SRA Authorisation of Firms Rules


Introduction

These provisions set out the SRA's arrangements for the authorisation of firms. This includes recognised bodies, licensed bodies and recognised sole practices.

The rules set out our authorisation and application requirements, the effect of authorisation by the SRA on the legal activities such bodies may provide, and how and when we may restrict or limit a firm's authorisation or bring it to an end.

If you are unsure whether you are eligible for authorisation, or need to be authorised, please see our guidance.

This introduction does not form part of the SRA Authorisation of Firms Rules.

Part 1: Eligibility

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Part 2: Determination of authorisation applications, duration and validity

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Part 3: Effect of authorisation and conditions of practice

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General conditions of practice

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Part 4: Approval of role holders

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Part 5: Succession, loss of eligibility and temporary emergency authorisation

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Annexes

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Supplemental notes

Made by the SRA Board on 30 May 2018.

Made under sections 31 of the Solicitors Act 1974, sections 9 and 9A of the Administration of Justice Act 1985, and section 83 of, and Schedule 11 to, the Legal Services Act 2007.

You are reading current version in effect from 25 November 2019

Guidance

Approval of employment under s41 and s43 of the Solicitors Act 1974

This guidance sets out how you can apply to us for written permission, and how we will decide on your application.

Legal Disciplinary Practices

To explain how existing LDPs with non-lawyer managers can remain as recognised bodies or elect to become licensed bodies.

How we make decisions and the criteria we apply

We are the regulator of legal services delivered by solicitors, law firms, and individuals working and holding roles within those firms in England and Wales. We use our regulatory powers to protect consumers of legal services and support the operation of the rule of law and the proper administration of justice.

Approval of role holders

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

Bringing criminal proceedings

This guidance is to help you understand how and when we may bring criminal proceedings