SRA Standards and Regulations
Showing 252 results
Found in
SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs
Confidentiality and disclosure
You keep the affairs of current and former clients confidential unless disclosure is required or permitted by law or the client consents. Where you are acting for a client on a matter, you make the client aware of all information material to the matter of which you have knowledge, except when: the disclosure of the information is prohibited by legal restrictions imposed in the interests of...
Found in
SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs
Referrals, introductions and separate businesses
In respect of any referral of a client by you to another person, or of any third party who introduces business to you or with whom you share your fees, you ensure that: clients are informed of any financial or other interest which you or your business or employer has in referring the client to another person or which an introducer has in referring the client to you; clients are informed of any...
Found in
SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs
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...
Found in
SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs
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...
Found in
SRA Education, Training and Assessment Provider Regulations
Higher rights of audience assessment providers
Only an organisation approved by the SRA may provide assessments in higher courts civil advocacy and higher courts criminal advocacy conferring a higher courts advocacy qualification. An organisation may apply to the SRA in such manner as may be prescribed to be approved to provide such assessments. The SRA may, in relation to an application for approval: grant the application, subject to such...
Found in
SRA Education, Training and Assessment Provider Regulations
Education providers
Only an approved education provider may provide and assess: a Qualifying Law Degree; a CPE; an Exempting Law Degree; or an Integrated Course. Only an authorised education provider may provide and assess the Legal Practice Course or the Professional Skills Course. An organisation may apply to the SRA in such manner as may be prescribed to be an approved education provider or an authorised...
Found in
SRA Application, Notice, Review and Appeal Rules
Individual authorisation
As set out in the SRA Authorisation of Individuals Regulations: A decision made under regulation 1.1(b) not to be satisfied that an individual holds a degree or qualifications or experience which are equivalent to a degree. A decision made under regulation 3.1(a) not to be satisfied that an individual holds a legal professional qualification that is recognised by the SRA, which confers rights...
Found in
SRA Financial Services (Conduct of Business) Rules
Execution-only business
If you arrange for a client on an execution-only basis any transaction involving a retail investment product, you must send the client written confirmation to the effect that: the client had not sought and was not given any advice from you in connection with the transaction; or the client was given advice from you in connection with that transaction but nevertheless persisted in wishing the...
Found in
SRA Financial Services (Conduct of Business) Rules
Treating complaints fairly
Notwithstanding your complaints handling obligations in the SRA Code of Conduct for Firms, you must have in place and operate appropriate and effective procedures for registering and responding to complaints from a person who is not a client.
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