Who can make decisions at the SRA
Updated 26 January 2026 (Updated from 2 May 2024)
This document [formerly known as 'Schedule of delegations'] outlines who can make regulatory decisions at the Solicitors Regulation Authority (SRA) and their role and responsibilities. We have included a glossary function which explains some technical phrases used throughout this document.
How does delegation work?
The SRA Board can delegate its functions to sub-committees and individuals, including to SRA staff. The Board's executive functions and regulatory powers are also delegated by the Board to the Executive.
Below, we have set out the regulatory decisions that are delegated to certain staff groups or individuals to make. All staff are sufficiently trained, experienced and competent to make these decisions. The Chief Executive is able at any time to delegate authority on a case by case basis unless the rules themselves set out who can make a decision.
In this document:
- Any references to standards, rules, regulations or statutory provisions include any updated or amended versions produced following the publication of this document.
- References to a job title or role includes individuals undertaking the same or equivalent role in the future, should the job title or role change.
- References to a directorate, function or unit includes a directorate, function or unit fulfilling the same or equivalent role in the future
- 'Adjudication' means an Adjudicator, an Adjudication Panel, the Director of Adjudication and Quality Assurance or the Head of Adjudication
- 'Directors' includes all Directors, Deputy General Counsel, Deputy Executive Directors, Executive Directors, the Chief of Staff and the Chief Executive of the SRA
- 'Heads' includes all persons described as 'Head' of a function in their job title
- 'Licensed body' includes any body applying to become a licensed body
- 'Recognised body' includes a legal services body and any body applying to become a recognised body
- 'Investigations' includes Investigations , Forensic Investigations, the Assessment Team and the Intelligence Team at the SRA
- 'Technical Adviser' includes Senior Technical Advisers and Senior Authorisation Advisers
- References to the 'SA 1974' means the Solicitors Act 1974 (as amended), 'CLSA 1990' means the Courts and Legal Services Act 1990 (as amended), 'AJA 1985' means the Administration of Justice Act 1985 (as amended), 'LSA 2007' means the Legal Services Act 2007(as amended), 'RDPR' means the SRA Regulatory and Disciplinary Procedure Rules, and 'SDT' means the Solicitors Disciplinary Tribunal.
Decisions by number
| No. | Decision | Job role/department |
|---|---|---|
| 1 |
To decide the outcome of a review of:
|
Adjudication, Directors and Heads, Senior Technical Adviser/Technical Manager in Client Protection: decision (1) Investigations - Directors, Heads, Investigation Manager, Pro-active investigation manager, Investigation Knowledge and Development Manager. Authorisation - Director, Heads , Knowledge and Development Manager and Technical Adviser; Client Protection - Interventions and Statutory Trust Manager, Cost Recovery Team Manager, Compensation Fund Manager, Technical Manager, Team Leader and Senior Technical Adviser; Heads of Ethics Guidance and Ethics Guidance Team Manager; Legal and Enforcement – Directors and Heads; Head of Legal General Counsel Advice Team; Director of Adjudication and QA, Head of Adjudication and Executive Director: decisions (2) and (3) |
| 2 |
To authorise the disclosure or publication of confidential information in the public interest as permitted by law to:
This includes but is not limited to disclosure in accordance with sections 32(4) and 33A(2) of the SA 1974, section 98 of the LSA 2007 and under any SRA rules or regulations |
Adjudication, Directors and Heads Investigations - Investigation Knowledge and Development Manager, Investigation Manager, Pro-active investigation manager, Authorisation - Team Leader, Knowledge and Development Manager and Technical Adviser Legal staff - Legal Adviser, Senior Legal Adviser, Senior Legal Consultant and Case Manager Client Protection - Interventions and Statutory Trust Manager, Cost Recovery Team Manager, Compensation Fund Team Manager, Team Leader, Senior Technical Adviser and Technical Manager Corporate Complaints – Director, Head, Complaints Officer, Senior Complaints and Customer Service Executive |
| 3 | To authorise inspection of a file in proceedings in bankruptcy of a solicitor in accordance with section 83 of the SA 1974 |
Adjudication, Directors and Heads Investigations - Investigation Knowledge and Development Manager, Investigation Manager, Proactive Investigation Manager Authorisation - Team Leader, Knowledge and Development Manager and Technical Adviser |
| 4 | To oppose admission to the Roll of Solicitors pursuant to section 3(2) of the SA 1974 |
