SRA Standards and Regulations
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Found in
SRA Authorisation of Individuals Regulations
Removal from and restoration to the roll
The SRA may remove your name from the roll if: following an enquiry made by the SRA under regulation 5.4: you tell the SRA that you do not wish to remain on the roll; you do not, within eight weeks from the date of the notice, reply to the SRA and pay the fee specified under regulation 5.5, or you apply to have your name removed from the roll. Where regulation 5.6(a)(ii) applies, the SRA must...
Found in
SRA Indemnity Rules 2012 (Archived)
Arbitration
Any dispute or difference concerning any claim or the quantum of any claim to be provided with indemnity in accordance with these Rules shall be referred to the sole arbitrament, which shall be final and binding, of a person to be appointed on the application of either party in default of agreement by the President of the Society for the time being. Any such arbitration shall take place and...
Found in
SRA Financial Services (Conduct of Business) Rules
Safekeeping of clients' investments
Where you undertake the regulated financial services activity of safeguarding and administering investments, you must operate appropriate systems, including the keeping of appropriate records, which provide for the safekeeping of assets entrusted to you by clients and others. Where such assets are passed to a third party: you should obtain an acknowledgement of receipt of the property; and if...
Found in
SRA Financial Services (Conduct of Business) Rules
Professional and organisational requirements
You must ensure that: the firm and each relevant employee possesses appropriate knowledge and ability in order to complete their tasks and perform duties adequately; and that all the persons in its management structure and any staff directly involved in insurance distribution activities are of good repute. In considering a person's good repute, you must as a minimum ensure that the person: has...
Found in
SRA Overseas and Cross-border Practice Rules
Application
The Overseas Rules apply to you: as a regulated individual who is practising overseas, in place of the SRA Principles and the SRA Code of Conduct for Individuals; or as a responsible authorised body in that you must ensure that your overseas practice and the individual managers, members and owners that are involved in the day to day or strategic management of your overseas practice, comply...
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 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
Information in respect of authorised bodies
The register of authorised bodies under regulation 1.1(e) shall contain the following information in respect of each body included within it: the name under which the body is authorised; the body's authorisation number; the body's main practising address in the UK; all the body's other practising addresses including addresses of its overseas practices; any previous name under which the body...
Found in
SRA Education, Training and Assessment Provider Regulations
Transitional provisions
Any approval, authorisation or recognition granted under the Monitoring of Courses Regulations 1991, the SRA Training Regulations 2011, the SRA Higher Rights of Audience Regulations 2011 or the SRA Training Regulations 2014 - Qualification and Provider Regulations, will continue as if granted under these regulations. A period of recognised training entered into before these regulations come...
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