SRA Standards and Regulations

The SRA Standards and Regulations replaced the SRA Handbook in November 2019. They set out the requirements that all solicitors are expected to adhere to when practising, working with clients and in the public interest.

This revised edition captures updates and amendments made by the SRA since November 2019 to the following Standards and Regulations:

• SRA Application, Notice, Review and Appeal Rules;
• SRA Authorisation of Firms Rules;
• SRA Authorisation of Individuals Regulations;
• SRA Financial Services (Conduct of Business) Rules;
• SRA Regulatory and Disciplinary Procedure Rules;
• SRA Indemnity Rules 2012;
• SRA Compensation Fund Rules 2021; and
• SRA Glossary.

In one convenient volume, this print edition brings together the full text of the Standards and Regulations, along with the SRA’s Enforcement Strategy, which underpins the rules.

This text is essential reading for all solicitors to ensure that they are complying with the rules set down by the Solicitors Regulation Authority. The Standards and Regulations are updated online at www.sra.org.uk/solicitors/standards-regulations.

Reviews

For those who prefer a book rather than going online, this will be the regulatory backbone of any COLP’s library.

Fiona du Feu is a legal risk and compliance Consultant

Contents

1. 1. SRA Principles; 2. SRA Code of Conduct for Solicitors, RELs and RFLs; 3. SRA Code of Conduct for Firms; 4. SRA Accounts Rules; 5. SRA Application, Notice, Review and Appeal Rules; 6. SRA Assessment of Character and Suitability Rules; 7. SRA Authorisation of Firms Rules; 8. SRA Authorisation of Individuals Regulations; 9. SRA Education, Training and Assessment Provider Regulations; 10. SRA Financial Services (Scope) Rules; 11. SRA Financial Services (Conduct of Business) Rules; 12. SRA Overseas and Cross-border Practice Rules; 13. SRA Regulatory and Disciplinary Procedure Rules; 14. SRA Statutory Trust Rules; 15. SRA Roll, Registers and Publication Regulations; 16. SRA Transparency Rules; 17. SRA Indemnity (Enactment) Rules 2012; 18. SRA Indemnity Rules 2012; 19. SRA Compensation Fund Rules; 20. SRA Indemnity Insurance Rules; 21. The prescribed organisations and terms under which Solicitors, RELs and RFLs are allowed to hold client money in their own name, 22. The prescribed circumstances in which you can withdraw client money from client account to pay to a charity of your choice; 23. Glossary. Appendices.