SRA Standards and Regulations
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Found in
SRA Code of Conduct for Firms
Applicable standards in the SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs
The following paragraphs in the SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs apply to you in their entirety as though references to "you" were references to you as a firm: dispute resolution and proceedings before courts, tribunals and inquiries (2.1 to 2.7); referrals, introductions and separate businesses (5.1 to 5.3); and standards which apply when providing services to the...
Found in
SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs
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...
Found in
SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs
Referrals, introductions and separate businesses
In respect of any referral of a client by you to another person, or of any third party who introduces business to you or with whom you share your fees, you ensure that: clients are informed of any financial or other interest which you or your business or employer has in referring the client to another person or which an introducer has in referring the client to you; clients are informed of...
Found in
SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs
Client information and publicity
You give clients information in a way they can understand. You ensure they are in a position to make informed decisions about the services they need, how their matter will be handled and the options available to them. You ensure that clients receive the best possible information about how their matter will be priced and, both at the time of engagement and when appropriate as their matter...
Found in
SRA Authorisation of Firms Rules
Conditions
The SRA may at any time, whether on grant of an application for authorisation or otherwise, impose such conditions on a body's authorisation (whether indefinite or for a specified period), where it considers it appropriate in the public interest to do so and in accordance with rules 3.2 and 3.3. The SRA may impose conditions under rule 3.1 if it is satisfied that the authorised body, or a...
Found in
SRA Authorisation of Firms Rules
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...
Found in
SRA Authorisation of Firms Rules
Restrictions on employment and remuneration of certain individuals
An authorised body must not employ or remunerate, or permit to be a manager, owner or interest holder of the body, a person: who is subject to an order under section 43 of the SA, without the SRA's written permission; whose name has been struck off the roll, or who is suspended from practising as a solicitor, without the SRA's written permission; in respect of whom there is a direction in...
Found in
SRA Authorisation of Firms Rules
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...
Found in
SRA Authorisation of Firms Rules
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...
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