and revocation

• Non-lawyer manager approval, decision to withdraw
• Non-lawyer manager, approval of an individual as suitable
• Partnership, decision to grant temporary emergency recognition of
• Partnership, LLP or company, decision to grant, refuse or grant subject to condition(s) an application for initial recognition of
• Partnership, LLP or company, decision to grant, refuse or grant subject to condition(s) an application for renewal of recognition of
• Partnership, LLP or company, decision to impose conditions on recognition of
• Partnership, LLP or company, decision to impose condition(s) on recognition of, when granting non-lawyer manager approval
• Practising certificate, initial and renewal applications for a
• Practising certificate or registration, decision to impose conditions on
• Recognised sole practitioner authorisation, decision to revoke
• Recognised sole practitioner, decision to grant initial authorisation or renewal of existing authorisation as
• Recognition, decision to revoke
• Registration as a registered European lawyer (REL) or registered foreign lawyers (RFL), initial and renewal applications for
• Sole practitioner, decision to grant temporary emergency recognition of
• Statutory Trust accounts, decisions to make directions to establish a beneficial entitlement and to identify potential beneficiaries and/or distribute funds held

Standards and visits

• Visit to assist firm to improve standards, decision to authorise

Training, admission and being on the roll

• Certificate of academic standing, decision to grant
• Certificate of completion of academic stage of training, decision in relation to
• Certificate of good standing or attestation, decision to issue
• Certificate of student enrolment, decision to grant
• Character and suitability, assessment of
• Common Professional Examination, decision to grant full or partial exemption from
• Higher rights of audience, decision to approve
• Application, Insolvency Practitioner
• Licensed insolvency practitioner, decision to approve reauthorisation
• Management Course Stage One, decision to grant an exemption from
• Professional Skills Course, decision to grant exemption from
• QLTT Test specification
• Roll of solicitors, decision to admit an applicant to
• Roll of solicitors, decision to keep name on
• Roll of solicitors, decision to remove name from
• Roll of solicitors, decision to restore name to
• Training contract, decision to cancel
• Training contract, decision to register
• Training contract, decision to register extension of
• Training contract, decision to transfer
• Training establishment, decision to authorise firm as
• Training contract, decision to amend the training contract
• Training contract, decision to second a trainee solicitor
• Training contract, decision to waive the minimum salary
• Training establishment, decision to increase the permitted number of trainees