SRA Standards and Regulations
Showing 297 results
Found in
SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs
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 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 Code of Conduct for Solicitors, RELs, RFLs and RSLs
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. Where you are acting for a client on a matter, you make the client aware of all information material to the matter of which you have knowledge, except when: the disclosure of the information is prohibited by legal restrictions imposed in the interests of...
Found in
SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs
Complaints handling
You ensure that, as appropriate in the circumstances, you either establish and maintain, or participate in, a procedure for handling complaints in relation to the legal services you provide. You ensure that clients are informed in writing at the time of engagement about: their right to complain to you about your services and your charges; how a complaint can be made and to whom; and any right...
Found in
SRA Authorisation of Firms Rules
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
Compliance officers
An authorised body must at all times have an individual who is designated as its COLP and an individual who is designated as its COFA, and whose designations the SRA has approved. Subject to rule 8.3, an individual who is designated under rule 8.1 must: be a manager or employee of the authorised body; consent to the designation; not be disqualified from acting as a HOLP or HOFA under section...
Found in
SRA Authorisation of Firms Rules
Information return and notification events
An authorised body must complete and deliver to the SRA an annual return by the date and in the form prescribed.
Found in
SRA Authorisation of Firms Rules
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 Authorisation of Firms Rules
Annex 1: Transitional arrangements under paragraph 7(3) of Schedule 5 to the LSA
A licensable body will be eligible to be a recognised body if as at 6 October 2011, it has been recognised by the SRA under section 9 of the AJA but has an interest holder or manager that is not a lawyer or a legally qualified body. It shall continue to be treated as a recognised body for the purposes of these rules and the SRA's regulatory arrangements until: such time as it ceases to comply...
Found in
SRA Overseas and Cross-border Practice Rules
Overseas Principles
You act: in a way that upholds the constitutional principle of the rule of law and the proper administration of justice in England and Wales. in a way that upholds public trust and confidence in the solicitors' profession of England and Wales and in legal services provided by authorised persons. with independence. with honesty. with integrity. in a way that encourages equality, diversity and...
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