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On-site investigations (inspections) - Guidance

To help you understand how we make the decision to conduct an on-site inspection and what is expected from you.

Statement of our position regarding firms operating a client’s own account - Guidance

Understand in what circumstances under Rule 10 of the SRA Accounts Rules you can operate a client’s own personal bank account as signatory.

Offensive communications - Warning notice

This warning notice explains the importance of making sure that your communications are always professional, lawful and do not cause offense.

Tax avoidance your duties - Warning notice

This reminds those advising clients about their tax affairs about the importance of understanding their regulatory obligations.

Risk factors in immigration work - Guidance

Common risks that solicitors and firms face when they provide immigration services.

Making payments from the SRA Compensation Fund - Guidance

To help you understand how we decide when to make a payment from the SRA Compensation Fund.

Adequate and appropriate indemnity insurance - Guidance

To help you understand your requirement to take out and maintain professional indemnity insurance that provides adequate and appropriate cover in respect of services you provide.

Offering inducements to potential clients or clients - Guidance

Understand your professional obligations and the issues you need to consider before offering inducements to existing or prospective clients.

Firm risk assessments - Guidance

Understand how firms subject to the money laundering regulations must comply with the requirement to have a firm wide risk assessment under regulation 18.

Dealing with claims for mis sold payment protection insurance - Guidance

To remind you of your professional duties when accepting and dealing with claims relating to mis-sold payment protection insurance.

Money laundering and terrorist financing suspicious activity reports - Warning notice

This Warning Notice reminds you of some of the key requirements to have in place adequate controls to prevent, detect and report money laundering and to make suspicious activity reports (SARs).

Does my employer need to be authorised by an approved regulator? - Guidance

A flow chart to assist solicitors, registered European lawyers and registered foreign lawyers in deciding whether their employer needs to be authorised under the Legal Services Act.

SRA Principle 2: public trust and confidence - Case studies

These case studies should be read in conjunction with the guidance on Principle 2 - public trust and confidence.

Drafting and preparation of wills - Guidance

To highlight areas of concern and the professional obligations of those responsible for the preparation and drafting of wills.

How we make decisions and the criteria we apply - Guidance

To help you understand the overarching principles that guide us when we make regulatory decisions and the criteria we apply.

Agreeing regulatory and disciplinary outcomes - Guidance

To help you understand when we might agree to a regulatory and disciplinary outcome by way of a Regulatory Settlement Agreement.

Acting with honesty - Guidance

Understand how we approach the requirement to act with honesty found in Principle 4 and the test we apply when deciding if a person has acted dishonestly.

How we approach decisions to intervene - Guidance

We explain how we approach the decision to intervene into a solicitor’s firm or practice.

Decision-making, reviews and attendance procedures - Guidance

To help you understand how we make a first instance decision and how we deal with an application for an internal review of that decision.

Parallel investigations - Guidance

To help you understand our approach towards investigating breaches of our regulatory requirements which relate to the same or similar underlying facts as concurrent civil, regulatory or criminal proceedings.