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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.

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.

Bringing criminal proceedings - Guidance

Understand how and when we may bring criminal proceedings against those we regulate.

How we approach decisions to intervene - Guidance

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

Recovering costs and payments from third parties - Guidance

To help you understand when and how we recover costs and payments from third parties following an intervention.

How we recover our costs - Guidance

To help you understand our approach to recovering money due to us as a result of regulatory action and litigation.

How we make our decision to authorise a firm - Guidance

For those applying to us to authorise their business as an SRA regulated recognised sole practice, recognised body or licensed body.

How we gather evidence in our regulatory and disciplinary investigations - Guidance

Understand how we gather evidence, the investigatory powers we have to gather evidence and how we can use those powers.

Admission as a solicitor - Guidance

To help you understand the requirements for admission as a solicitor.

The Prohibition of referral fees in LASPO 56 60 - Guidance

An overview of the approach we will adopt in determining whether a regulated person has paid or received a referral fee contrary to section 56 of LASPO.

Unregulated organisations Conflict and confidentiality - Guidance

To help you understand your obligations in relation to conflicts of interest and keeping clients’ information confidential.

If we are investigating you - Guidance

An oversight of how we investigate allegations of a breach of our Standards and Regulations.

Compliance with the money laundering regulations – firm risk assessment - Warning notice

This Warning Notice reminds you of your legal obligations to make sure that you do not facilitate money laundering or terrorist financing and understand your obligations under the money laundering regulations.

Publishing regulatory and disciplinary decisions - Guidance

Understand the approach we take when deciding whether to publish regulatory and disciplinary decisions on our website.

Firm authorisation - Guidance

If you wish to set up a business providing legal services, understand whether the business needs to be authorised by us and how this is done.

Preparing to become a sole practitioner or an SRA-regulated freelance solicitor - Guidance

To help solicitors understand how to set up a business trading on their own account providing legal services to the public.

Access to and disclosure of an incapacitated person's will - Guidance

To clarify circumstances where a solicitor can disclose a copy of a client’s will to a property and financial affairs attorney.

Can my business be authorised? - Guidance

If your business needs to be authorised to provide legal services, or you have chosen to be authorised, this checklist provides a summary of the eligibility requirements.

The Insurance Act 2015 - Guidance

To help you understand changes to the minimum terms and conditions of solicitors’ professional indemnity insurance which came into force in August 2016.

Responsibilities of COLPs and COFAs - Guidance

To assist COLPs and COFAs in understanding their duties and responsibilities.