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Solicitors undertaking regulated financial services activities relating to pre-paid funeral plans -Guidance

Clarifies the position of SRA-authorised firms following the introduction of new regulatory requirements relating to pre-paid funeral plans.

In effect

The SRA's approach to financial penalties - Guidance

A guide for our decision makers to assist them in arriving at an appropriate financial penalty for the individuals and firms we regulate.

Issuing Solicitors Disciplinary Tribunal proceedings - Guidance

To help you understand the approach we take when deciding whether to issue proceedings in the Solicitors Disciplinary Tribunal.

Accepting instructions from vulnerable clients or third parties acting on their behalf

To highlight issues to consider before receiving and accepting instructions from vulnerable clients or third parties acting on their behalf.

Confidentiality of client information - Guidance

To help you understand your obligation to keep clients' information confidential.

Solicitors undertaking regulated claims management and immigration activities - Guidance

Understand your obligations and how to comply with them. We will have regard to it when exercising our regulatory functions.

Separate Business - Guidance

Guidance to explain your obligations when you are linked with a separate business.  

Conduct in disputes - Guidance

This guidance is to help you understand your obligations and how to comply with them. We will have regard to it when exercising our regulatory functions.

Closing down your practice - Guidance

To enable those who are closing down their practice to protect the interests of their clients and comply with our Standards and Regulations.

Advising on leasehold provisions including ground rent clauses - Guidance

To help you understand what our Standards and Regulations require when acting for clients who are buying leasehold properties and to avoid possible breaches of our requirements.

Workplace environment: risks of failing to protect and support colleagues - Case studies

This case study should be read in conjunction with the guidance on Workplace environment: risks of failing to protect and support colleagues

Workplace environment: risks of failing to protect and support colleagues - Guidance

This guidance is to help you understand your obligations and how to comply with them.

Administering oaths or statutory declarations outside your normal practice

Concerns have been raised about the restrictions that are placed on solicitors and registered European lawyers (RELs) who normally practise through an SRA authorised body, an authorised non-SRA firm (together described below as an authorised firm) or any other business and want to be able to administer oaths or statutory declarations outside their normal practice.

Sole practitioners and small firms regulatory starter pack - Guidance

This starter pack provides help and support to practitioners looking to establish their own business.

Making decisions to investigate concerns - Guidance

To help those we regulate understand how we assess reports and complaints made about them.

How we regulate non-authorised persons - Guidance

How we will regulate you if you are not authorised by us directly but where you are involved in a firm we regulate or work for, or are supervised, by a solicitor.

Solicitors and Compliance Officers for Legal Practice (COLPs) confirming qualifying work experience

Understand your obligations around confirming qualifying work experience (QWE) and how to comply with them. We may have regard to it when exercising our regulatory functions.

Meeting our standards for good qualifying work experience

Understand how your firm can meet our expected standard when offering qualifying work experience (QWE).

Transparency in price and service - Guidance

To help you understand your obligations under our Transparency Rules.

How we deal with money when we intervene (Statutory Trusts) - Guidance

To help you understand how we deal with money when we intervene into a firm.