How we make decisions on authorisation

Reviewed 25 November 2019

Decision making guidance

In line with our decision-making guidance and principles, we have published guidance that underpins all our regulatory decisions, including our decisions related to firm-based authorisation.

The decision making guidance contain details of the relevant rules and policies, and presents examples to help contextualise decisions such as an approval or refusal to authorise a firm. 

Key outcomes we are seeking to achieve through the authorisation process

• Clients and the general public remain confident that legal services provided by those we regulate will be delivered to the required standard.
• The firms that the SRA authorises will be managed in such a way, and with appropriate systems and controls in place to promote public confidence in legal services.
• Those who own and manage law firms have the competence, character and willingness to achieve the right outcomes for clients and third parties.
• Only those individuals and firms who/that meet the SRA's criteria for authorisation or approval (including the requirements to be suitable and capable of providing legal services to the required standard) are authorised or approved.