SRA Handbook

Register and certificate of authorisation

Version 21 of the Handbook was published on 06/12/2018. For more information, please click 'History' Above

Part 9: Register and certificate of authorisation

Rule 33: Name of an authorised body

33.1

A body corporate will be authorised under its corporate name.

33.2

A partnership or a sole practitioner must elect to have a name under which it is to be authorised.

Rule 34: The register of authorised bodies

34.1

The SRA must keep a register of all authorised bodies authorised by the SRA, which may be kept in electronic form.

34.2

The register must contain, for each authorised body:

(a)

The:

(i)

name and number under which the body is authorised;

(ii)

any previous name(s) under which the body has been authorised by the SRA;

(iii)

date from which the authorisation has effect; and

(iv)

details of the reserved legal activities that the body is authorised to undertake.

(b)

whether the authorised body is a recognised body, a recognised sole practice or a licensed body;

(c)

any other practising styles used by the body;

(d)

the authorised body's registered office and registered number, if it is an LLP or company and, if it is a charity, its charity number;

(e)

the authorised body's main practising address in England and Wales;

(f)

all the authorised body's other practising addresses and the addresses of its overseas practices;

(g)

whether the authorised body is a sole practitioner, a partnership, an LLP or a company;

(h)

if the authorised body is a company its registered office address and, whether it is:

(i)

a company limited by shares;

(ii)

a company limited by guarantee;

(iii)

an unlimited company;

(iv)

an overseas company registered in England and Wales;

(v)

an overseas company registered in Scotland;

(vi)

an overseas company registered in Northern Ireland; or

(vii)

a societas Europaea;

(i)

a list of the authorised body's managers, and in respect of each manager, whether that manager is:

(i)

a lawyer of England and Wales, and if so the nature of his or her qualification;

(ii)

an REL, and if so his or her professional title and jurisdiction of qualification;

(iii)

an EEL registered with the BSB, and if so his or her professional title and jurisdiction of qualification;

(iv)

an EEL based entirely at an office or offices outside England and Wales, and if so his or her professional title and jurisdiction of qualification;

(v)

an RFL, and if so his or her professional title and jurisdiction of qualification;

(vi)

any other individual approved under Part 4;

(vii)

a company approved under Part 4, and if so whether it is a licensed body, a recognised body, a European corporate practice or an authorised non-SRA firm;

(viii)

an LLP approved under Part 4, and if so whether it is a licensed body, a recognised body, a European corporate practice or an authorised non-SRA firm; or

(ix)

a partnership with separate legal personality approved under Part 4, and if so whether it is a licensed body, a recognised body, a European corporate practice or an authorised non-SRA firm;

(j)

the name of the individual who is the firm's COLP, and the name of the approved regulator which authorises that individual as an authorised person;

(k)

the name of the individual who is the firm's COFA;

(l)

any condition to which the body's authorisation is subject;

(m)

if the authorised body's authorisation is for the time being suspended or revoked, a note to state that fact and the date on which the suspension or revocation took place;

(n)

in the case of a licensed body, any enforcement action or sanction on the body, any owner or employee of the body, excluding administrative fines; and

(o)

any other information considered necessary by the SRA for carrying out its statutory functions in the public interest, as may from time to time be prescribed.

34.3

Public information

(a)

Entries in the register must be available for inspection by any member of the public except that the SRA may withhold a recognised body's address in exceptional circumstances where the SRA considers that to do so would be in the public interest.

(b)

The date on which, and the circumstances in which, an authorised body's authorisation expired or was revoked must be made available to a member of the public on request.

Rule 35: Certificates of authorisation

35.1

When an applicant is granted an authorisation, the SRA must issue a certificate of authorisation.

35.2

Each certificate of authorisation must state, in respect of the authorised body:

(a)

whether it is a licence or a certificate of recognition;

(b)

the name and number under which the body is authorised;

(c)

its registered office, if it is an LLP or company;

(d)

its main practising address in England and Wales;

(e)

if it is recognised body or a licensed body, whether it is a partnership, an LLP or a company; and

(f)

if it is a company, whether it is:

(i)

a company limited by shares;

(ii)

a company limited by guarantee;

(iii)

an unlimited company;

(iv)

an overseas company registered in England and Wales;

(v)

an overseas company registered in Scotland;

(vi)

an overseas company registered in Northern Ireland; or

(vii)

a societas Europaea;

(g)

the date from which authorisation is granted; and

(h)

the terms and conditions to which the body's authorisation is subject.