You are reading current version in effect from 25 November 2019
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You are reading current version in effect from 25 November 2019



Approval of role holders

This guidance is about how we approve persons to be managers, owners or compliance officers of firms we regulate.

Vocational training for trainee solicitors - Guidance

Guidance: To help you understand the steps you need to take to complete the vocational part of training to become a solicitor.

Responsibilities of COLPs and COFAs - Guidance

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

Glossary terms

character and suitability

includes fitness and propriety under rule 13.1 of the SRA Authorisation of Firms Rules


means the Solicitors Regulation Authority


means a person who has been admitted as a solicitor of the Senior Courts of England and Wales and whose name is on the roll, save that in the SRA Indemnity Insurance Rules and the MTC this includes a person who practises as a solicitor whether or not the person has in force a practising certificate, and also includes practice under home title of a former REL who has become a solicitor


authorised person
  1. subject to sub-paragraph below, means a person who is authorised by the SRA or another approved regulator to carry on a legal activity as defined under s12 of the LSA and the term "non-authorised person" shall be construed accordingly; and
  2. in the SRA Financial Services (Scope) Rules, has the meaning given in section 31 of the FSMA
compliance officer

is a reference to a body's COLP or its COFA