SRA Standards and Regulations
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SRA SQE Assessment Regulations
Definitions
'Assessment Specification': the document produced by the SRA giving information about the content of the SQE 'Assessment window': a period of time defined by Kaplan, during which candidates can sit the assessments. Assessment windows will be shown on the SQE website 'External Examiners': the persons appointed as such by the SRA 'FLK': the Functioning Legal Knowledge required to qualify as a...
Found in
SRA SQE Assessment Regulations
Time Limits and Attempts
Subject to regulation 7.4, candidates have six years from the date they first sat an SQE assessment to sit the remaining SQE assessments. Candidates who still have further assessments to sit at the end of this six year period will need to reapply and previous passes will not be carried forward. Subject to Regulation 7.4, a candidate who fails FLK1 and/or FLK2 at the first attempt will have...
Found in
SRA SQE Assessment Regulations
Withdrawal from the examinations
Candidates may withdraw before the start of an assessment subject to the SQE Terms and Conditions. Withdrawal during an assessment is subject to the SQE Terms and Conditions, the SQE Fit to Sit Policy (Regulation 10) and the SQE Mitigating Circumstances Policy (Regulation 12).
Found in
SRA SQE Assessment Regulations
Appeals against Assessment Board decisions
A candidate may make a first stage appeal on one or more of the following grounds only: there are mitigating circumstances which could not have been put before the Assessment Board before it made its decision; or the decision of the Assessment Board, or the manner in which that decision was reached involved material irregularity and/or was manifestly unreasonable and/or irrational; or the...
Found in
SRA Indemnity Insurance Rules
Application
These rules apply to authorised bodies and their principals.
Found in
SRA Indemnity Insurance Rules
Insolvency of participating insurer
If an authorised body is carrying on a practice which is being provided with qualifying insurance by a participating insurer (whether alone or together with another participating insurer) and that participating insurer is the subject of an insolvency event then the authorised body and any principal of the body must ensure that the authorised body has in place qualifying insurance with another...
Found in
SRA Indemnity Insurance Rules
RELs
The provisions contained in annex 2 to these rules apply to an authorised body that has at least one principal who is an REL.
Found in
SRA Indemnity Insurance Rules
Use of information
Each authorised body must notify the SRA (or such person as the SRA may notify to the authorised body from time to time) and its participating insurer in writing as soon as reasonably practicable and in any event no later than five business days after the date on which: the authorised body enters an extended policy period; the authorised body has entered the cessation period; and where the...
Found in
SRA Financial Services (Conduct of Business) Rules
Application
Apart from rule 2 (Status Disclosure), these rules apply to: authorised bodies which are not regulated by the FCA; authorised bodies which are regulated by the FCA, but only in respect of their non-mainstream regulated activities; and the managers and employees of authorised bodies in (a) and (b) above, and references to "you" in these rules should be read accordingly. Where an authorised body...
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