SRA Handbook

Regulatory history

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Version 9 of the Handbook was published on 01/04/2014. For more information, please click 'History' Above

6: Regulatory history

6.1

Unless there are exceptional circumstances we will refuse your application if you:

(a)

have been made the subject of a serious disciplinary finding, sanction or action by a regulatory body and/or any court or other body hearing appeals in relation to disciplinary or regulatory findings;

(b)

have failed to disclose information to a regulatory body when required to do so, or have provided false or misleading information;

(c)

have significantly breached the requirements of a regulatory body;

(d)

have been refused registration by a regulatory body; and/or

(e)

have failed to comply with the reasonable requests of a regulatory body.

6.2

We may refuse your application if you have been rebuked, reprimanded or received a warning about your conduct by a regulatory body, unless there are exceptional circumstances.

Guidance note

(i)

"Regulatory body" includes us and the Solicitors Disciplinary Tribunal, approved regulators under the Legal Services Act 2007, as well as any other body responsible for regulation of a profession.

(ii)

You should disclose details of any disciplinary proceeding(s) or investigation(s) you may be facing. We may not determine your application until you can confirm that the matter(s) has/have either been dropped or the outcome of your case is known.