SRA Standards and Regulations

Eligibility requirements

The SRA shall only grant an application for a practising certificate, or registration in the register of European lawyers, register of foreign lawyers or the register of Swiss lawyers if you meet the eligibility requirements in this regulation. You will be eligible to apply for a practising certificate if: your name is on the roll; and you are not suspended from practice as a solicitor....

Determination of applications

If the SRA considers it to be in the public interest to do so, it must: refuse your application for a practising certificate, or your application for registration or renewal of registration, in the register of European lawyers, the register of foreign lawyers, or the register of Swiss lawyers; or at any time, whether on grant of such an application or at the end of a period of suspension of a...

Regulated claims management activities

If you are a solicitor, an REL, RFL or RSL you may carry on regulated claims management activities or activities that would be regulated claims management activities but for the exclusion in article 89N of the Regulated Activities Order, provided that such work is undertaken through: a body authorised to carry on reserved legal activities; or if the work does not comprise reserved legal...

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...

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...

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...

Client money and assets

You properly account to clients for any financial benefit you receive as a result of their instructions, except where they have agreed otherwise. You safeguard money and assets entrusted to you by clients and others. You do not personally hold client money save as permitted under regulation 10.2(b)(vii) of the Authorisation of Individuals Regulations, unless you work in an authorised body, or...

The investigation process

The SRA may carry out such investigations, and in doing so may exercise any of its investigative powers, as it considers appropriate: to identify whether a matter comprises an allegation under rule 1.2, or to the consideration of an allegation under rule 3. As soon as reasonably practicable after commencing an investigation under rule 2.1(b), the SRA will inform the relevant person accordingly...

Applications to the tribunal

An authorised decision maker may decide to make an application to the Tribunal in respect of a firm or an individual under rule 3.1(g) only where they are satisfied that: there is a realistic prospect of the Tribunal making an order in respect of the allegation; and it is in the public interest to make the application. Where an authorised decision maker has made an application to the Tribunal,...

Applications for termination of certain orders

Where a person has been: disqualified from acting as a HOLP or HOFA, or a manager or employee of a body licensed under the LSA; made subject by the SRA to an order under section 43(2) of the SA; or made subject by the SRA to an order suspending their practising certificate or registration in the register of European lawyers, the register of foreign lawyers, or the register of Swiss lawyers,...