SRA Standards and Regulations
Showing 237 results
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SRA Application, Notice, Review and Appeal Rules
Firm authorisation
As set out in the SRA Authorisation of Firms Rules: A decision made under rule 2.2 to refuse authorisation as a licensed body. A decision made under rule 3.1 to impose conditions on the authorisation of a licensed body. A decision in respect of a licensed body to refuse approval for the taking of steps specified in conditions under rule 3.3(c). A decision made under rule 4.4 to revoke or...
Found in
SRA Authorisation of Firms Rules
Duration of authorisation
A body's authorisation takes effect from the date the certificate of authorisation is issued to it by the SRA. A body's authorisation shall cease to have effect: subject to Part 5, if the body ceases to exist; or if the body is a licensed body and is issued with a licence by another approved regulator. The SRA may revoke or suspend a body's authorisation, if: it is satisfied that the...
Found in
SRA Authorisation of Firms Rules
Restrictions on services provided by a recognised body or recognised sole practice
If you are a recognised body or recognised sole practice, your business may consist only of the provision of: professional services of the sort provided by individuals practising as solicitors and/or lawyers of other jurisdictions; and the services set out in annex 2 (whether or not they are also included in paragraph (a)), and if you have a notary public as a manager or employee, then...
Found in
SRA Authorisation of Firms Rules
Apportionment of periodical fees on succession
An authorised body which: has taken over the whole or a part of one or more authorised bodies; or has split or ceded part of its practice to another authorised body and wishes the SRA to take this into account in determining its periodical fee, must within 28 days of the change taking place deliver to the SRA a notice in the prescribed form.
Found in
SRA Financial Services (Scope) Rules
Insurance distribution activities
You may only carry on insurance distribution activities as an ancillary insurance intermediary. You must not carry on any insurance distribution activities unless you: are registered in the Financial Services Register; and have appointed an insurance distribution officer who will be responsible for your insurance distribution activities. If you are carrying on, or proposing to carry on,...
Found in
SRA Indemnity Insurance Rules
Use of information
Each authorised body must notify the SRA (or such person as the SRA may notify to the authorised body from time to time) and its participating insurer in writing as soon as reasonably practicable and in any event no later than five business days after the date on which: the authorised body enters an extended policy period; the authorised body has entered the cessation period; and where the...
Found in
SRA Regulatory and Disciplinary Procedure Rules
Fixed financial penalties
Where the SRA has evidence that a relevant person has committed one or more of the breaches listed in rule 11.2, it may notify them and will: set out the allegation and the facts in support, accompanied by any evidence or documentation that the SRA considers to be relevant to the allegation; require the relevant person to remedy any specified breaches and provide evidence of the action taken...
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SRA Authorisation of Individuals Regulations
Eligibility for admission
You will be eligible for admission as a solicitor if the SRA is satisfied: you have successfully and satisfactorily passed an assessment which is designed to assess your competence against the prescribed competences for solicitors and is conducted by an assessment organisation appointed by the SRA for the purpose; you hold a degree or qualifications or experience which the SRA is satisfied are...
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SRA Overseas and Cross-border Practice Rules
Overseas Principles
You act: in a way that upholds the constitutional principle of the rule of law and the proper administration of justice in England and Wales. in a way that upholds public trust and confidence in the solicitors' profession of England and Wales and in legal services provided by authorised persons. with independence. with honesty. with integrity. in a way that encourages equality, diversity and...
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