SRA Authorisation of Individuals Regulations

1. you have successfully and satisfactorily passed an assessment which is designed to assess your competence against the prescribed competences for solicitors and is conducted by an assessment organisation appointed by the SRA for the purpose;
2. you hold a degree or qualifications or experience which the SRA is satisfied are equivalent to a degree;
3. you have completed qualifying work experience which meets the requirements of regulation 2; 
4. as to your character and suitability to be a solicitor and
5. you have evidenced proficiency in English or Welsh.

2. comprise experience of providing legal services which provides you the opportunity to develop the prescribed competences for solicitors;
3. be of a duration of a total of at least two years' full time or equivalent; and
4. be carried out under an arrangement or employment with no more than four separate firms, educational institutions or other organisations.

2. the organisation's COLP;
3. a solicitor working within the organisation; or
4. if neither (a) or (b) are applicable, a solicitor working outside of the organisation who has direct experience of your work and who has, in order to be so satisfied:
   2. undertaken a review of the work you have done during the relevant period of work experience, which may include review of a training diary or portfolio of work; and
   3. received feedback from the person or persons supervising your work.

2. details of the period of work experience carried out;
3. that it provided you with the opportunity to develop some or all of the prescribed competences for solicitors; and
4. that no issues arose during the period of work experience that raise a question as to your character and suitability to be admitted as a solicitor, or if such confirmation cannot be given, then details of any such issues.

3. you hold a legal professional qualification that is recognised by the SRA, which confers rights to practise in England and Wales or in an overseas jurisdiction; and
4. subject to regulation 3.2, you meet the criteria in regulation 1.1(a), (b),(d) and (e).

3. you have successfully and satisfactorily completed:
   3. an apprenticeship leading to qualification as a solicitor; or
   4. the academic stage of training and the vocational stage of training; and
4. as to your character and suitability to be a solicitor.

3. refuse to recognise all or any part of that apprenticeship; or
4. require you to take certain steps or undertake further training, subject to such conditions as it considers appropriate.

3. the Legal Practice Course;
4. a period of recognised training; and
5. the Professional Skills Course.

3. contains details of the work you have performed;
4. records how you have applied and developed the skills, as set out in the Practice Skills Standards;
5. records your reflections on, and your training principal's appraisal of, your performance and development against, and your attainment of the skills set out in the Practice Skills Standards; and
6. verified by the individual supervising you.

3. refuse to recognise all or any part of that training; or
4. require you to take certain steps or undertake further training, subject to such conditions as it considers appropriate.

1. you satisfy the requirements of those regulations; and
2. the SRA is satisfied as to your character and suitability to be a solicitor.

9. following an enquiry made by the SRA under regulation 5.4:
   9. you tell the SRA that you do not wish to remain on the roll;
   10. you do not, within eight weeks from the date of the notice, reply to the SRA and pay the fee specified under regulation 5.5, or
10. you apply to have your name removed from the roll.

7. refuse your application for a practising certificate, or your application for registration or renewal of registration, in the register of European lawyers or the register of foreign lawyers; or
8. at any time, whether on grant of such an application or at the end of a period of suspension of a practising certificate or registration, or otherwise, impose such conditions on your certificate or registration as it thinks fit in accordance with regulations 7.2 and 7.3.

7. are unsuitable to undertake certain activities or engage in certain business or practising arrangements;
8. are putting, or are likely to put, at risk the interests of clients, third parties or the public;
9. will not comply, or are unable to comply, with the SRA's regulatory arrangements (which includes your ability to engage with your regulator on any matter that may require investigation and take part in any regulatory or disciplinary process) or require monitoring of compliance with the SRA's regulatory arrangements; or
10. should take specified steps conducive to the regulatory objectives.

7. specify certain requirements that must be met or steps that must be taken;
8. restrict the carrying on of particular activities or holding of particular roles; or
9. prohibit the taking of specified steps without its approval.

8. that the practising certificate or registration was granted or renewed as a result of error, misleading or inaccurate information, or fraud;
9. that the replacement or renewal date has passed and an application has not been made for replacement of the practising certificate or renewal of the registration;
10. that a solicitor, an REL or RFL has failed to pay the prescribed fee required under regulation 7.7;
11. subject to regulation 8.7(c), in the case of an REL or RFL that the eligibility requirements under regulations 6.3 and 6.4 are no longer met; or
12. that an application for a replacement practising certificate or renewal of registration has been refused under regulation 7.1(a).

