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Decision-making criteria

This set of criteria was archived on 5 October 2012 as part of our Transformation Programme.

Non-lawyer manager approval, decision to withdraw

Principles of regulatory decision-making, approved by the SRA Board, provide a set of standards applicable to decisions. The principles are supported by guidelines. The principles and guidelines are written, accessible to all staff and published on the website.

The reasons given by a decision-maker will normally include specific criteria applicable to the decision. SRA Policies relevant to decision-making are reflected in the criteria.

Scope of this document

This document applies to decisions to withdraw non-lawyer manager approval.

A separate document exists which applies to the imposition of conditions on a firm's recognition, which is also relevant when considering whether to impose one or more conditions on a firm's recognition when deciding to withdraw approval of an individual.

The relevant provisions are:

SRA Recognised Bodies Regulations 2009 in particular Regulation 3.

Criteria

The following criteria apply to decisions about withdrawing non-lawyer manager approval.

  • Criteria are set out in Regulation 3.7(a) which states:

    "The SRA may decide to withdraw approval if it is not satisfied that an approved individual met the criteria for approval or continues to meet the criteria for approval or if information or documentation is not promptly supplied in response to a request made under Regulation 3.6."

Criteria for approval are set out in Regulations 3.2 and 3.3.

Example

The example below is illustrative and does not set any type of precedent. Each matter is considered on its own facts and merits.

PQR Solicitors Limited is a recognised body with five solicitor managers and one non-lawyer manager, Mr Y. The firm has been a recognised body for three years and introduced Mr Y as a manager in early 2010 having obtained our approval.

In July 2010 we receive notification and evidence that Mr Y has been convicted of various offences involving theft and handling stolen goods. He has received a suspended prison sentence. These charges were pending at the time of Mr Y’s approval by us but Mr Y had not disclosed them.

We decide to withdraw approval of Mr Y as a non-lawyer manager under the provisions of regulation 3.7(a) SRA Recognised Bodies Regulations 2009.