Adjudication, Directors and Heads |
Client protection - the compensation fund, statutory trusts and indemnity insurance
| No. | Decision | Job role/department |
|---|---|---|
| 5 |
To make decisions in respect of payment or rejection of claims on the compensation fund (up to the value prescribed) |
No limit: Adjudication panel save if urgent single adjudicator or Executive Director Up to £1 million: A single Adjudicator Up to £500,000: Director of Client Protection, Technical Manager, Interventions and Statutory Trust Manager, Cost Recovery Team Manager, Compensation Fund Team Manager, Team Leader and Senior Technical Adviser (in Client Protection) Up to £250,000: Technical Specialist (in Client Protection) Up to £50,000: Complex Caseworker (in Client Protection) |
| 6 |
To impose a cap of £5 million in line with Rule 10 of the Compensation Fund Rules 2021 on payments relating to multiple applications for the same or connected claims |
£5 million: Executive Director |
| 7 |
To decide whether to accept or reject claims on the compensation fund (up to the value prescribed) in cases where the proposed payment is urgently needed as an interim measure to protect the interests of an applicant or potential applicant to the fund |
No limit: Adjudication, Executive Director and Director of Client Protection |
| 8 |
To authorise release of funds from the compensation fund in an emergency |
Adjudication and Executive Director |
| 9 |
To give an undertaking on behalf of the compensation fund to return an overpayment from a Statutory Trust Account |
Interventions and Statutory Trust Manager, Cost Recovery Team Manager, Compensation Fund Team Managers, Team Leaders, Senior Technical Advisers, Technical Specialist, Technical Manager and Director (in Client Protection) |
| 10 |
To make decisions in respect of payment from the compensation fund to a Statutory Trust Account to return an overpayment |
No limit: Adjudication |
| 11 |
To make any decision (without limit) in respect of statutory trust money |
Adjudication |
| 12 |
To make any decision to make payments up to the value prescribed in respect of statutory trust money |
Up to £500,000: Director of Client Protection, Technical Manager, Interventions and Statutory Trust Manager, Statutory Trust Team Leader, Senior Financial Investigator, Intervention Project Officer, and Senior Technical Adviser (in Client Protection) |
| 13 |
To pass a resolution under paragraph 6A of Schedule 1 of the SA 1974 or paragraph 4 of Schedule 14 of the LSA 2007, in order to collect debts due to an intervened firm |
Any two of: Director of Client Protection, Interventions and Statutory Trust Manager, Technical Manager in Client Protection, Senior Technical Adviser in Client Protection |
| 14 |
To issue and defend financial or recovery proceedings in a court or tribunal (and to take preliminary steps such as the service of a statutory demand in bankruptcy) on our behalf or on behalf of the compensation fund |
Executive Director |
Authorisation
Authorisation - individuals, education and training
| No. | Decision | Job role/department |
|---|---|---|
| 15 |
To make decisions about an applicant's character and suitability under rule 1.1 of SRA Assessment of Character and Suitability Rules |
Adjudication Education and Training - Director, Head and Policy Managers Authorisation – Directors, Heads, Knowledge and Development Manager, Technical Adviser, Team Leader, Authorisation Officer levels 2 & 3 |
| 16 |
To grant applications or authorisations under the SRA Authorisation of Individuals Regulations including:
|
Authorisation – all staff: decisions (1) to (11) Adjudication – all decisions (1) to (11) Education and Training - Director, Head and Policy Managers: decision (11) |
| 17 |
To:
|
Authorisation – all staff: decision (1) Authorisation – Directors, Heads, Knowledge and Development Manager and Technical Adviser: decision (2) |
| 18 |
To refuse, revoke or vary authorisations under the SRA Authorisation of Individuals Regulations including:
|
Adjudication: all decisions (1) to (15) Education and Training – Director, Head and Policy Managers: all decisions (1) to (15) Authorisation - all staff: decisions (1) to (14) Authorisation - Director, Head, Knowledge and Development Manager, Technical Adviser, Team Leader, and Authorisation Officer Level 2 and Level 3: decision (15) Investigation – Director, Heads, Investigation Knowledge and Development Manager and Investigation Manager: decisions (11) and (12) |
| 19 |
To grant or refuse applications to extend the six year period to complete the SQE assessment under the SQE Assessment Regulations |
Education and Training – Director, Head Authorisation – Directors, Heads, Knowledge and Development Manager, Technical Adviser, Team Leader, and Authorisation Officer Level 2 and Level 3 |
| 20 |
