SRA Standards and Regulations
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Found in
SRA Financial Services (Scope) Rules
Credit-related regulated financial services activities
You must not enter into any transaction with a client in which you: provide the client with credit card cheques, a credit or store card, credit tokens, running account credit, a current account or high-cost short-term credit; hold a continuous payment authority over the client's account; or take any article from the client in pledge or pawn as security for the transaction. You must not: enter...
Found in
SRA Financial Services (Scope) Rules
Prohibited activities
You must not carry on, or agree to carry on, any of the following activities: an activity that is specified in an order made under section 327(6) of FSMA; an activity that relates to an investment that is specified in an order made under section 327(6) of FSMA; entering into a regulated credit agreement as lender except where the regulated credit agreement relates exclusively to the payment of...
Found in
SRA Transparency Rules
Regulatory information
An authorised body must display in a prominent place on its website (or, in the case of a licensed body, the website relating to its legal services, if separate) its SRA number and the SRA's digital badge. An authorised body's letterhead and e-mails must show its SRA authorisation number and the words "authorised and regulated by the Solicitors Regulation Authority". A solicitor, an REL, RFL...
Found in
SRA Roll, Registers and Publication Regulations
The roll and registers
The SRA shall keep in electronic form: the roll; a register of all solicitors who hold practising certificates; the register of European lawyers; the register of foreign lawyers; the register of Swiss lawyers; and a register of authorised bodies.
Found in
SRA Roll, Registers and Publication Regulations
The roll and registers
The SRA shall keep in electronic form: the roll; a register of all solicitors who hold practising certificates; the register of European lawyers; the register of foreign lawyers; the register of Swiss lawyers; and a register of authorised bodies.
Found in
SRA Indemnity Fund (Enactment) Rules
Authority
Deleted
Found in
SRA Financial Services (Conduct of Business) Rules
Means of communication to clients
Rule 18 applies to all information required to be provided to a client in this Part. You must communicate information to the client on paper or using any of the following means: a durable medium other than paper where the following conditions are satisfied: the use of a durable medium other than paper is appropriate in the context of the business conducted between the firm and the client; and...
Found in
SRA Overseas and Cross-border Practice Rules
Reporting, cooperation and accountability
You must cooperate with the SRA, other regulators, ombudsmen and those bodies in England and Wales, with a role overseeing and supervising the delivery of, or investigating in relation to, legal services. You must monitor compliance with these rules, and report any serious breach to the SRA when this occurs, or as soon as reasonably practicable thereafter. You must notify the SRA promptly if:...
Found in
SRA Roll, Registers and Publication Regulations
Information in respect of individuals
The roll, and the registers in regulation 1.1(b) to (d) shall contain the following information in respect of each individual included in the same: their full name; their authorisation number; the date of their admission as a solicitor or commencement of their registration, as appropriate; in respect of solicitors that hold a current practising certificate, the fact that they do so and the...
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