Decision-making criteria

About this criteria

The SRA Authorisation Rules set out criteria to be applied and procedures to be followed for the approval of a manager (i.e. a partner in a partnership, a member of an LLP or director of a company).

This decision making criteria provides a broad summary of the relevant provisions and gives guidance to decision makers on how to apply those provisions. This is not an exhaustive list of the factors which may be relevant in individual cases. Further information about our approach to decision making can be found in the Decision-making framework. 

Approving a manager

The SRA Authorisation Rules require that all managers of an authorised body need to be approved by the SRA. We will take into account the criteria set out in the SRA Suitability Test and any other relevant information (Rule 15 of the SRA Authorisation Rules).

Who can be a manager?

Criteria in Rule 8.6(d) and (e) of the SRA Authorisation Rules requires that no licensed body or recognised body may, except in accordance with the SRA's written permission, permit an individual to be a manager of the body if:

•  that person's name has been struck off the roll;  
•  he/she is suspended from practising as a solicitor;   
•  his/her practising certificate has been suspended whilst he/she is an undischarged bankrupt;   
•  there is a direction in force in respect of that person under section 47(2)(g) of the Solicitors Act 1974;   
•  there is an order in force in respect of that individual under section 43 of the Solicitors Act 1974.  

Rule 8.6(b) states a person cannot be a manager of a licensed body if they have been disqualified from being a manager. In addition, the criteria set out in Rule 8.6(c) relates to the manager's capacity as employee and stipules that an authorised body must not employ or remunerate a person if they have been disqualified from being an employee.

The deeming provisions in Rule 13.2 of the SRA Authorisation Rules may apply to the manager if:

•  the candidate is a solicitor who holds a current practising certificate; or an authorised body;  
•  there is no condition on the candidate’s practising certificate or authorisation as appropriate, preventing or restricting them from being a manager of an authorised body or a sole practitioner;  
•  the candidate has applied on the prescribed form in advance of becoming a manager, and  
•  the SRA has not withdrawn its approval of that person to be a manager.  

If the deeming provisions apply the candidate will be deemed to have passed the Suitability Test.

Where the deeming provisions do not apply, Rule 15 of the SRA Authorisation Rules deals with the suitability of the manager and the decision maker must be satisfied as to the suitability of the candidate in accordance with the Suitability Test.

Approval subject to conditions

Rule 14.5 of the SRA Authorisation Rules provides that the decision-maker may, at the time of granting approval or at any time thereafter, make the approval of the manager subject to such conditions on the body’s authorisation as they consider appropriate having regard to the criteria in Rule 9 of the rules.

Providing the SRA with information

Pursuant to Rule 14.2 of the SRA Authorisation Rules all information, documents, and references as specified by the SRA must have been received.

In order to approve a role holder we will need to be satisfied that the relevant tests have been met. The SRA expects the applicant body and the individual candidate to provide sufficient evidence to enable the SRA to properly assess this. If insufficient evidence has been provided by the time that a decision is taken, the authorisation for the relevant role will be refused.