SRA Financial Services (Conduct of Business) Rules

You are reading current version in effect from 31 December 2020

Guidance

Guidance

Regulated financial services activites

If you are a COLP or a nominated authorised signatory for a firm we regulate, you need to let us know whether or not your firm carries out financial activities for clients as part of your legal work.

Solicitors undertaking regulated financial services activities relating to pre-paid funeral plans - Guidance

Guidance: Clarifies the position of SRA-authorised firms following the introduction of new regulatory requirements relating to pre-paid funeral plans.

Tags

ABSs Other authorised roles & bodies Complaints about solicitors Accounts & finance Client care Fees Other regulation topics Supervision & compliance

SRA Financial Services (Conduct of Business) Rules

You are reading current version in effect from 31 December 2020
Guidance (2)

Tags

ABSs Other authorised roles & bodies Complaints about solicitors Accounts & finance Client care Fees Other regulation topics Supervision & compliance
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You are reading current version in effect from 31 December 2020

Guidance

Guidance

Regulated financial services activites

If you are a COLP or a nominated authorised signatory for a firm we regulate, you need to let us know whether or not your firm carries out financial activities for clients as part of your legal work.

Solicitors undertaking regulated financial services activities relating to pre-paid funeral plans - Guidance

Guidance: Clarifies the position of SRA-authorised firms following the introduction of new regulatory requirements relating to pre-paid funeral plans.