SRA Standards and Regulations

Showing 238 results

Found in

SRA Regulatory and Disciplinary Procedure Rules

Rule 1

Assessing reports

The SRA shall assess any allegation which comes to, or is brought to, its attention in respect of a relevant person to decide if it should be considered under rule 3. A matter is an allegation in respect of a person for the purpose of these rules if it raises a question that the person: is a solicitor, an REL, RFL or RSL and has committed professional misconduct; has committed or is...
Found in

SRA Application, Notice, Review and Appeal Rules

Rule

Individual Authorisation

As set out in the SRA Authorisation of Individuals Regulations: A decision made under regulation 3E.2(a) to refuse to recognise all or part of a period of recognised training. A decision made under regulation 4.1 to refuse an application for admission as a solicitor made under Part V of the European Communities (Lawyer's Practice) Regulations 2000. A decision made under regulation 5.1 to...
Found in

SRA Application, Notice, Review and Appeal Rules

Rule 6

Taking effect of decisions subject to review or appeal

Unless specified otherwise, subject to rule 6.2, a decision takes effect: if no application for a review or appeal is made, on the expiry of the date for bringing such an application under these rules; and if an application for a review or an appeal is made, on the date any review or appeal has been determined or discontinued. The SRA may direct a decision to take immediate effect, where it...
Found in

SRA Financial Services (Scope) Rules

Rule 1

Application

These rules apply to authorised bodies that are not regulated by the FCA, their managers and employees and references to "you" in these rules should be read accordingly. Where an authorised body is a licensed body, these rules apply only in relation to the activities regulated by the SRA in accordance with the terms of the body's licence.
Found in

SRA Assessment of Character and Suitability Rules

Rule 1

Application

These rules apply where the SRA is making a decision as to whether it is satisfied regarding your character and suitability: on early assessment under regulation 5.2 of the SRA Authorisation of Individuals Regulations; at admission or restoration to the roll under regulations 1.1, 3.1, 3A.1, 3F.1, 4.1, 4.2 and 5.9 of the SRA Authorisation of Individuals Regulations; on approval as an...
Found in

SRA Assessment of Character and Suitability Rules

Rule 4

Other conduct and behaviour

Table 2 sets out non-exhaustive examples of the types of conduct or behaviour that the SRA will take into account when assessing your character and suitability. Table 2: Other conduct and behaviour Type of behaviour Examples Integrity and independence You have behaved in a way: which is dishonest; which is violent; which is threatening or harassing; where there is evidence of discrimination...
Found in

SRA Principles

Rule

SRA Principles

You act: in a way that upholds the constitutional principle of the rule of law, and the proper administration of justice. in a way that upholds public trust and confidence in the solicitors' profession and in legal services provided by authorised persons. with independence. with honesty. with integrity. in a way that encourages equality, diversity and inclusion. in the best interests of each...
Found in

SRA Code of Conduct for Firms

2

Compliance and business systems

You have effective governance structures, arrangements, systems and controls in place that ensure: you comply with all the SRA's regulatory arrangements, as well as with other regulatory and legislative requirements, which apply to you; your managers and employees comply with the SRA's regulatory arrangements which apply to them; your managers and interest holders and those you employ or...
Found in

SRA Authorisation of Individuals Regulations

Regulation 7

Determination of applications

If the SRA considers it to be in the public interest to do so, it must: refuse your application for a practising certificate, or your application for registration or renewal of registration, in the register of European lawyers, the register of foreign lawyers, or the register of Swiss lawyers; or at any time, whether on grant of such an application or at the end of a period of suspension of a...
Found in

SRA Authorisation of Individuals Regulations

Regulation 10

Practising on your own

Subject to regulation 10.2, if you are a solicitor or an REL you must not act as a sole practitioner unless your practice is authorised as a recognised sole practice. If you otherwise would be, you will not be regarded as acting as a sole practitioner and you will not therefore need to be authorised as a recognised sole practice if: your practice consists entirely of carrying on activities...