SRA Handbook

Application

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

Part 2: Application

Rule 2: Application

2.1

With regard to the Overseas Principles set out in Rule 1:

(a)

they apply to you if you are a regulated individual practising overseas, or a responsible authorised body in relation to each of its overseas practices;

(b)

you will be committing a breach if you permit another person to do anything on your behalf which, if done by you, would constitute a breach of these rules;

(c)

you should ensure that you and those for whom you are responsible under these rules comply with all legal and regulatory obligations applicable in the jurisdiction outside England and Wales in which you or they are practising. You, and those for whom you are responsible under these rules, should not cause, contribute to or facilitate a failure to comply with those legal or regulatory obligations by any other person or body subject to them;

(d)

where there is a conflict between compliance with the Overseas Principles set out in Rule 1 and/or the Overseas Accounts Rules or the Reporting Requirements set out in the following rules on the one hand, and any requirements placed upon you or those for whom you are responsible under these rules by local law or regulation on the other hand, the latter shall prevail, with the exception of Overseas Principle 6, which must be observed at all times;

(e)

Reserved legal activities may only be conducted overseas from an authorised body. However, regulated individuals may conduct reserved legal activities overseas in the following circumstances:

(i)

on an occasional basis from an Overseas Practice for clients in England and Wales provided that they comply with the SRA Principles and the provisions in Chapter 13A.3 to 13A.6 of the SRA Code of Conduct when conducting those reserved legal activities.

(ii)

from an Overseas Practice under the Overseas Principles provided that this work is undertaken for clients based outside England and Wales.

(f)

Notwithstanding (e) above, if you are a solicitor or a REL, and your practice predominantly and consistently comprises the provision of legal services to clients, or in relation to assets located in England and Wales, then regardless of where you are established, the SRA Principles and Chapter 13A of the SRA Code of Conduct will apply;

(g)

if you are a regulated individual practising overseas, or a responsible authorised body, you must ensure that you, or those for whom you are responsible under these rules, comply with any requirements under:

(i)

the SRA Property Selling Rules 2011;

(ii)

the SRA Insolvency Practice Rules;

(iii)

the SRA European Cross-border Practice Rules;

(iv)

the SRA Financial Services (Scope) Rules;

(v)

the SRA Financial Services (Conduct of Business) Rules 2001; and

(vi)

the SRA Quality Assurance Scheme for Advocates (Crime) Regulations 2013;

which apply to you or your overseas practice.