8. on the death of the solicitor, REL or RFL;
9. if a solicitor, an REL or RFL is removed from, or struck off, the roll or register or their registration is withdrawn;
10. if an REL or RFL is no longer eligible for registration under 6.3(a) or 6.4(a) respectively;
11. in the case of a practising certificate, when the SRA issues a replacement certificate;
12. in the case of a practising certificate which is suspended, on its replacement date, or if the replacement date has passed, 14 days after the suspension took effect; or
13. in the case of a registration which is suspended, on its next renewal date, or if a suspension takes effect after a renewal date but before renewal has been granted in respect of that renewal date, 14 days after the suspension took effect.

9. prepare instruments for remuneration creating or transferring an interest in land, and lodge documents relating to a transfer or charge of land, if you have a home professional title listed under Regulation 12 of the European Communities (Lawyer's Practice) Regulations 2000;
10. carry on probate activities for remuneration if you have a home professional title listed under Regulation 13 of the European Communities (Lawyer's Practice) Regulations 2000.

9. undertake advocacy in chambers in England and Wales under instructions given by a person who is authorised to do so;
10. under the direction and supervision of a person qualified to supervise:
    9. prepare court documents;
    10. prepare instruments and the lodging of documents relating to the transfer or charge of land;
    11. prepare papers on which to found or oppose a grant of probate, or a grant of letters of administration;
    12. prepare trust deeds disposing of capital if you also are eligible to act as a lawyer of England and Wales;
11. in relation to immigration work:
    9. undertake advocacy before immigration tribunals;
    10. have conduct of, and prepare documents for, immigration tribunal proceedings.

9. a body authorised to carry on reserved legal activities; or
10. if the work does not comprise reserved legal activities
    1. a body which has been granted permission to carry on regulated claims management activities by the FCA under Part 4A of FSMA; or
    2. as permitted under an exemption made in or under FSMA, to the general prohibition set out in section 19 of FSMA.

1. an REL or lawyer to whom the European Union (Recognition of Professional Qualifications) Regulations 2015 applies and you have applied for a qualification to exercise rights of audience in the higher courts, and you have undertaken any further steps as the SRA specifies in order to gain the qualification; or
2. authorised by another approved regulator to exercise civil or criminal advocacy in the higher courts.

10. your practice consists entirely of carrying on activities which are not reserved legal activities; 
11. any reserved legal activities you carry on are provided through an authorised body or an authorised non-SRA firm, or in circumstances in which you:
    10. have practised as a solicitor or an REL for a minimum of three years since admission or registration;
    11. are self-employed and practise in your own name, and not through a trading name or service company;
    12. do not employ anyone in connection with the services that you provide;
    13. are engaged directly by the client with your fees payable directly to you;
    14. have a practising address in the UK;
    15. take out and maintain indemnity insurance that provides adequate and appropriate cover in respect of the services that you provide or have provided, whether or not they comprise reserved legal activities, taking into account any alternative arrangements you or your clients may make; and
    16. do not hold client money, save that you may hold money which falls within the category of client money set out in rule 2.1(d) of the SRA Accounts Rules so long as:
        1. any money held for disbursements relates to costs or expenses incurred by you on behalf of your client and for which you are liable; and
        2. you have informed your client in advance of where and how the money will be held; or
12. the only reserved legal activities undertaken by you when practising on your own is administering oaths or statutory declarations and you meet the following conditions:
    10. you do not charge a fee for administering oaths or statutory declarations other than the statutory fee; and
    11. you do not provide the services of administering oaths or statutory declarations by way of business,

11. a Qualifying Law Degree;
12. a CPE;
13. an Exempting Law Degree;
14. an Integrated Course;
15. the Legal Practice Course; or
16. a period of recognised training,

11. an RFL;
12. were an REL immediately prior to IP completion day; and
13. have made an application under regulation 29 of the European Communities (Lawyer's Practice) Regulations 2000 to which regulation 9 of The Services of Lawyers and Lawyer's Practice (Revocation etc.) (EU Exit) Regulations 2020 applies

you are entitled to continue to carry on or undertake those activities and that work you were entitled to do immediately prior to IP completion day under regulation 9 of these regulations until your application referred to in (c) has been finally determined or withdrawn.