SRA Standards and Regulations
Showing 251 results
Found in
SRA Financial Services (Conduct of Business) Rules
Insurance product information document and appropriate information
You must ensure that the client is given objective and relevant information about a policy in good time prior to the conclusion of the policy, so that the client can make an informed decision. You must provide the information in rule 21.1 to the client: whether or not you give a personal recommendation; and irrespective of the fact that the policy is offered as part of a package with: a...
Found in
SRA Roll, Registers and Publication Regulations
Information in respect of authorised bodies
The register of authorised bodies under regulation 1.1(e) shall contain the following information in respect of each body included within it: the name under which the body is authorised; the body's authorisation number; the body's main practising address in the UK; all the body's other practising addresses including addresses of its overseas practices; any previous name under which the body...
Found in
SRA Roll, Registers and Publication Regulations
General provisions
The SRA may include in the roll or registers such other prescribed information it considers conducive to help it meet the regulatory objectives. The SRA shall keep and publish lists of: orders made by the Tribunal and disciplinary or regulatory decisions made under the SRA Regulatory and Disciplinary Procedure Rules, in respect of individuals who are not solicitors, RELs, RFLs or RSLs...
Found in
SRA Roll, Registers and Publication Regulations
Publication of information
The SRA shall publish all entries on the roll or registers, except for any address included under regulation 2.1(h). If the SRA considers that it would be in the public interest to do so, it may withhold from publication any or all of the information subject to publication under regulation 5.1. The SRA may publish such further information or classes of information as it may consider in the...
Found in
SRA Application, Notice, Review and Appeal Rules
Notices
Any notice under the SRA's regulatory arrangements must be given in writing by delivering it, or sending it by post or by electronic mail, to the recipient's last notified postal or electronic mail address, as appropriate. If the intended recipient of a notice is represented, the notice may instead be given by sending or delivering it to the representative's practising or business address, or...
Found in
SRA Application, Notice, Review and Appeal Rules
Taking effect of decisions subject to review or appeal
Unless specified otherwise, subject to rule 6.2, a decision takes effect: if no application for a review or appeal is made, on the expiry of the date for bringing such an application under these rules; and if an application for a review or an appeal is made, on the date any review or appeal has been determined or discontinued. The SRA may direct a decision to take immediate effect, where it...
Found in
SRA Application, Notice, Review and Appeal Rules
Education, Training and Assessment providers
As set out in the SRA Education, Training and Assessment Provider Regulations: A decision made under regulation 1.4(b) or 2.3(b) to refuse to grant approved education provider, authorised education provider or authorised training provider status. A decision made under regulation 1.4(a) or 2.3(a) to grant the application for approval or authorisation subject to such conditions and for such...
Found in
SRA Application, Notice, Review and Appeal Rules
Regulatory and Disciplinary
As set out in the SRA Regulatory and Disciplinary Procedure Rules: A decision made under rule 3.1, save for a decision to make an application to the Tribunal under rule 3.1(g). A decision made under rule 3.2(a) to impose interim conditions. 2A. A decision made under rule 7.2 that a disqualification should remain in force. A decision made under rule 9.2 to publish a decision.
Found in
SRA Application, Notice, Review and Appeal Rules
Firm authorisation
As set out in the SRA Authorisation of Firms Rules: A decision made under rule 2.2 to refuse authorisation of a recognised body or recognised sole practice. A decision made under rule 4.3 to revoke or suspend authorisation of a recognised body or recognised sole practice. A decision made under 3.1 to impose conditions on authorisation of a recognised body or recognised sole practice. A...
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