SRA Regulatory and Disciplinary Procedure Rules

You are reading current version in effect from 25 November 2019

Guidance

Guidance

The SRA's approach to financial penalties - Guidance

Guidance: A guide for our decision makers to assist them in arriving at an appropriate financial penalty for the individuals and firms we regulate.

Issuing Solicitors Disciplinary Tribunal proceedings - Guidance

Decision making: To help you understand the approach we take when deciding whether to issue proceedings in the Solicitors Disciplinary Tribunal.

Agreeing regulatory and disciplinary outcomes - Guidance

Decision making: To help you understand when we might agree to a regulatory and disciplinary outcome by way of a Regulatory Settlement Agreement.

How we regulate non-authorised persons - Guidance

Decision making: How we will regulate you if you are not authorised by us directly but where you are involved in a firm we regulate or work for, or are supervised, by a solicitor.

Decision-making, reviews and attendance procedures - Guidance

Decision making: To help you understand how we make a first instance decision and how we deal with an application for an internal review of that decision.

How we gather evidence in our regulatory and disciplinary investigations - Guidance

Decision making: Understand how we gather evidence, the investigatory powers we have to gather evidence and how we can use those powers.

On-site investigations (inspections) - Guidance

Decision making: To help you understand how we make the decision to conduct an on-site inspection and what is expected from you.

Publishing regulatory and disciplinary decisions - Guidance

Decision making: Understand the approach we take when deciding whether to publish regulatory and disciplinary decisions on our website.

SRA Regulatory and Disciplinary Procedure Rules

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

Guidance

Guidance

The SRA's approach to financial penalties - Guidance

Guidance: A guide for our decision makers to assist them in arriving at an appropriate financial penalty for the individuals and firms we regulate.

Issuing Solicitors Disciplinary Tribunal proceedings - Guidance

Decision making: To help you understand the approach we take when deciding whether to issue proceedings in the Solicitors Disciplinary Tribunal.

Agreeing regulatory and disciplinary outcomes - Guidance

Decision making: To help you understand when we might agree to a regulatory and disciplinary outcome by way of a Regulatory Settlement Agreement.

How we regulate non-authorised persons - Guidance

Decision making: How we will regulate you if you are not authorised by us directly but where you are involved in a firm we regulate or work for, or are supervised, by a solicitor.

Decision-making, reviews and attendance procedures - Guidance

Decision making: To help you understand how we make a first instance decision and how we deal with an application for an internal review of that decision.

How we gather evidence in our regulatory and disciplinary investigations - Guidance

Decision making: Understand how we gather evidence, the investigatory powers we have to gather evidence and how we can use those powers.

On-site investigations (inspections) - Guidance

Decision making: To help you understand how we make the decision to conduct an on-site inspection and what is expected from you.

Publishing regulatory and disciplinary decisions - Guidance

Decision making: Understand the approach we take when deciding whether to publish regulatory and disciplinary decisions on our website.