SRA Standards and Regulations

Temporary emergency authorisation or approval

An application for temporary emergency authorisation may be made: within seven days of any change in the management or control of an authorised body which brings into being a new unauthorised body or practice; within 28 days of the death or incapacity of a sole practitioner by a solicitor or an REL who is: the sole practitioner's executor, personal representative, attorney under a lasting...

Compliance officers

An authorised body must at all times have an individual who is designated as its COLP and an individual who is designated as its COFA, and whose designations the SRA has approved. Subject to rule 8.3, an individual who is designated under rule 8.1 must: be a manager or employee of the authorised body; consent to the designation; not be disqualified from acting as a HOLP or HOFA under section...

Restrictions on employment and remuneration of certain individuals

An authorised body must not employ or remunerate, or permit to be a manager, owner or interest holder of the body, a person: who is subject to an order under section 43 of the SA, without the SRA's written permission; whose name has been struck off the roll, or who is suspended from practising as a solicitor, without the SRA's written permission; in respect of whom there is a direction in...

Information return and notification events

An authorised body must complete and deliver to the SRA an annual return by the date and in the form prescribed.

Cooperation and accountability

You keep up to date with and follow the law and regulation governing the way you work. You are able to justify your decisions and actions in order to demonstrate compliance with your obligations under the SRA's regulatory arrangements. You cooperate with the SRA, other regulators, ombudsmen, and those bodies with a role overseeing and supervising the delivery of, or investigating concerns in...

Applications

An application made under the SRA's regulatory arrangements must be made in writing, where appropriate, in the prescribed form correctly completed, and be accompanied by: any prescribed fee or charge; and any information and documents which may be prescribed, or reasonably requested by the SRA. If you make an application to the SRA, you do not need to submit all payments, information, and...

Decisions on review

A review will usually be determined by an authorised decision maker on consideration of written evidence alone. An adjudicator may at their sole discretion invite the relevant person to be interviewed by an authorised decision maker accompanied by their representative (if any). Subject to rule 4.3, on a review (save for a review of a decision made under rule 3.1(h) of the SRA Regulatory and...

SRA Principles

You act: in a way that upholds the constitutional principle of the rule of law, and the proper administration of justice. in a way that upholds public trust and confidence in the solicitors' profession and in legal services provided by authorised persons. with independence. with honesty. with integrity. in a way that encourages equality, diversity and inclusion. in the best interests of each...

Other business requirements

You must not be a manager, employee, member or interest holder of a business that: has a name which includes the word "solicitors"; or describes its work in a way that suggests it is a solicitors' firm; unless it is an authorised body. If you are a solicitor who holds a practising certificate, an REL, RFL or RSL, you must complete and deliver to the SRA an annual return in the prescribed form....

Complaints handling

You ensure that, as appropriate in the circumstances, you either establish and maintain, or participate in, a procedure for handling complaints in relation to the legal services you provide. You ensure that clients are informed in writing at the time of engagement about: their right to complain to you about your services and your charges; how a complaint can be made and to whom; and any right...