Who can make decisions at the SRA

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:

  1. decisions relating to Individual and firm authorisation, education, training and assessment providers, regulatory/disciplinary action and decisions made under the Compensation Fund Rules 2019 and the SRA Compensation Fund Rules 2021, that are listed in Annex 1 of the SRA Application, Notice, Review and Appeals Rules
  2. all other regulatory decisions
  3. or to correct an administrative error in, or in relation to, any decision that comes to the attention of the SRA, without the need to undergo a review.

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:

  • law enforcement agencies
  • regulators or those who exercise regulatory functions
  • other persons with a legitimate interest in receiving the information.

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,
Intelligence Officer

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
Up to £500,000: Interventions and Statutory Trust Manager, Technical Manager, Cost Recovery Team Manager, Compensation Fund Team Manager, Team Leader and Senior Technical Adviser (in Client Protection)
Up to £250,000: Technical Specialists (in Client Protection)

8

To authorise release of funds from the compensation fund in an emergency

Adjudication and Executive Director
Director of Client Protection
Any two of: Technical Manager, Interventions and Statutory Trust Manager, Cost Recovery Team Manager, Compensation Fund Team Manager, Team Leaders and Senior Technical Adviser, (in Client Protection)

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
Up to £500,000: Interventions and Statutory Trust Manager, Cost Recovery Team Manager, Compensation Fund Team Manager, Team Leader, Senior Technical Adviser, Technical Manager and Director of Client Protection (in Client Protection)
Up to £250,000: Technical Specialist (in Client Protection)

11

To make any decision (without limit) in respect of statutory trust money

Adjudication
In cases of urgency, any two of: Executive Director and Director of Client Protection

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)
Up to £250,000; Technical Specialist 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
Technical Manager and Director, Interventions and Statutory Trust Manager, Cost Recovery Team Manager, Compensation Fund Team Manager, Team Leader, Technical Specialist, Senior Technical Adviser, Case working staff (in Client Protection Team)

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:

  1. Determining eligibility for admission as a solicitor
  2. Granting applications for recognition of academic or vocational stage completion by equivalent means
  3. Recognising or requiring specified steps be taken or extending periods of training
  4. Granting applications for admission to the Roll of Solicitors
  5. Granting applications for removal from the Roll of Solicitors
  6. Granting applications for practising certificates
  7. Granting applications for registration as a European lawyer
  8. Granting applications for registration as a foreign lawyer
  9. Granting applications for registration as a Swiss lawyer
  10. Granting applications to approve the taking of specified steps under a condition imposed under regulation 7.1(b)
  11. Granting applications from individuals (including qualified lawyers holding a particular title) for exemptions in respect of all or part of the Solicitors Qualifying Examination (SQE) assessment

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:

  1. Remove solicitors from the Roll of Solicitors under regulation 5.6(a)(i) of the SRA Authorisation of Individuals Regulations where following an enquiry they tell us that they do not wish to remain on the roll
  2. Remove solicitors from the Roll of Solicitors under regulation 5.6(a)(ii) of the SRA Authorisation of Individuals Regulations where following an enquiry they do not, within eight weeks from the date of the notice, reply to us and pay the fee to remain on the Roll of Solicitors

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:

  1. Refusing applications for recognition of academic or vocational stage of qualification completed by equivalent means
  2. Determining completion of an apprenticeship
  3. Refusing to recognise (all or part of), requiring specified steps to be taken, extending periods of training
  4. Refusing applications for admission to the Roll of Solicitors
  5. Refusing applications for removal from the Roll of Solicitors
  6. Refusing applications for Practising Certificates
  7. Refusing applications for registration as a European lawyer
  8. Refusing applications for registration as a foreign lawyer
  9. Refusing applications for registration as a Swiss lawyer
  10. Imposing conditions on practising certificates or registration
  11. Revoking or varying conditions on practising certificates or registration
  12. Shortening or removing the 28 days' notice under regulation 7.5
  13. Refusing applications to approve the taking of specified steps under a condition imposed under regulation 7.1(b), or withdrawing such approval
  14. Revoking a practising certificate or withdrawing registration
  15. Refusing applications for exemptions in respect of all or part of the SQE assessment

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:

  1. Granting an application for approval or authorisation as a training provider
  2. Approving an organisation to provide assessments in High Courts Civil and Criminal Advocacy and to confer a Higher Courts Advocacy Qualification (Higher Rights of Audience qualification)
  3. Approving an organisation to provide assessments for the Police Station Representative Accreditation Scheme Assessment

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:

  1. Refusing an application for approval or authorisation as a training provider
  2. Imposing conditions on an authorised training provider
  3. Revoking authorisation as a training provider
  4. Requiring an authorised training provider to appoint a new training principal
  5. Refusing (subject to conditions or otherwise) to approve an organisation to provide assessments in High Courts Civil and Criminal Advocacy and to confer a Higher Courts Advocacy (Higher Rights of Audience) Qualification and to provide the Police Station Representative Accreditation Scheme assessment
  6. Revoking an authorised Higher Rights or Police Station Representative Accreditation Scheme providers approval
  7. Making an authorised Higher Rights or Police Station Representative Accreditation Scheme Providers approval subject to conditions

Adjudication: all decisions (1) to (7)
Authorisation – all staff: decisions (1) to (4)
Education and Training – Director, Head and Policy Managers: decisions (5) 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:

  1. to terminate the suspension, including with conditions which have not been objected to by the person concerned
  2. to refuse to terminate the suspension, or to terminate the suspension subject to conditions

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:

