SRA Standards and Regulations
Showing 412 results
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(a) to give a written rebuke. A decision made under rule 3.1 (b) to direct the payment of a financial penalty together with the amount of that penalty. A decision made under rule 3.1(c) to disqualify a person from acting as a HOLP, HOFA, manager or employee of a licensed body. A decision made under...
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 of a recognised body or recognised sole practice. A decision made under rule 4.3 to revoke or suspend authorisation of a recognised body or recognised sole practice. A decision made under 3.1 to impose conditions on authorisation of a recognised body or recognised sole practice. A...
Found in
SRA Application, Notice, Review and Appeal Rules
Power to conduct a review
The SRA may: where an administrative error in, or in relation to any decision comes to the SRA's attention, correct the error without the need to undergo a review under this Part; review all or part of any regulatory decision reached by it, of its own initiative, under this Part. Subject to rule 3.3, the SRA may review all or part of any of the regulatory decisions set out in annex 1 on the...
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
Individual authorisation
As set out in the SRA Authorisation of Individuals Regulations: A decision made under regulation 1.1(b) not to be satisfied that an individual holds a degree or qualifications or experience which are equivalent to a degree. A decision made under regulation 3.1(a) not to be satisfied that an individual holds a legal professional qualification that is recognised by the SRA, which confers rights...
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(a) to give a written rebuke. A decision made under rule 3.1 (b) to direct the payment of a financial penalty together with the amount of that penalty. A decision made under rule 3.1(c) to disqualify a person from acting as a HOLP, HOFA, manager or employee of a licensed body. A decision made under...
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 of a recognised body or recognised sole practice. A decision made under rule 4.3 to revoke or suspend authorisation of a recognised body or recognised sole practice. A decision made under 3.1 to impose conditions on authorisation of a recognised body or recognised sole practice. A...
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
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.
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