To grant approvals or authorisations under the SRA Education, Training and Assessment Provider Regulations including:
|
Authorisation - all staff Adjudication Education and Training – Director, Head and Policy Managers |
| 21 |
To refuse, revoke or vary authorisations under the SRA Education, Training and Assessment Provider Regulations including:
|
Adjudication: all decisions (1) to (7) |
| 22 |
To determine applications for membership of professional accreditation schemes, panels and awards, including the waiving of requirements and to revoke membership of professional accreditation schemes, panels and awards. |
Adjudication Education and Training - Director, Head and Policy Managers Authorisation – Directors, Heads, Knowledge and Development Manager, Technical Adviser, Team Leader, and Authorisation Officer Level 2 and Level 3 |
| 23 |
In respect of the granting of applications for approval of employment under sections 41 or 43 of the SA 1974: 1.to grant approval unconditionally, or subject to any conditions or requirements which have not been objected to by the person or persons concerned 2.to refuse approval, or grant approval with conditions (whether objected to or not) 3.to withdraw approval |
All Investigations amd Authorisation staff decision (1) Adjudication: decisions (2) and (3) Authorisation – Directors, Heads, Knowledge and Development Manager, Technical Adviser and Team leader: decisions (2) and (3) |
| 24 |
In respect of an application to terminate a suspended practising certificate:
|
Authorisation – all staff: decision (1) Adjudication Authorisation – Directors, Heads, Knowledge and Development Manager, Technical Adviser and Team leader: decision (2) |
| 25 |
In accordance with the powers under articles 12-14 of the European Communities (Services of Lawyers) Order 1978 to determine whether the person has verified their status to the SRA's satisfaction |
Adjudication, Directors and Heads |
| 26 |
To exercise all powers and make all decisions (excluding waivers and the setting of fees) relating to course providers offering the academic and vocational stages of training under the SRA Education, Training and Assessment Provider Regulations To deal with all matters relating to assessment organisations and/or providers of post-qualification training under the SRA Authorisation of Individuals Regulations and the SRA Education Training and Assessment Provider Regulations (excluding waivers and the setting of fees). |
Adjudication Education and Training – Director, Head and Policy Managers |
Authorisation - firms
| No. | Decision | Job role/department |
|---|---|---|
| 27 |
To grant approvals or authorisations with conditions or otherwise under the SRA Authorisation of Firms Rules including:
|
Authorisation - All staff: decisions (1) to (14) Adjudication: decisions (1) to(15) Authorisation - Directors, Heads, Knowledge and Development Manager, Technical Adviser and Team leader: decision (15) |
| 28 |
To refuse applications or authorisations under the SRA Authorisation of Firms Rules including;
|
Authorisation - all staff: decisions (1) to (7) Adjudication: decisions (1) to (10) Authorisation - Director, Heads, Knowledge and Development Manager, Technical Adviser and Team leader: decisions (8) to (10) |
| 29 |
Withholding from publication all or some information that would usually be published in the public interest |
Adjudication and Executive Director Authorisation - all staff |
| 30 |
In respect of determining or modifying the reserved legal activities which a licensed body is authorised to carry out for the purposes of section 85 and 86 of the Legal Services Act 2007 (including upon first application for a licence):
|
All Investigation and Authorisation staff: decision (1) |
| 31 |
To deal with applications for authority to withdraw money from client account |
Adjudication Directors Ethics Guidance- Heads, Team Manager, Ethics Adviser |
Authorisation - other
| No. | Decision | Job role/department |
|---|---|---|
| 32 | To require an accountant's report to be obtained or delivered in accordance with rule 12.4 of the SRA Accounts Rules |
Authorisation - all staff |
| 33 | To make orders and exercise associated powers in relation to modifying the application of licensing rules for special bodies arising from sections 106 and 107 of the LSA 2007 |
Adjudication Executive Director |
| 34 |
To decide upon applications for waivers of requirements of the SRA Standards and Regulations |
Adjudication Directors Ethics Guidance - Head of Ethics Guidance and Team Managers Authorisation – Directors, Heads , Knowledge and Development Manager, Technical Adviser, Team Leader, Education and Training – Director, Head and Policy Managers |
| 35 |
To approve foreign legal professions for the purposes of section 89 of the CLSA 1990 (A register of foreign lawyers, maintained by The Law Society). |
Executive Director |
