SRA Standards and Regulations
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SRA Financial Services (Scope) Rules
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 Financial Services (Scope) Rules
Prohibited activities
You must not carry on, or agree to carry on, any of the following activities: an activity that is specified in an order made under section 327(6) of FSMA; an activity that relates to an investment that is specified in an order made under section 327(6) of FSMA; entering into a regulated credit agreement as lender except where the regulated credit agreement relates exclusively to the payment of...
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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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SRA Overseas and Cross-border Practice Rules
Cross-border Practice Rules
This Part applies to European cross-border practice from any office by: solicitors; managers of authorised bodies who are not authorised by an approved regulator (other than the SRA) under the LSA; and authorised bodies. These rules apply to European cross-border practice from an office in England and Wales by: RELs; RFLs who are managers or employees of an authorised body; and RSLs who are...
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SRA Financial Services (Conduct of Business) Rules
Treating complaints fairly
Notwithstanding your complaints handling obligations in the SRA Code of Conduct for Firms, you must have in place and operate appropriate and effective procedures for registering and responding to complaints from a person who is not a client.
Found in
SRA Financial Services (Conduct of Business) Rules
Application
Apart from rule 2 (Status Disclosure), these rules apply to: authorised bodies which are not regulated by the FCA; authorised bodies which are regulated by the FCA, but only in respect of their non-mainstream regulated activities; and the managers and employees of authorised bodies in (a) and (b) above, and references to "you" in these rules should be read accordingly. Where an authorised body...
Found in
SRA Financial Services (Conduct of Business) Rules
Regulated credit agreements
Where you carry on a credit-related regulated financial services activity involving a proposed regulated credit agreement, you must: provide adequate explanations to the client in order to enable the client to assess whether the proposed regulated credit agreement is suitable to the client's needs and financial situation; and when providing such explanations, comply with the requirements of...
Found in
SRA Financial Services (Conduct of Business) Rules
Consumer credit guidance
Where you undertake credit-related regulated financial services activities, you must have regard to any guidance issued by the SRA from time to time relating to such activities.
Found in
SRA Regulatory and Disciplinary Procedure Rules
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,...
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