SRA Standards and Regulations

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...

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,...

Disclosure and publication

The SRA may disclose or publish any information arising from or relating to an investigation, either in an individual case or a class of case, where it considers it to be in the public interest to do so. The SRA shall publish any decision under rule 3.1 or 3.2, when the decision takes effect or at such later date as it may consider appropriate, unless it considers the particular circumstances...

Eligibility for a grant

A person is eligible to apply for a grant out of the Fund if, at the time the application is made, they are: an individual; a sole trader; partnership, body corporate, unincorporated association or mutual association with an annual turnover or assets of less than £2 million; a charity with annual income net of tax in the most recent financial year of less than £2 million; or a trustee of a...

Maintenance of and contributions to the Fund

The SRA shall establish and maintain a fund for making grants in respect of applications made in accordance with these rules. Solicitors, RELs, RFLs, RSLs recognised bodies and licensed bodies must make contributions to the Fund in such amounts and at such times as may be prescribed. Any unpaid contributions may be recovered as a debt due to the SRA. The SRA may at any time: borrow for the...

Recovery and subrogation

Where the SRA makes a grant otherwise than by way of loan or if by way of loan repayments of the loan is waived or otherwise the borrower has failed to repay part or all of the loan, the SRA shall be subrogated to the rights and remedies of the person to whom or on whose behalf the grant is made to the extent of the amount of the grant. Where rule 17.1 applies, the recipient must if required...

Capping payments of multiple applications

Where multiple applications are made to the Fund: that relate to the same or connected underlying circumstances; and the SRA is satisfied that the total amount of the grants made from the Fund in respect of such applications is likely to exceed £5 million, the SRA may impose a limit on the total amount to be paid in respect of those applications of £5 million. Where the SRA imposes a limit...