Managers in SRA authorised firms

You are reading current version in effect from 8 February 2022
Guidance (3) Glossary terms (1)

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You are reading current version in effect from 8 February 2022

Guidance

Guidance

Workplace environment: risks of failing to protect and support colleagues - Guidance

Guidance: our approach where we consider that individuals and firms have failed to take appropriate steps to look after colleagues' wellbeing.

Workplace environment: risks of failing to protect and support colleagues - Case studies

Case studies: to be read in conjunction with the guidance on workplace environment: risks of failing to protect and support colleagues

Money missing from client account - Warning notice

Warning notice: Relevant to all firms and individuals we regulate but is particularly relevant to you if you are a manager of a firm or a firm's COFA or COLP.

Glossary terms

manager

means:

  1. the sole principal in a recognised sole practice;
  2. a member of a LLP;
  3. a director of a company;
  4. a partner in a partnership; or
  5. in relation to any other body, a member of its governing body