| 36 |
To approve foreign legal professions for the purposes of section 89 of the CLSA 1990 (A register of foreign lawyers, maintained by The Law Society). To vary or revoke approval of a foreign legal profession for the purposes of section 89 of the CLSA 1990 (A register of foreign lawyers, maintained by The Law Society). |
Executive Director |
Investigation
| No. | Decision | Job role/department |
|---|---|---|
| 37 |
To authorise an onsite inspection |
Adjudication Directors and Heads Investigations - Investigation Knowledge and Development Manager, Investigation Manager and Proactive Investigation Manager |
| 38 |
To decide that it would not be in the public interest to notify the person subject to the decision or their employer of an investigation into an allegation |
Investigation – Directors, Heads, Investigation Knowledge and Development Manager, Investigation Managers and Proactive Investigation Manager |
| 39 |
To decide to issue advice or a warning regarding future conduct or behaviour under rule 2.4 of the RDPR |
Adjudication, Directors and Heads Investigations - Investigation Knowledge and Development Manager, Investigation Manager and Proactive Investigation Manager Legal staff - Case Manager, Senior Legal Consultant, Senior Legal Adviser and Legal Adviser |
| 40 |
To decide not to give notice to the relevant person under rule 2.5 of the RDPR where a further allegation is intended to be included in a matter already subject to an application or ongoing proceedings before the SDT, or where the SRA intends to make an urgent application to the SDT in a case in which the SRA is exercising its powers of intervention or it is otherwise in the public interest to do so. |
Adjudication and Executive Director Investigation and Supervision – Directors, Heads Investigation Knowledge and Development Manager, Investigation Manager and Proactive Investigation Manager Legal staff – Executive Director, Director of Legal and Enforcement, Head of Legal and Enforcement, Head of Legal - General Counsel Advice Team |
| 41 |
To vary the procedures as per rule 8.1 of the RDPR relating to evidential and procedural matters if the SRA considers it to be in the interests of justice or in the overriding public interest to do so. |
Adjudication and Executive Directors Investigation and Supervision – Directors, Heads , Investigation Knowledge and Development Manager, Investigation Manager and Proactive Investigation Manager Legal staff – Director of Legal and Enforcement, Head of Legal and Enforcement and Head of Legal General Counsel Advice Team |
| 42 |
To decide to suspend a practising certificate |
Adjudication Investigations – Directors and Heads, Legal staff - Director of Legal and Enforcement, Head of Legal and Enforcement, Head of Legal General Counsel Advice Team and Executive Director (in General Counsel) |
| 43 |
To give any notices required for the purposes of Schedule 14 of the LSA 2007 in relation to exercising our powers of intervention of a licensed body (including, for the avoidance of doubt, paragraphs 1(4), 3(5), 8 and 10) and Schedule 1 of the SA 1974 (including, for the avoidance of doubt, paragraphs 6 and 9) |
Adjudication and Executive Director Client Protection - Director, Technical Manager, Interventions and Statutory Trust Manager and Senior Adviser Investigation and Supervision – Directors, Heads Legal staff - Director of Legal and Enforcement, Head of Legal and Enforcement, Head of Legal General Counsel Advice Team |
| 44 |
To disqualify an accountant from preparing any accountant's reports under the Accounts Rules |
Adjudication Investigations – Directors, Heads of Investigations and Head of Forensic Investigations |
| 45 |
To authorise the closure of an investigation under rule 2.4 of the RDPR |
Adjudication Directors All Investigations staff |
Adjudication
| No. | Decision | Job role/department |
|---|---|---|
| 46 |
To decide to intervene into a firm (including under section 35 and Schedule 1 of the SA 1974, Schedule 2 of the AJA1985, section 102 and Schedule 14 to the LSA 2007 and any provision with similar effect) |
Adjudication panel unless the intervention
|
| 47 |
To:
|
Adjudication: decisions (1) to (7) All Authorisation staff: decision (3) relating to publication of conditions affecting a practising certificate, recognition, registration, or approval and decision (6) in so far as it relates to imposing interim conditions upon practising certificates under rule 3.2 of the RDPR |
| 48 |
To impose (other than via a regulatory settlement agreement) a financial penalty falling within Band D of the SRA’s guidance on its approach to financial penalties |
Adjudication panel |
| 49 |
To end a disqualification or order made by the SRA in accordance with rules 7.1 and 7.2 of the RDPR |
Adjudication Authorisation – Directors, Heads, Knowledge and Development Manager, Technical Adviser, Team Leader, and Authorisation Officer Level 2 and Level 3 |
