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The Solicitors Regulation Authority (SRA) was set up by the Law Society to be its regulatory body after the Legal Services Act 2007 required the separation of all regulatory and representative activities relating to the legal professions.
The SRA exercises its devolved powers through its Board. It regulates both individuals and entities and has power to determine such things as: the training requirements for those individuals it authorises to provide legal services; the requirements for firms to become, and remain, authorised and the imposition of conditions on authorisation; and disciplinary sanctions for individuals and firms. All the SRA's regulatory activities must be approved by the Legal Services Board.
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The Solicitors Regulation authority (SRA) is the independent regulatory arm of the Law Society. It regulates:•individual solicitors, registered European lawyers (RELs), registered foreign lawyers (RFLs) and non-lawyer employees, owners and managers of regulated law firms•law firms, eg sole practices, partnerships, LLPs and companies providing legal advice and services as:◦a solicitor practice (ie a firm owned and managed by solicitors), or ◦an alternative business structure (ABS) (eg a firm with non-lawyer owners or managers)The SRA does not represent the solicitors’ profession, which is the function of the Law Society. Its purpose is to ensure that consumers receive a good service and that the rule of law is upheld. This Practice Note explains the SRA’s structure, role and powers.Structure The SRA’s work is overseen by the SRA board, which comprises both solicitor and lay members, with the majority being non-lawyers. The board is assisted by three committees covering:•audit and risk•nominations•remunerationThe SRA is predominantly based in Birmingham but also has offices in London.Relationship with the Law Society and the Legal Services BoardThe Law...
The Solicitors Regulation Authority (SRA) has three core operational functions: •authorisation (which this Practice Note covers)•supervision (see Practice Note: SRA’s supervision function)•enforcement (see Practice Note: SRA’s enforcement function)In order to provide reserved legal services or, in the case of an individual, to hold yourself out as a solicitor, you must be authorised by one of the legal services regulators. The SRA’s authorisation teams ensure that applicants for authorisation are properly vetted. Only those who can demonstrate that they meet the required standards will be authorised by the SRA. This Practice Note describes the SRA’s approach to authorisation.Who the SRA authorisesThe SRA deals with applications by:•organisations for approval as recognised bodies (ie law firms owned and managed by solicitors), recognised sole practices or alternative business structures (ABSs) (characterised by the involvement of non-lawyer owners and/or managers)•individuals for:◦admission as solicitors◦approval as managers, owners or compliance officers of firmsRisk-based authorisationThe SRA is measured by the Legal Services Board (LSB) on its performance in delivering the following regulatory objectives:•protecting and promoting the public interest•supporting...
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Letter recommending insurance—demands and needs—law firms  We have reached a stage in your matter where we believe it would be in your best interests to buy [insert type of insurance]. We have suggested you buy the insurance from [state name of insurance provider to whom you have introduced the client for insurance or who has given you delegated authority to issue a policy]. This is something we have already discussed and you have agreed that we will [state what you will do to arrange the insurance, eg complete and submit a proposal form on your behalf or issue the policy under delegated authority]. You have consented to us disclosing relevant personal data and information to [state name of insurance provider] for this purpose. Fees, charges and commission Insurance premium The [insert type of insurance] insurance policy costs £[insert amount or where it is not possible to give a specific amount, the basis for the calculation of the premium]. This is called the 'insurance premium'. [Explain what you...
Letter to complainant—written response—deadlock or final letter [Insert complainant’s name] [Insert complainant’s contact address] Our ref: [insert complaint reference number] Dear [insert complainant’s name] I am writing to confirm I have concluded the investigation of your complaint that I received on [insert date complaint received]. 1 Your complaint The specific issues of your complaint were: [insert details] The investigations I undertook were: [insert details] 2 Our decision Based on these investigations I have concluded that: [insert details] 3 [ Remedy The remedies I think are appropriate are: [insert details] Please contact me by [insert date] to confirm whether you accept my proposed remedies. If you accept my proposed remedies I will ensure [insert details].] 4 Complaining to the Legal Ombudsman [We have been unable to settle your complaint using our internal complaints process. You may have a right to complain to the Legal Ombudsman OR If you are not satisfied with our consideration of your complaint you may be able to ask the Legal Ombudsman to consider...
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What are the sanctions in English law and arbitration for a party that has destroyed documentary evidence? Sanctions under English law Disclosure under CPR 31—preservation of documents Documents that a party intends to rely on in litigation should be preserved as soon as litigation is contemplated. CPR PD 31B, para 7 expressly requires practitioners to advise their clients of the need to preserve disclosable documents as soon as litigation is contemplated. This obligation encompasses past, present and future information. In relation to the preservation of electronically stored information it is particularly important to ensure that nothing is altered, deleted, lost or destroyed. For more information, see Practice Note: Disclosure—preserving documents. If a party fails adequately to preserve disclosable information, it may face satellite litigation regarding the documents in question. The court may order the party to provide an explanation why documents have not been preserved (Glaxo Wellcome UK Ltd v Sandoz Ltd). If the court considers it appropriate, it may draw adverse inferences against a party which...
When a defendant has lost, mislaid and/or destroyed evidence, how might the court be expected to respond? Requirement to preserve disclosable documents Under the Pre-Action Protocol for Personal Injury Claims , para 7.1.4, a defendant is under a duty to preserve documents including CCTV. If the documents are destroyed, this could be an abuse of the court process. Where there has been non-compliance with a specific pre-action protocol or the Practice Direction Pre-action Conduct and Protocols, para 15, the court may apply sanctions, eg an order that the defaulting party pay the costs, or part of the costs, of the other party—see Chapman v Tameside Hospital NHS Foundation Trust. For further guidance, see Practice Note: Non-compliance with pre-action provisions. CPR PD 31B, para 7 expressly requires a client to be advised to preserve disclosable documents as soon as you have been instructed to deal with a dispute where the claim has, or is likely to be, allocated to the multi-track (for the purposes of this Q&A,...
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This week's edition of Practice Compliance weekly highlights includes: the new Practice Compliance forecast, the latest sanctions news, key takeaways from the ICO’s final anonymisation guidance, revised SRA guidance on race equality in law firms and analysis of the UK’s approach to modern slavery.
Our new Practice Compliance forecast (as at 15 April 2025) is now live. This month we report on items including the Serious Fraud Office’s new business plan, the upcoming SRA diversity data reporting exercise, and current consultations, including one from the Law Society on practising certificate fees .
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