5 July 2021
To help you understand how we deal with money when we intervene into a firm.
12 March 2021
How we approve persons to be managers, owners or compliance officers of firms we regulate.
8 March 2021
An overview of our approach in determining whether a particular role or interest a person has in licensed body requires approval.
11 November 2020
To help SRA authorised firms involved in credit related regulated activities understand the application of Part 20 of the Financial Services and Markets Act 2000.
8 October 2020
To help you understand how we make decisions to grant authorisation to a firm to withdraw residual client balances over £500.
14 September 2020
For all SRA-authorised firms and individuals that receive money and assets from clients and third parties and use that money to pay fees and disbursements.
14 September 2020
Advice to help reporting accountants and a firm’s senior managers/ COFA prepare for and complete an accountant’s report and statutory reporting obligations to us.
17 August 2020
These case studies should be read in conjuction with the guidance on Firm closures due to financial difficulties
17 August 2020
This warning notice sets out the dangers of becoming involved in and facilitating dubious investment schemes.
5 August 2020
This guidance sets out our approach and the support we can provide to firms which are experiencing financial or other difficulties that threaten their ability to carry on trading.
