SRA Standards and Regulations
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SRA Indemnity Insurance Rules
RELs
The provisions contained in annex 2 to these rules apply to an authorised body that has at least one principal who is an REL.
Found in
SRA Application, Notice, Review and Appeal Rules
Applications
An application made under the SRA's regulatory arrangements must be made in writing, where appropriate, in the prescribed form correctly completed, and be accompanied by: any prescribed fee or charge; and any information and documents which may be prescribed, or reasonably requested by the SRA. If you make an application to the SRA, you do not need to submit all payments, information, and...
Found in
SRA Application, Notice, Review and Appeal Rules
Individual Authorisation
As set out in the SRA Authorisation of Individuals Regulations: A decision made under regulation 3E.2(a) to refuse to recognise all or part of a period of recognised training. A decision made under regulation 4.1 to refuse an application for admission as a solicitor made under Part V of the European Communities (Lawyer's Practice) Regulations 2000. A decision made under regulation 5.1 to...
Found in
SRA Application, Notice, Review and Appeal Rules
Decisions on review
A review will usually be determined by an authorised decision maker on consideration of written evidence alone. An adjudicator may at their sole discretion invite the relevant person to be interviewed by an authorised decision maker accompanied by their representative (if any). Subject to rule 4.3, on a review (save for a review of a decision made under rule 3.1(h) of the SRA Regulatory and...
Found in
SRA Application, Notice, Review and Appeal Rules
Regulatory and Disciplinary
As set out in the SRA Regulatory and Disciplinary Procedure Rules: A decision made under rule 3.1, save for a decision to make an application to the Tribunal under rule 3.1(g). A decision made under rule 3.2(a) to impose interim conditions. 2A. A decision made under rule 7.2 that a disqualification should remain in force. A decision made under rule 9.2 to publish a decision.
Found in
SRA Financial Services (Conduct of Business) Rules
Disclosure of information
Where you undertake credit-related regulated financial services activities for a client, you must ensure that information in connection with such activities and any agreements to which they relate are communicated to the client in a way that is clear, fair and not misleading. Where you carry on the activity of credit broking, you must indicate in any advertising and documentation intended for...
Found in
SRA Financial Services (Conduct of Business) Rules
Communication and disclosure
You must ensure that, in relation to insurance distribution: you communicate all information, including marketing communications, in a way that is clear, fair and not misleading. your marketing communications are always clearly identifiable as such.
Found in
SRA Financial Services (Conduct of Business) Rules
Remuneration and the client's best interests
You must not: be remunerated; or remunerate or assess the performance of the firm's employees, in a way that conflicts with their duty to act in each client's best interest. In particular, you must not make any arrangement by way of remuneration, sales target or otherwise that could provide an incentive to the firm or its employees to recommend a particular contract of insurance to a client...
Found in
SRA Financial Services (Conduct of Business) Rules
Disclosure of information
Where you undertake credit-related regulated financial services activities for a client, you must ensure that information in connection with such activities and any agreements to which they relate are communicated to the client in a way that is clear, fair and not misleading. Where you carry on the activity of credit broking, you must indicate in any advertising and documentation intended for...
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