SRA Standards and Regulations

Transitionals and savings

For the purposes of the SA (including without limitation section 10 of that Act), any person who is in breach of any rule or part of any rule under the Solicitors' Indemnity Insurance Rules 2000 to 2010 or SRA Indemnity Insurance Rules 2011 to 2013 will be deemed, for so long as that person remains in breach, not to be complying with these rules.

Eligibility requirements

The SRA shall only grant an application for a practising certificate, or registration in the register of European lawyers, register of foreign lawyers or the register of Swiss lawyers if you meet the eligibility requirements in this regulation. You will be eligible to apply for a practising certificate if: your name is on the roll; and you are not suspended from practice as a solicitor....

Eligibility requirements

You will be eligible for admission as a solicitor if the SRA is satisfied: you have successfully and satisfactorily completed: an apprenticeship leading to qualification as a solicitor; or the academic stage of training and the vocational stage of training; and as to your character and suitability to be a solicitor. The SRA may decide that it is satisfied that you have completed all or any...

Managers in SRA authorised firms

If you are a manager, you are responsible for compliance by your firm with this Code. This responsibility is joint and several if you share management responsibility with other managers of the firm.

Service and competence

You only act for clients on instructions from the client, or from someone properly authorised to provide instructions on their behalf. If you have reason to suspect that the instructions do not represent your client's wishes, you do not act unless you have satisfied yourself that they do. However, in circumstances where you have legal authority to act notwithstanding that it is not possible to...

Disclosure and evidential requirements

Subject to rule 6.3 below, on making an application under any of the provisions set out in rule 1.1, you must disclose all matters, wherever they have taken place (including overseas), which are relevant to the SRA's assessment of your character and suitability, including, where practicable, any information set out in Table 4 which is relevant to the matter in question. On making an...

Payment of periodical fees

Every authorised body must pay to the SRA a periodical fee in the amount, and by the date prescribed.

Management, control, and supervision

Subject to rules 9.2 and 9.3, an authorised body must ensure that the SRA has approved any manager or owner of the authorised body under Part 4. A sole principal whose practice has been authorised as a recognised sole practice is not required to be approved separately as a manager of that practice. If the SRA is satisfied that a manager of an authorised body is not involved in any of the...

Approval of role holders

Subject to rules 13.2 to 13.4, the SRA may approve a person's designation as a COLP or COFA or to be a manager or owner of an authorised body if it is satisfied that the individual is fit and proper to undertake the role, in accordance with the SRA Assessment of Character and Suitability Rules. The SRA will deem a person to be fit and proper to be a manager or owner of an authorised body if...

Loss of eligibility

If the last remaining legally qualified manager of an authorised body whose role ensures the body's compliance with the eligibility requirements for its authorisation under rule 1: is sentenced to imprisonment; becomes unable to carry on their role because of incapacity; abandons the business; is made subject to a restriction, condition or other regulatory decision by the SRA or another...