  1. Granting an application for authorisation unconditionally or with agreed conditions
  2. Granting an application for authorisation with conditions which are objected to
  3. Imposing conditions on a body's authorisation (where there is no objection and also where there is an objection)
  4. Approving an application for the taking of specified steps under a condition imposed under rule 3.1
  5. Revoking or suspending authorisation on application of the body concerned
  6. Determining that an authorised body is not required to comply with rule 9.1 of the SRA Authorisation of Firms Rules (to seek approval of a manager or owner of the authorised body), where managers are not involved in the activities set out in rule 9.3(a) to (c) as follows:
    1. the day to day or strategic management of the authorised body;
    2. compliance by the authorised body with the SRA's regulatory arrangements; or
    3. the carrying on of reserved legal activities, or the provision of legal services in England and Wales
  7. Extending, revoking or varying an authorised body's terms and conditions
  8. Approving a manager, owner, COLP or COFA of an authorised body
  9. Approving a manager, owner, COLP or COFA of an authorised body, subject to conditions being imposed on the authorisation of the body (where there is no objection)
  10. Approving a restricted interest under Schedule 13 LSA subject to a condition on that approval (where there is no objection)
  11. Approval of a manager, owner, COLP or COFA of an authorised body, subject to conditions being imposed on the authorisation of a body (where there is objection)
  12. Approval of a restricted interest under Schedule 13 LSA subject to a condition on that approval (where there is objection)
  13. Approval of a beneficial owner, officer, or manager of an Independent legal practitioner
  14. Recommendation that a trust or company service provider or a beneficial owner, officer or manager of trust or company service provider, is fit and proper to carry out the work of a trust or service company provider
  15. Deciding to transfer or substitute authorisation of a body or approval of a manager, owner, COLP or COFA and to determine what application requirements apply

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;

  1. Refusing an application for authorisation
  2. Refusing an application for the taking of specified steps under a condition imposed under rule 3.1, or withdrawing such approval
  3. Revoking or suspending authorisation on procedural grounds
  4. Suspending or revoking authorisation on any grounds
  5. Refusing to approve a manager, owner, COLP or COFA of an authorised body
  6. Objecting to the holding of a restricted interest in a licensed body
  7. Withdrawal of approval of a manager, owner, COLP or COFA of an authorised body.
  8. Objecting to the holding of an existing approved restricted interest holder in a licensed body
  9. Refusal of approval of a beneficial owner, officer or manager of an independent legal practitioner
  10. Recommending that a trust or company service provider, or a beneficial owner, officer or manager or a trust or company service provider is NOT fit and proper to carry out the work of a trust or company service provider

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):

  1. To grant or amend the term of the licence where this is not objected to by the person or persons concerned
  2. To grant or amend the term of the licence whether objected to or not

All Investigation and Authorisation staff: decision (1)
Adjudication and Executive Directors:
Authorisation – Directors, Heads, Knowledge and Development Manager, Technical Advisers and Team leader: decision (2)
In respect of the exercise of these powers, all persons listed above may give notice of the same or decide to remove the notice requirement.

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
Adjudication

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).
Decision moved – formerly decision no 55

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

  1. is due to severe and imminent risk to the public; or
  2. into the closed files and any residual money forming the remnants of a practice in which case provided the Chief Executive, an Executive Director or a Director decides that the decision can be made by a single adjudicator
47

To:

  1. Give a written rebuke
  2. Direct the payment of a financial penalty within Band A, B, or C of our guidance on our approach to financial penalties
  3. Make a decision to publish (or not to publish) a regulatory decision or to publish at later date
  4. Disqualify a person under section 99 of the LSA 2007
  5. Make an order under section 43(2) of the SA 1974
  6. Impose conditions, interim conditions or other controls upon practising certificates, registration or any other form of authorisation
  7. Direct payment of costs

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:

  1. vary interim conditions imposed under rule 3.2(a) of the RDPR
  2. revoke interim conditions imposed under rule 3.2(a) of the RDPR

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
Legal staff - Director of Legal and Enforcement, Head of Legal and Enforcement and Head of Legal - General Counsel Advice Team

56

To decide to give notice:

  1. pursuant to section 44B of the SA 1974 (and any equivalent provision, such as paragraph 14 of Schedule 2 to the AJA 1985)  to require a person or recognised body to provide information and/or produce documents and to exercise the related powers pursuant to those provisions
  2. pursuant to section 93 of the LSA 2007 requiring information to be provided and/or documents to be produced by a licensed body, and to exercise the related powers pursuant to those provisions
  3. under regulation 66 of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 to require information to be provided and/or documents to be produced.

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:

  •  a written rebuke
  •  a financial penalty up to and including £25,000
  •  a decision to publish (or not to publish) a regulatory decision
  • a disqualification under section 99 of the LSA 2007
  • bringing a disqualification made under section 99 of the LSA 2007 to an end
  •  an order under section 43(2) of the SA 1974
  • bringing an order made under section 43 (2) of the SA 1974 or an order suspending a practising certificate or registration to an end
  •  conditions, interim conditions or other controls upon practising certificates, registration or any other form of authorisation
  •  advice or a warning
  • a decision to make an application to the SDT
  •  the suspension, or an extension of the suspension of, a practising certificate under section 13B of the SA 1974
  • a direction for payment of costs

Adjudication and Executive Director

Directors of Legal and Enforcement
Heads of Legal and Enforcement
Director of Investigations
Directors of AML

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
Director of Legal and Enforcement
Directors of Investigations
Directors of AML
Any two Heads of Legal and Enforcement or Heads of Investigations