SRA Standards and Regulations
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SRA Education, Training and Assessment Provider Regulations
Transitional provisions
Any approval, authorisation or recognition granted under the Monitoring of Courses Regulations 1991, the SRA Training Regulations 2011, the SRA Higher Rights of Audience Regulations 2011 or the SRA Training Regulations 2014 - Qualification and Provider Regulations, will continue as if granted under these regulations. A period of recognised training entered into before these regulations come...
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SRA Statutory Trust Rules
Identifying beneficial entitlements
The SRA will create a reconciled list or a best list in respect of statutory trust monies held, using the information which it has available. In creating a reconciled list or a best list, any sums of money which are identified within a statutory trust account as being payments on account of fees or unpaid disbursements, or which are equivalent to the costs incurred in a matter to which the...
Found in
SRA Assessment of Character and Suitability Rules
Assessment
When considering your character and suitability, the SRA will take into account the overriding need to: protect the public and the public interest; and maintain public trust and confidence in the solicitors' profession and in legal services provided by authorised persons. In doing so, the SRA will take into account the nature of your role, and your individual circumstances, on a case by case...
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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 Financial Services (Conduct of Business) Rules
Insurance product information document and appropriate information
You must ensure that the client is given objective and relevant information about a policy in good time prior to the conclusion of the policy, so that the client can make an informed decision. You must provide the information in rule 21.1 to the client: whether or not you give a personal recommendation; and irrespective of the fact that the policy is offered as part of a package with: a...
Found in
SRA Roll, Registers and Publication Regulations
Information in respect of authorised bodies
The register of authorised bodies under regulation 1.1(e) shall contain the following information in respect of each body included within it: the name under which the body is authorised; the body's authorisation number; the body's main practising address in the UK; all the body's other practising addresses including addresses of its overseas practices; any previous name under which the body...
Found in
SRA Roll, Registers and Publication Regulations
General provisions
The SRA may include in the roll or registers such other prescribed information it considers conducive to help it meet the regulatory objectives. The SRA shall keep and publish lists of: orders made by the Tribunal and disciplinary or regulatory decisions made under the SRA Regulatory and Disciplinary Procedure Rules, in respect of individuals who are not solicitors, RELs, RFLs or RSLs...
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SRA Roll, Registers and Publication Regulations
Publication of information
The SRA shall publish all entries on the roll or registers, except for any address included under regulation 2.1(h). If the SRA considers that it would be in the public interest to do so, it may withhold from publication any or all of the information subject to publication under regulation 5.1. The SRA may publish such further information or classes of information as it may consider in the...
Found in
SRA Application, Notice, Review and Appeal Rules
Notices
Any notice under the SRA's regulatory arrangements must be given in writing by delivering it, or sending it by post or by electronic mail, to the recipient's last notified postal or electronic mail address, as appropriate. If the intended recipient of a notice is represented, the notice may instead be given by sending or delivering it to the representative's practising or business address, or...
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