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Reporting and notification obligations - Case studies

To be read in conjunction with our guidance on Reporting and notification obligations.

Public trust and confidence - Guidance

To explain when you are likely to be found to have breached your obligation under Principle 2 to act in a way that upholds public trust and confidence.

Legal Disciplinary Practices - Guidance

To explain how existing LDPs with non-lawyer managers can remain as recognised bodies or elect to become licensed bodies.

Approval of employment under s41 and s43 of the Solicitors Act 1974 - Guidance

To explain how you can apply to us for our written permission to employ someone who has a control order or been suspended from practice.

Reporting duties under the SRA Overseas Rules - Case studies

This case study should be read in conjunction with the guidance on reporting duties under the SRA overseas rules.

Reporting duties under the SRA Overseas Rules - Guidance

To explain your duties to report matters to us under the SRA Overseas and Cross Border Practice Rules.

Reporting and notification obligations - Guidance

To help you understand your reporting and notification obligations to us.

Putting matters right when things go wrong, and own interest conflicts - Guidance

To outline certain key considerations for putting matters right when you identify that things have gone wrong through the fault of you or your firm.

Waivers - Case studies

These case studies should be read in conjunction with the guidance on granting waivers.

Identifying your client - Guidance

To help you understand your obligations in respect of identifying your client.

The SRA's approach to equality, diversity and inclusion - Guidance

To help you understand your obligations on equality, diversity and inclusion.

Do I need to operate a client account? - Guidance

Questions and answers for SRA-authorised firms that receive client money in the form of fees and disbursements and want to rely on the exemption not to operate a client account.

Does my business need to be authorised? - Guidance

This checklist will help you determine if your business requires authorisation.

Law firms carrying on insurance distribution activities - Guidance

To help you understand key changes introduced by the Insurance Distribution Directive (IDD).

Money laundering - Case studies

These case studies illustrate the importance of having a consistent approach to compliance with the money laundering regulations throughout your entire firm.

Unregulated organisations giving information to clients - Guidance

Understand your obligations to give information to external clients when your employer is not authorised by us or any other approved regulator.

Joint accounts and record keeping - Guidance

Understand the types of joint accounts that you can operate and the records which you will need to keep in order to comply with the SRA Accounts Rules.

Bogus law firms and identity theft - Warning notice

This warning notice explains the serious risks posed to the public and the profession by criminals who set up bogus law firms or branch offices of genuine law firms.

Consumer credit activities - Case studies

Case studies to be read in conjunction with the Regulation of consumer credit activities toolkit.

Employers' duties - Case studies

As an employer you have certain duties under the Solicitors Act. Failure to comply with them can have serious consequences as the solicitor in this case study discovered.