SRA Standards and Regulations

Showing 238 results

Found in

SRA Code of Conduct for Firms

6.1-6.2

Conflict of interests

You do not act if there is an own interest conflict or a significant risk of such a conflict. You do not act in relation to a matter or a particular aspect of it if you have a conflict of interest or a significant risk of such a conflict in relation to that matter or aspect of it, unless: the clients have a substantially common interest in relation to the matter or the aspect of it, as...
Found in

SRA Authorisation of Firms Rules

Rule 14

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...
Found in

SRA Application, Notice, Review and Appeal Rules

Rule

Education, Training and Assessment providers

As set out in the SRA Education, Training and Assessment Provider Regulations: A decision made under regulation 1.4(b) or 2.3(b) to refuse to grant approved education provider, authorised education provider or authorised training provider status. A decision made under regulation 1.4(a) or 2.3(a) to grant the application for approval or authorisation subject to such conditions and for such...
Found in

SRA Authorisation of Firms Rules

Rule 6

Restrictions on services provided by a recognised body or recognised sole practice

If you are a recognised body or recognised sole practice, your business may consist only of the provision of: professional services of the sort provided by individuals practising as solicitors and/or lawyers of other jurisdictions; and the services set out in annex 2 (whether or not they are also included in paragraph (a)), and if you have a notary public as a manager or employee, then...
Found in

SRA Authorisation of Firms Rules

Rule 12

Modification of terms and conditions

The SRA may at any time, extend, revoke or vary any terms or conditions on a body's authorisation, imposed in accordance with rule 3 or otherwise, either on the application of the authorised body or on the SRA's own initiative.
Found in

SRA Assessment of Character and Suitability Rules

Rule 3

Criminal conduct

The SRA will consider criminal conduct when assessing your character and suitability, in accordance with Table 1 below, subject to the Rehabilitation of Offenders Act 1974 and the Rehabilitation of Offenders Act 1974 (Exceptions Order) 1975 and bearing in mind the public interest in supporting the rehabilitation of offenders. For the avoidance of doubt, Table 1 is a non-exhaustive list. Table...
Found in

SRA Assessment of Character and Suitability Rules

Rule 5

Aggravating and mitigating factors

Table 3 sets out a non-exhaustive list of the types of aggravating and mitigating factors the SRA will take into account where you have disclosed, or it has received, information which raises a question as to your character and suitability. Table 3: Aggravating and mitigating factors Aggravating Factors Mitigating Factors No evidence of successful rehabilitation. No evidence of steps taken to...
Found in

SRA Regulatory and Disciplinary Procedure Rules

Rule 2

The investigation process

The SRA may carry out such investigations, and in doing so may exercise any of its investigative powers, as it considers appropriate: to identify whether a matter comprises an allegation under rule 1.2, or to the consideration of an allegation under rule 3. As soon as reasonably practicable after commencing an investigation under rule 2.1(b), the SRA will inform the relevant person accordingly...
Found in

SRA Regulatory and Disciplinary Procedure Rules

Rule 3

Consideration by authorised decision makers

On finding that an allegation is proved (save for sub-paragraph (g)), an authorised decision maker may decide as appropriate in respect of a relevant person to: give a written rebuke, in accordance with section 44D(2)(a) of the SA or paragraph 14B(2)(a), Schedule 2 to the AJA; subject to rule 3.6, direct the payment of a financial penalty in accordance with section 44D(2)(b) of the SA,...
Found in

SRA Indemnity Fund Rules

Rule 3

Definitions and interpretation

The SRA Glossary shall apply and unless the context otherwise requires: all italicised terms shall be defined in accordance with the Glossary; terms shall be interpreted in accordance with the Glossary; a reference to a Rule is to a Rule forming part of these Rules, except in relation to Schedule 1 where a reference to a rule is to a rule in the Solicitors' Indemnity Rules 1999; the Schedule...