SRA Standards and Regulations
Showing 329 results
Found in
SRA Transparency Rules
Regulatory information
An authorised body must display in a prominent place on its website (or, in the case of a licensed body, the website relating to its legal services, if separate) its SRA number and the SRA's digital badge. An authorised body's letterhead and e-mails must show its SRA authorisation number and the words "authorised and regulated by the Solicitors Regulation Authority". A solicitor, an REL, RFL...
Found in
SRA Transparency Rules
Regulatory information
An authorised body must display in a prominent place on its website (or, in the case of a licensed body, the website relating to its legal services, if separate) its SRA number and the SRA's digital badge. An authorised body's letterhead and e-mails must show its SRA authorisation number and the words "authorised and regulated by the Solicitors Regulation Authority". A solicitor, an REL, RFL...
Found in
SRA Overseas and Cross-border Practice Rules
Dealings with client money
In all dealings you have with client money (overseas) you must: safeguard client money and assets entrusted to you; keep client money (overseas), separate from money which belongs to you; on receipt, pay client money (overseas) promptly into, and hold it in, an overseas client account, unless: to do so would conflict with your obligations under local law or regulation or with any obligation...
Found in
SRA Financial Services (Conduct of Business) Rules
Retention of records
Each record which is made under these rules shall be kept for at least six years from the date it is made.
Found in
SRA Financial Services (Conduct of Business) Rules
Professional and organisational requirements
You must ensure that: the firm and each relevant employee possesses appropriate knowledge and ability in order to complete their tasks and perform duties adequately; and that all the persons in its management structure and any staff directly involved in insurance distribution activities are of good repute. In considering a person's good repute, you must as a minimum ensure that the person: has...
Found in
SRA Financial Services (Conduct of Business) Rules
Communication and disclosure
You must ensure that, in relation to insurance distribution: you communicate all information, including marketing communications, in a way that is clear, fair and not misleading. your marketing communications are always clearly identifiable as such.
Found in
SRA Financial Services (Conduct of Business) Rules
Means of communication to clients
Rule 18 applies to all information required to be provided to a client in this Part. You must communicate information to the client on paper or using any of the following means: a durable medium other than paper where the following conditions are satisfied: the use of a durable medium other than paper is appropriate in the context of the business conducted between the firm and the client; and...
Found in
SRA Financial Services (Conduct of Business) Rules
Professional and organisational requirements
You must ensure that: the firm and each relevant employee possesses appropriate knowledge and ability in order to complete their tasks and perform duties adequately; and that all the persons in its management structure and any staff directly involved in insurance distribution activities are of good repute. In considering a person's good repute, you must as a minimum ensure that the person: has...
Found in
SRA Financial Services (Conduct of Business) Rules
Safekeeping of clients' investments
Where you undertake the regulated financial services activity of safeguarding and administering investments, you must operate appropriate systems, including the keeping of appropriate records, which provide for the safekeeping of assets entrusted to you by clients and others. Where such assets are passed to a third party: you should obtain an acknowledgement of receipt of the property; and if...
Found in