SRA Handbook

Initial recognition and renewal of recognition

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Version 2 of the Handbook was published on 23/12/2011. For more information, please click 'History' Above

Regulation 2: Initial recognition and renewal of recognition

2.1

The SRA may grant an application for initial recognition or renewal of recognition, if it is satisfied that the applicant body is a partnership, LLP or company which meets the conditions in (a) to (d) below:

(a)

the body complies with rules 15 and 16 of the SRA Practice Framework Rules in relation to:

(i)

its formation as a body corporate or partnership;

(ii)

its composition and structure, including any necessary approval of a participant under regulation 5; and

(iii)

its practising address (and if appropriate, its registered office) in England and Wales;

(b)

the body complies with the SRA Indemnity Insurance Rules;

(c)

the body complies with (or has a waiver of) rule 12 of the SRA Practice Framework Rules; and

(d)

if the body is a partnership, it has adopted a name under which it is to be registered, and which complies with Chapter 8 of the SRA Code of Conduct (Publicity).

2.2

The SRA may refuse an application for initial recognition if:

(a)

the SRA is not satisfied that a manager or a person with an interest in the body is a suitable person to be engaged in the management or ownership of a recognised body, taking into account that person's history, character, conduct or associations;

(b)

the SRA is not satisfied that the body's managers or owners are suitable, as a group, to operate or control a business providing regulated legal services; or

(c)

for any other reason the SRA reasonably considers that it would be against the public interest to grant recognition.

2.3

In reaching a decision under 2.2 the SRA may take into account:

(a)

any event listed in regulation 3.1 of the SRA Practising Regulations applying to a manager of the applicant body;

(b)

any other conduct on the part of a manager of the applicant body which calls into question his or her honesty, integrity or respect for law;

(c)

failure or refusal to disclose, or attempts to conceal, any matter within (a) or (b) above in relation to the application;

(d)

that the SRA is not satisfied that the managers of the applicant body, taken together, have sufficient skills and knowledge to run and manage a business which provides regulated legal services,

and any other facts which the SRA reasonably considers should be taken into account.

2.4

If, when considering an application for renewal of recognition, the SRA:

(a)

is not satisfied that the body's managers, taken together, are suitable to run and manage a business providing regulated legal services; or

(b)

considers that for any other reason it would not be in the public interest to renew the body's recognition,

the SRA may defer renewal of recognition pending a decision whether the body's recognition should be revoked under regulation 11.

2.5

A grant of initial recognition takes effect from the date of the decision unless otherwise stated.

2.6

Ability of SRA to impose conditions

(a)

When granting an application for recognition or for renewal of recognition the SRA may impose a condition in accordance with regulation 6.

(b)

The granting of recognition free of conditions under regulation 2 does not prevent the SRA subsequently imposing a condition under regulation 6.