SRA Handbook

Managers and employees authorised by another approved regulator

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Version 4 of the Handbook was published on 21/06/2012. For more information, please click 'History' Above

Rule 6: Managers and employees authorised by another approved regulator

6.1

If you are a manager or employee of an authorised body or an employee of a recognised sole practitioner and you are not a solicitor but you are authorised by an approved regulator other than the SRA, you must not:

(a)

be held out in any way which suggests that you are, or are entitled to practise as, a solicitor;

(b)

undertake the following reserved work in England and Wales, unless authorised by your approved regulator to do so:

(i)

advocacy in open court;

(ii)

the conduct of court litigation;

(iii)

the administration of oaths and statutory declarations;

(c)

undertake advocacy in chambers in England and Wales, unless authorised by your approved regulator or acting under instructions given by a person qualified to supervise that reserved work;

(d)

undertake the following reserved work in England and Wales, unless authorised by your approved regulator or acting under the supervision of a person qualified to supervise that reserved work:

(i)

the preparation of court documents;

(ii)

the preparation of instruments and the lodging of documents relating to the transfer or charge of land;

(iii)

the preparation of papers on which to found or oppose a grant of probate or a grant of letters of administration;

(iv)

the preparation of trust deeds disposing of capital;

(e)

undertake the conduct of immigration tribunal proceedings in the UK or advocacy before an immigration tribunal in the UK unless you are authorised by your approved regulator or the Immigration Services Commissioner to do that work;

(f)

prepare documents in the UK for immigration tribunal proceedings unless you are authorised by your approved regulator or the Immigration Services Commissioner to do that work or acting under the supervision of a person qualified to supervise that reserved work; or

(g)

carry out immigration work in the UK which is not within (b) to (f) above, unless you are authorised by your approved regulator or the Immigration Services Commissioner to do that work, or acting under the supervision of an individual working in the firm who is authorised under statute to do that work.

Guidance notes

(i)

Rule 16 permits lawyers and firms authorised by another approved regulator to be interest holders and managers of an authorised body.

(ii)

An individual authorised by another approved regulator cannot practise as a sole practitioner regulated by the SRA as the SRA can only authorise and regulate sole solicitors and RELs.

(iii)

Where, in order to satisfy statutory requirements, there is a need for an individual doing reserved work to be supervised or directed by someone in the firm, this can only be undertaken by a person of equivalent or higher status.

(iv)

A lawyer of England and Wales who is an individual authorised by another approved regulator is subject to the SRA's regulatory arrangements in relation to practice outside England and Wales if he or she is a manager of an authorised body.