Decision-making criteria

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 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 applications by RELs or RFLs for initial or renewal of registration.

The relevant provisions are:

• The Establishment of Lawyers Directive 98/5/EC
• The European Communities (Lawyer's Practice) Regulations 2000
• Schedule 14 of the Courts and Legal Services Act 1990
• The SRA Practising Regulations 2009

Criteria

The following criteria are relevant when considering such an application, but are not an exhaustive list:

• The application been made on the prescribed form.
• The application is accompanied by the prescribed fee, as determined annually by the Law Society Council.
• The prescribed contribution to the Compensation Fund has been received.
• Where the application is to renew the registration the application has been received on or before the renewal date, 31 October (annually).
• Where the applicant is a manager (partner/partner equivalent) of a firm, they comply with the Solicitors' Indemnity Insurance Rules.
• Where the applicant is subject to regulation 3 of the SRA Practising Regulations (or regulation 6.2(a) where the applicant is an RFL) due consideration is given to the relevant part of the regulations.
• The form is personally signed by the applicant unless:
• a solicitor or registered European lawyer (REL) has been given written permission by the SRA in exceptional circumstances, to sign on the applicant's behalf; or
• the application is made wholly or partly on a prescribed form which is designed to be completed and signed on behalf of a number of applicants in one firm or organisation. In that case, the form must be signed by a solicitor or REL who:
• is a manager (partner/partner equivalent) of the firm:
• is authorised to sign the form by the firm or organisation;
• has the consent of all the persons named in the form to sign the form on their behalf; and
• has taken reasonable steps to ensure that all details given on the form are correct and complete.
• Any additional information, documents and references as specified by the SRA has been received.
• Where the applicant applies with the intention of practising on a permanent basis in the UK , they are legally entitled to do so.
• Where the applicant is applying for renewal of their registration, due consideration will be given to any conditions already imposed on their registration.