The SRA Handbook is no longer in effect. It was replaced by the SRA Standards and Regulations on 25 November 2019.
Resources: Decisions to impose a penalty
Follow the links below for resources related to this part of the SRA Handbook. The material does not form part of the SRA Handbook, and you will exit the Handbook if you click on any of the links listed below.
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Guidance on the SRA's approach to financial penalties
We have published guidance to provide a practical approach for decision makers to determine financial penalties which fulfil the requirements of the Financial Penalty Criteria. This guidance applies to fines imposed upon individuals and firms (recognised bodies and licensed bodies). All fines are subject to the limits placed on the SRA's fining powers in law from time to time.
Appeals and Amendment Rules
The Tribunal's Appeals and Amendment Rules make provision for appeals to the Tribunal in relation to decisions by the SRA to rebuke, fine and/or publish such a decision. View The Solicitors Disciplinary Tribunal (Appeals and Amendment) Rules 2011 (PDF 17 pages, 200K)