| 50 |
To appoint the membership of a panel of adjudicators sub committee and to designate the chair |
Adjudication Support Officer, Director of Adjudication and QA, Head of Adjudication, , or in the absence of all of the above, a single Adjudicator |
| 51 |
To impose a fixed financial penalty under rule 3.1(h) of the RDPR, to direct payment of costs in respect of that matter, and/or to make a decision to publish (or not) that regulatory decision or to publish at a later date |
Investigations – Directors, Heads , Investigation Knowledge and Development Manager, Investigation Manager and Proactive Investigation Manager AML – Directors and Heads Legal and Enforcement - Directors and Heads Authorisation – Directors, Heads Knowledge and Development Manager and Technical Adviser |
| 52 |
To:
|
Adjudication: decisions (1) to (2) All Authorisation staff: decisions (1) to (2) All Investigations staff: decision (2) where a final decision has been made under rule 3.1 of the RDPR or an investigation has otherwise been closed with no further action |
Legal and enforcement
| No. | Decision | Job role/department |
|---|---|---|
| 53 |
To authorise disciplinary proceedings and any other proceedings before the SDT, and to authorise the addition of further allegations To authorise, issue and defend any proceedings or proposed proceedings in a court or tribunal. The above includes the power to issue a restriction notice for the purposes of Part 5 of Schedule 13 of the LSA 2007 to place restrictions on shares within a restricted interest held by a licensed body and to make any application to the High Court under Part 5 of Schedule 13 of that Act or Schedule 14 of that Act and to give any associated notices. The power to decide whether to publish a decision, or refer to the SDT. |
Adjudication and Executive Director Legal staff - Director of Legal and Enforcement, Head of Legal and Enforcement, Head of Risk and Compliance, Head of Legal - General Counsel Advice Team, Case Manager, Senior Legal Consultant, Senior Legal Adviser and Legal Adviser |
| 54 |
To authorise a statement of agreed facts, admissions and outcome |
Legal staff - Director of Legal and Enforcement, Head of Legal and Enforcement, Head of Legal - General Counsel Advice Team and Executive Director (in General Counsel) |
| 55 |
To authorise prosecution of offences under the SA 1974, the AJA 1985, the CLSA 1990, and the LSA 2007 |
Director of Adjudication and QA, Head of Adjudication and Executive Director |
| 56 |
To decide to give notice:
|
Adjudication and Executive Director: decisions (1) to (3) Investigations – Directors, decisions (1) to (3) Heads Investigation Knowledge and Development Manager, Investigation Managerand Proactive Investigation Manager: decisions (1) and (2), Head of Proactive & Intelligence and Head of Forensic Investigations (3) Legal staff - Director of Legal and Enforcement, Head of Legal and Enforcement, Head of Risk and Compliance, Head of Legal - General Counsel Advice Team, Case Manager, Senior Legal Consultant, Senior Legal Adviser and Legal Adviser: decisions (1) to (3) Authorisation - Technical Adviser: decisions (1) and (2) Client Protection - Directors, Technical Manager and Interventions and Statutory Trust Manager: decisions (1) and (2) AML - Directors, Heads, and AML Investigation Manager: decisions (1) to (3) |
| 57 |
To give notice under section 44BA of the SA 1974 (to require an explanation of information provided or any document produced by the person to whom notice is given) and any equivalent notice under paragraph 14 of Schedule 2 to the AJA 1985, and to exercise the related powers pursuant to those provisions To authorise an application to court under section 44BB of the SA 1974 or section 94 of the LSA 2007, and to exercise the related powers pursuant to those provisions |
Director of Adjudication and QA, Head of Adjudication and Executive Director Legal staff - Director of Legal and Enforcement, Head of Legal and Enforcement and Head of Legal - General Counsel Advice Team Investigations – Directors, Heads , Investigation Knowledge and Development Manager, Investigation Managerand Proactive Investigation Manager in relation to a notice under section 44BA and equivalent notices Client Protection – Directors, Technical Manager and Interventions and Statutory Trust Manager |
| 58 |
To authorise a regulatory settlement agreement which includes (but is not limited to) the following:
|
Adjudication and Executive Director Directors of Legal and Enforcement Any two of: Technical Adviser in Authorisation, Director of Authorisation, Heads (in Authorisation); Heads of Investigation and Investigation Manager |
| 59 |
To authorise a regulatory settlement agreement including a financial penalty in excess of £25,000 |
Executive Director |