The SRA Handbook is no longer in effect. It was replaced by the SRA Standards and Regulations on 25 November 2019.
SRA Handbook
Version 3 of the Handbook was published on 20/04/2012. For more information, please click 'History' Above
Rule 31: Appeals by licensable bodies
- 31.1
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A licensable body which is the subject of any decision in (a)-(b) below may appeal to the appellate body against:
- (a)
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the SRA's decision to:
- (i)
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refuse an application for authorisation;
- (ii)
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impose a condition on an authorisation;
- (iii)
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revoke or suspend a body's authorisation;
- (iv)
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refuse to approve a step which, under a condition on the body's authorisation, requires such prior approval;
- (v)
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modify or refuse an application for modification of the terms and conditions of an authorisation under Rule 10; or
- (b)
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the SRA's failure to make a decision within the decision period;
but must first invoke the SRA's own appeal procedure.
- 31.2
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A licensable body which makes the application for approval pursuant to Rule 8.5 or 8.6 and/or the person who is the subject of the application for approval may appeal to the appellate body against the SRA's decision:
- (a)
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not to approve the person to be a manager or compliance officer of the body under Rules 8.5(b) or (d) or 8.6(a);
- (b)
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to approve the person to be a manager or compliance officer of the body under Rules 8.5(b) or (d) or 8.6(a) subject to conditions on the body's authorisation; or
- (c)
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to withdraw its approval of the person to be a manager or compliance officer of the body under Rule 17 or 18;
but must first invoke the SRA's own appeals procedure.
- 31.3
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Any person who is the subject of any decision in (a)-(c) below may invoke the SRA's own appeals procedure, before exercising their right of appeal to the appellate body:
- (a)
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against the SRA's imposition of a financial penalty, under section 96 of the LSA;
- (b)
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against the SRA's imposition of conditions on an authorisation in connection with its approval of a person being an owner of a licensed body, under paragraphs 18, 29 or 34 of Schedule 13 to the LSA; or
- (c)
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against the SRA's decision not to approve, or its decision to withdraw its approval of, a person being an owner of a licensed body, under paragraphs 20, 32 or 37 of Schedule 13 to the LSA.
- 31.4
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If an appeal is made to the appellate body in relation to a decision in respect of a licensable body to:
- (a)
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impose conditions on an authorisation under Rule 9;
- (b)
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modify terms and conditions of an authorisation under Rule 10;
- (c)
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withdraw approval of an owner, manager, COLP or COFA;
- (d)
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revoke or suspend a body's authorisation; or
- (e)
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impose conditions on the holding of an interest under paragraph 28 or 33 of Schedule 13 of the LSA;
the appellant may apply to the appellate body for a stay of the decision pending the determination or discontinuance of the appeal, and if the appellate body imposes an order for a stay in relation to a decision, the SRA shall stay the decision accordingly.