SRA Standards and Regulations
Showing 255 results
Found in
SRA Application, Notice, Review and Appeal Rules
Firm authorisation
As set out in the SRA Authorisation of Firms Rules: A decision made under rule 2.2 to refuse authorisation as a licensed body. A decision made under rule 3.1 to impose conditions on the authorisation of a licensed body. A decision in respect of a licensed body to refuse approval for the taking of steps specified in conditions under rule 3.3(c). A decision made under rule 4.4 to revoke or...
Found in
SRA Application, Notice, Review and Appeal Rules
Miscellaneous
A refusal to grant permission to a solicitor to employ or remunerate in connection with their practice any individual who to their knowledge has been disqualified from practising as a solicitor as a result of being struck off the roll; or who is suspended from practice as a solicitor; or whose practising certificate is suspended as a result of being an undischarged bankrupt.
Found in
SRA Authorisation of Individuals Regulations
Recognised training
In order to satisfactorily complete your period of recognised training, you must maintain a record of training which: contains details of the work you have performed; records how you have applied and developed the skills, as set out in the Practice Skills Standards; records your reflections on, and your training principal's appraisal of, your performance and development against, and your...
Found in
SRA Authorisation of Individuals Regulations
Recognition of Professional Qualifications and Implementation of International Recognition Agreements (Amendment) Regulations 2023
If you are an Swiss lawyer, you will be eligible for admission as a solicitor under Part 2 of The Recognition of Professional Qualifications and Implementation of International Recognition Agreements (Amendment) Regulations 2023 (as amended) if: you satisfy the requirements of those regulations; and the SRA is satisfied as to your character and suitability to be a solicitor.
Found in
SRA Authorisation of Individuals Regulations
Reserved legal activities
Subject to regulations 9.2, 9.3, 9.5 to 9.10 and 10.2(b), if you are a solicitor with a current practising certificate, or an REL, you are entitled to carry on all reserved legal activities except notarial activities. If you are an REL you may only exercise a right of audience before a court, conduct litigation or prepare court documents, in conjunction with a solicitor or barrister who is...
Found in
SRA Authorisation of Individuals Regulations
Higher rights of audience
If you are a solicitor or an REL you may exercise civil or criminal advocacy in the higher courts if the SRA is satisfied you have successfully and satisfactorily completed the appropriate higher courts advocacy qualification and that you have done so after the date of your admission as a solicitor or initial registration as an REL, or you are: an REL or lawyer to whom the European Union...
Found in
SRA Financial Services (Conduct of Business) Rules
Demands and needs
Prior to the conclusion of a contract of insurance, you must specify on the basis of information obtained from the client, the demands and needs of that client. The details must be adapted according to the complexity of the contract of insurance proposed and the individual circumstances of the client. You must give the client a statement of the client's demands and needs prior to the...
Found in
SRA Financial Services (Conduct of Business) Rules
Cross-selling requirements where insurance is the ancillary product
When you offer a non-insurance ancillary product or service as part of a package or in the same agreement with an insurance product, you must: inform the client whether it is possible to buy the components separately and, if so must provide the client with an adequate description of: the different components; where applicable, any way in which the risk or insurance coverage resulting from the...
Found in
SRA Financial Services (Scope) Rules
Basic Conditions
If you carry on any regulated financial services activities you must ensure that: you satisfy the conditions in section 327(2) to (5) of FSMA; the activities arise out of, or are complementary to, the provision of a particular professional service to a particular client; there is not in force any order or direction of the FCA under sections 328 or 329 of FSMA which prevents you from carrying...
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