SRA Standards and Regulations
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Found in
SRA Authorisation of Firms Rules
Annex 2: Professional services
The professional services referred to in rule 6.1(b) are: Alternative dispute resolution. Financial services. Estate agency. Management consultancy. Company secretarial services. Other professional and specialist business support services including human resources, recruitment, systems support, outsourcing, transcription and translating. Acting as a parliamentary agent. Practising as a lawyer...
Found in
SRA Assessment of Character and Suitability Rules
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
Decisions to impose a financial penalty
An authorised decision maker may decide to direct the payment of a financial penalty under rule 3.1(b), where this is appropriate to: remove any financial or other benefit arising from the conduct; maintain professional standards; or uphold public confidence in the solicitors' profession and in legal services provided by authorised persons. Where the SRA recommends the imposition of a...
Found in
SRA Indemnity Fund Rules
Decisions by the Society
Deleted
Found in
SRA Indemnity Fund Rules
Waivers
Deleted
Found in
SRA Indemnity Fund Rules
Application of the Rules
These Rules shall apply to a practice carried on by: a sole solicitor; an REL practising as a sole practitioner; a recognised body; a partnership consisting of one or more solicitors and/or RELs and/or recognised bodies and/or licensed bodies; a partnership consisting of one or more solicitors and/or RELs, together with one or more RFLs; a licensed body in respect of its regulated activities.
Found in
SRA Indemnity Insurance Rules
Application
These rules apply to authorised bodies and their principals.
Found in
SRA Indemnity Insurance Rules
Details of participating insurer
This rule is in addition to any obligations imposed on the authorised body under the Provision of Services Regulations 2009. If a claimant asserts a claim against an authorised body or any person insured under that authorised body's policy, and the claim relates to any matter within the scope of cover of the MTC, the authorised body, and any person who is at the relevant time a principal in...
Found in
SRA Code of Conduct for Firms
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. Any individual who is acting for a client on a matter makes the client aware of all information material to the matter of which the individual has knowledge except when: the disclosure of the information is prohibited by legal restrictions imposed in the...
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