Consideration by authorised decision makers

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You are reading current version in effect from 25 November 2019

Guidance

Guidance

How we regulate non-authorised persons

This guidance is to help you understand your obligations and how to comply with them. We may have regard to it when exercising our regulatory functions.

Decision-making, reviews and attendance procedures

This document sets out how we make a first instance decision (FID) and how we deal with an application for an internal review of that decision.

Glossary terms

authorised decision maker

in relation to a decision, means a person authorised to make that decision by the SRA under a schedule of delegation

person

includes a body of persons (corporate or unincorporated)

SA

means the Solicitors Act 1974.

AJA

means the Administration of Justice Act 1985

LSA

means the Legal Services Act 2007

HOLP

means a Head of Legal Practice within the meaning of paragraph 11(2) of Schedule 11 to the LSA

HOFA

means a Head of Finance and Administration within the meaning of paragraph 13(2) of Schedule 11 to the LSA

manager

means:

  1. the sole principal in a recognised sole practice;
  2. a member of a LLP;
  3. a director of a company;
  4. a partner in a partnership; or
  5. in relation to any other body, a member of its governing body
solicitor

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

 

REL

means a European lawyer registered in the register of European lawyers

RFL

means a foreign lawyer registered in the register of foreign lawyers

Tribunal

means the Solicitors Disciplinary Tribunal which is an independent statutory tribunal constituted under section 46 of the SA

SRA

means the Solicitors Regulation Authority