SRA Handbook

General

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Version 1 of the Handbook was published on 16/09/2011. For more information, please click 'History' Above

Part 1: General

Regulation 1: Interpretation

1.1

In these regulations, unless the context otherwise requires:

adjudicator

means a person not involved in the investigation or preparation of a case who is authorised by the SRA to make an SRA finding;

AJA

means the Administration of Justice Act 1985;

appellate body

means the body with the power, by virtue of an order under section 80(1) of the LSA, to hear and determine appeals against decisions made by the SRA acting as a licensing authority;

discipline investigation

means an investigation by the SRA to determine whether a regulated person should be subject to an SRA finding or an application to the Tribunal;

licensed body

means a body licensed by the SRA under Part 5 of the LSA;

LLP

means a limited liability partnership incorporated under the Limited Liability Partnerships Act 2000;

LSA

means the Legal Services Act 2007;

manager

means:

(i)

a partner in a partnership;

(ii)

a member of an LLP;

(iii)

a director of a company; or

(iv)

in relation to any other body, a member of its governing body;

person

means an individual or a body of persons (corporate or unincorporated);

person who has an interest in a licensed body

means a person who has an interest or indirect interest in a licensed body as defined by section 72(3) and (5) of the LSA;

recognised body

means a body recognised by the SRA under section 9 of the AJA;

registered European lawyer

means a person registered by the SRA under regulation 17 of the European Communities (Lawyer's Practice) Regulations 2000;

registered foreign lawyer

means a person registered by the SRA under section 89 of the Courts and Legal Services Act 1990;

regulated person

means:

(i)

a solicitor;

(ii)

a registered European lawyer;

(iii)

a registered foreign lawyer;

(iv)

a recognised body;

(v)

a manager of a recognised body;

(vi)

a licensed body;

(vii)

a manager of a licensed body;

(viii)

an employee of a recognised body, a licensed body, a solicitor or registered European lawyer;

(ix)

a person who has an interest in a licensed body; or

(x)

to the extent permitted by law, any person who has previously held a position or role described in (i) to (ix) above;

section 43 investigation

means an investigation by the SRA as to whether there are grounds for the SRA:

(i)

to make an order under section 43(2) of the SA; or

(ii)

to make an application to the Tribunal for it to make such an order;

SA

means the Solicitors Act 1974;

SRA

means the Solicitors Regulation Authority, and reference to the SRA as an approved regulator or licensing authority means the SRA carrying out regulatory functions assigned to the Law Society as an approved regulator or licensing authority;

SRA finding

is a decision that the SRA is satisfied:

(i)

that a regulated person has failed to comply with a requirement imposed by or made under the SA, the AJA or the LSA;

(ii)

in relation to a solicitor, that there has been professional misconduct;

the Tribunal

means the Solicitors Disciplinary Tribunal which is an independent statutory tribunal constituted under section 46 of the SA but references to the Tribunal do not include the Tribunal when it is performing any function as an appellate body;

1.2

the singular includes the plural and vice versa.

Regulation 2: Scope

2.1

These regulations prescribe the charges to be paid to the SRA by:

(a)

regulated persons who are the subject of a discipline investigation;

(b)

persons who are the subject of a section 43 investigation.

2.2

These regulations shall not prevent, prohibit or restrict the exercise of any other powers or other action by the SRA.