SRA Standards and Regulations
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Found in
SRA Application, Notice, Review and Appeal Rules
Regulatory and Disciplinary
As set out in the SRA Regulatory and Disciplinary Procedure Rules: A decision made under rule 3.1(a) to give a written rebuke. A decision made under rule 3.1 (b) to direct the payment of a financial penalty together with the amount of that penalty. A decision made under rule 3.1(c) to disqualify a person from acting as a HOLP, HOFA, manager or employee of a licensed body. A decision made under...
Found in
SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs
Service and competence
You only act for clients on instructions from the client, or from someone properly authorised to provide instructions on their behalf. If you have reason to suspect that the instructions do not represent your client's wishes, you do not act unless you have satisfied yourself that they do. However, in circumstances where you have legal authority to act notwithstanding that it is not possible to...
Found in
SRA Application, Notice, Review and Appeal Rules
Miscellaneous
A decision made under the SRA Compensation Fund Rules 2019 or the SRA Compensation Fund Rules 2021 not to make a grant of the whole or part of the amount applied for from the Fund. Any decisions in respect of which there is a right of external appeal as set out in annex 2 or 3, that are not covered above.
Found in
SRA Application, Notice, Review and Appeal Rules
Regulatory and Disciplinary
As set out in the SRA Regulatory and Disciplinary Procedure Rules: A decision made under rule 3.1(a) to give a written rebuke. A decision made under rule 3.1 (b) to direct the payment of a financial penalty together with the amount of that penalty. A decision made under rule 3.1(c) to disqualify a person from acting as a HOLP, HOFA, manager or employee of a licensed body. A decision made under...
Found in
SRA Application, Notice, Review and Appeal Rules
Individual Authorisation
As set out in the SRA Authorisation of Individuals Regulations: A decision made under regulation 3E.2(a) to refuse to recognise all or part of a period of recognised training. A decision made under regulation 4.1 to refuse an application for admission as a solicitor made under Part V of the European Communities (Lawyer's Practice) Regulations 2000. A decision made under regulation 5.1 to...
Found in
SRA Assessment of Character and Suitability Rules
Application
These rules apply where the SRA is making a decision as to whether it is satisfied regarding your character and suitability: on early assessment under regulation 5.2 of the SRA Authorisation of Individuals Regulations; at admission or restoration to the roll under regulations 1.1, 3.1, 3A.1, 3F.1, 4.1, 4.2 and 5.9 of the SRA Authorisation of Individuals Regulations; on approval as an...
Found in
SRA Assessment of Character and Suitability Rules
Other conduct and behaviour
Table 2 sets out non-exhaustive examples of the types of conduct or behaviour that the SRA will take into account when assessing your character and suitability. Table 2: Other conduct and behaviour Type of behaviour Examples Integrity and independence You have behaved in a way: which is dishonest; which is violent; which is threatening or harassing; where there is evidence of discrimination...
Found in
SRA Financial Services (Conduct of Business) Rules
Execution of transactions
You must ensure that where you have agreed or decided in your discretion to effect a transaction, you must do so as soon as possible, unless you reasonably believe that it is in the client's best interests not to.
Found in
SRA Financial Services (Conduct of Business) Rules
Retention of records
Each record which is made under these rules shall be kept for at least six years from the date it is made.
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