SRA Standards and Regulations

Showing 239 results

Found in

SRA Financial Services (Scope) Rules

Rule 4

Corporate finance

You must not act as any of the following: sponsor to an issue in respect of securities to be admitted for dealing on the London Stock Exchange; nominated adviser to an issue in respect of securities to be admitted for dealing on the Alternative Investment Market of the London Stock Exchange; or corporate adviser to an issue in respect of securities to be admitted for dealing on the ICAP...
Found in

SRA Indemnity Fund Rules

Rule 6

Application of the Rules

These Rules shall apply to a practice carried on by: a sole solicitor; an REL practising as a sole practitioner; a recognised body; a partnership consisting of one or more solicitors and/or RELs and/or recognised bodies and/or licensed bodies; a partnership consisting of one or more solicitors and/or RELs, together with one or more RFLs; a licensed body in respect of its regulated activities.
Found in

SRA Indemnity Fund Rules

Rule 19

Waivers

Deleted
Found in

SRA Indemnity Fund Rules

Rule 4

Establishment and maintenance of fund

The SRA shall maintain the Indemnity Fund in accordance with these Rules. The purpose of the Indemnity Fund is to provide indemnity against loss as mentioned in section 37 of the SA as extended by section 9 of the AJA, Schedule 4 paragraph 1(3) of the European Communities (Lawyer's Practice) Regulations 2000 and section 89 of the Courts and Legal Services Act 1990 in the circumstances, to the...
Found in

SRA Regulatory and Disciplinary Procedure Rules

Rule 4

Decisions to impose a financial penalty

An authorised decision maker may decide to direct the payment of a financial penalty under rule 3.1(b), where this is appropriate to: remove any financial or other benefit arising from the conduct; maintain professional standards; or uphold public confidence in the solicitors' profession and in legal services provided by authorised persons. Where the SRA recommends the imposition of a...
Found in

SRA Indemnity Fund Rules

Rule 7

Scope of indemnity

The following persons, namely: solicitors, former solicitors, RELs, persons formerly practising RELs, RFLs practising in partnership with solicitors or RELs, persons formerly practising as RFLs in partnership with solicitors or RELs, non - registered European lawyers practising in partnership with RELs, and persons formerly practising as non - registered European lawyers in partnership with...
Found in

SRA Indemnity Fund Rules

Rule 20
Found in

SRA Indemnity Insurance Rules

Rule 1

Application

These rules apply to authorised bodies and their principals.
Found in

SRA Indemnity Insurance Rules

Rule 9

Details of participating insurer

This rule is in addition to any obligations imposed on the authorised body under the Provision of Services Regulations 2009. If a claimant asserts a claim against an authorised body or any person insured under that authorised body's policy, and the claim relates to any matter within the scope of cover of the MTC, the authorised body, and any person who is at the relevant time a principal in...
Found in

SRA Code of Conduct for Firms

6.3-6.5

Confidentiality and disclosure

You keep the affairs of current and former clients confidential unless disclosure is required or permitted by law or the client consents. Any individual who is acting for a client on a matter makes the client aware of all information material to the matter of which the individual has knowledge except when: the disclosure of the information is prohibited by legal restrictions imposed in the...