SRA Standards and Regulations
Showing 412 results
Found in
SRA Authorisation of Individuals Regulations
Higher rights of audience
If you are a solicitor or an REL you may exercise civil or criminal advocacy in the higher courts if the SRA is satisfied you have successfully and satisfactorily completed the appropriate higher courts advocacy qualification and that you have done so after the date of your admission as a solicitor or initial registration as an REL, or you are: an REL or lawyer to whom the European Union...
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
Education, Training and Assessment providers
As set out in the SRA Education, Training and Assessment Provider Regulations: A decision made under regulation 1.4(b) or 2.3(b) to refuse to grant approved education provider, authorised education provider or authorised training provider status. A decision made under regulation 1.4(a) or 2.3(a) to grant the application for approval or authorisation subject to such conditions and for such...
Found in
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 Application, Notice, Review and Appeal Rules
Miscellaneous
A refusal to grant permission to a solicitor to employ or remunerate in connection with their practice any individual who to their knowledge has been disqualified from practising as a solicitor as a result of being struck off the roll; or who is suspended from practice as a solicitor; or whose practising certificate is suspended as a result of being an undischarged bankrupt.
Found in
SRA Financial Services (Conduct of Business) Rules
Appropriation of payments
Where you are entitled to payments from the same client in respect of two or more regulated credit agreements, you must allow the client to put any payments made, in respect of those agreements, towards the satisfaction of the sum due under any one or more of the agreements in such proportions as the client thinks fit.
Found in
SRA Financial Services (Conduct of Business) Rules
Consumer credit guidance
Where you undertake credit-related regulated financial services activities, you must have regard to any guidance issued by the SRA from time to time relating to such activities.
Found in
SRA Financial Services (Conduct of Business) Rules
Records of transactions
Where you receive instructions from a client to effect a transaction, or make a decision to effect a transaction in your discretion, you must keep a record of: the name of the client; the terms of the instructions or decision; and in the case of instructions, the date on which they were received. Where you give instructions to another person to effect a transaction, you must keep a record of:...
Found in
SRA Financial Services (Conduct of Business) Rules
General information to be provided
In good time before the conclusion of a contract of insurance, you must disclose the following information to clients: whether you provide a personal recommendation about the insurance products offered; the procedures allowing clients and other interested parties to register complaints about you and information about the out-of-court complaint and redress procedures available for the...
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