SRA Standards and Regulations
Showing 237 results
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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...
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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. A decision made under rule 3.1 to impose conditions on authorisation. A decision to refuse approval for the taking of steps specified in conditions under rule 3.3(c). A decision under rule 4.3 or 4.4 to revoke or suspend a body's authorisation. A decision made under rule 12.1 to extend,...
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SRA Assessment of Character and Suitability Rules
Application
These rules apply where the SRA is making a decision as to whether it is satisfied regarding your character and suitability: on early assessment under regulation 5.2 of the SRA Authorisation of Individuals Regulations; at admission or restoration to the roll under regulations 1.1, 3.1, 3A.1, 3F.1, 4.1, 4.2 and 5.9 of the SRA Authorisation of Individuals Regulations; on approval as an...
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SRA Indemnity Fund Rules
Indemnity Periods before 1 September 1987
The policies taken out and maintained and the certificates issued by the Society pursuant to the Solicitors' Indemnity Rules 1975 to 1986 shall continue to provide cover subject to and in accordance with their terms in respect of their respective periods up to and including 31 August 1987. They shall not provide cover in respect of any subsequent period.
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SRA Financial Services (Scope) Rules
Application
These rules apply to authorised bodies that are not regulated by the FCA, their managers and employees and references to "you" in these rules should be read accordingly. Where an authorised body is a licensed body, these rules apply only in relation to the activities regulated by the SRA in accordance with the terms of the body's licence.
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SRA Indemnity Fund Rules
Decisions by the Society
The Society shall have power to treat any person as complying with any provision of these Rules for the purposes of the SA notwithstanding that the person has failed to comply with any provision of these Rules where such non-compliance is regarded by the Society in a particular case or cases as being insignificant.
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SRA Indemnity Fund Rules
Indemnity limit
Save in relation to an expired run-off claim, in respect of which the provisions of Rule 8.5 shall apply, the indemnity limit shall be £1,000,000 each and every claim (including claimants' costs).
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SRA Principles
SRA Principles
You act: in a way that upholds the constitutional principle of the rule of law, and the proper administration of justice. in a way that upholds public trust and confidence in the solicitors' profession and in legal services provided by authorised persons. with independence. with honesty. with integrity. in a way that encourages equality, diversity and inclusion. in the best interests of each...
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SRA Code of Conduct for Firms
Compliance and business systems
You have effective governance structures, arrangements, systems and controls in place that ensure: you comply with all the SRA's regulatory arrangements, as well as with other regulatory and legislative requirements, which apply to you; your managers and employees comply with the SRA's regulatory arrangements which apply to them; your managers and interest holders and those you employ or...
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