SRA Standards and Regulations

Approval of role holders

Subject to rules 13.2 to 13.4, the SRA may approve a person's designation as a COLP or COFA or to be a manager or owner of an authorised body if it is satisfied that the individual is fit and proper to undertake the role, in accordance with the SRA Assessment of Character and Suitability Rules. The SRA will deem a person to be fit and proper to be a manager or owner of an authorised body if...

Effect of authorisation

If you are a recognised body or a recognised sole practice authorised by the SRA you are entitled to carry on: all reserved legal activities except notarial activities; and immigration work. If you are a licensed body you are entitled to carry on the activities set out in rule 5.1, in accordance with the terms of your licence. An authorised body may only carry on a reserved legal activity...

Apportionment of periodical fees on succession

An authorised body which: has taken over the whole or a part of one or more authorised bodies; or has split or ceded part of its practice to another authorised body and wishes the SRA to take this into account in determining its periodical fee, must within 28 days of the change taking place deliver to the SRA a notice in the prescribed form.

Client identification

You identify who you are acting for in relation to any matter.

Commencement, replacement, and renewal

The commencement date for a practising certificate or for registration in the register of European lawyers the register of foreign lawyers or the register of Swiss lawyers shall be the date specified by the SRA on the practising certificate or the register. The replacement date for a practising certificate is 31 October following the issue of the certificate. The renewal date for registration...

Revocation and expiry

The SRA may revoke a practising certificate, or withdraw registration in the register of European lawyers, the register of foreign lawyers and the register of Swiss lawyers at any time, if the SRA is satisfied: that the practising certificate or registration was granted or renewed as a result of error, misleading or inaccurate information, or fraud; that the replacement or renewal date has...

Immigration work

Subject to regulation 9.7, if you are a solicitor, an REL, RFL or RSL you may undertake immigration work, provided that such work is undertaken: through an authorised body; through an authorised non-SRA firm that is a qualified person under the Immigration and Asylum Act 1999; as an employee, for your employer or work colleagues; or through a non-commercial advice service which is registered...

Apportionment and multi-party issues

Where the loss has been sustained as a result of the act or omission of more than one party, the SRA will consider the role of each party in contributing to the applicant's loss in deciding whether to make a grant and, if so, the amount of any grant. In the case of a defaulting licensed body, the SRA will consider the extent to which the loss is attributable to an act or omission which falls...

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...

Evidential and procedural matters

The SRA may vary the procedure set out in these rules where it considers that it is in the interests of justice, or in the overriding public interest, to do so. A decision under rule 3 may be made by agreement between the relevant person and the SRA. Before reaching a decision under rule 3, an authorised decision maker or adjudication panel may give directions for the fair and effective...