25 November 2019
These case studies should be read in conjunction with the guidance on Principle 2 - public trust and confidence.
25 November 2019
To highlight areas of concern and the professional obligations of those responsible for the preparation and drafting of wills.
25 November 2019
To help you understand our approach towards investigating breaches of our regulatory requirements which relate to the same or similar underlying facts as concurrent civil, regulatory or criminal proceedings.
25 November 2019
Understand how and when we may bring criminal proceedings against those we regulate.
25 November 2019
To help you understand the overarching principles that guide us when we make regulatory decisions and the criteria we apply.
25 November 2019
For those applying to us to authorise their business as an SRA regulated recognised sole practice, recognised body or licensed body.
25 November 2019
To help you understand our approach to recovering money due to us as a result of regulatory action and litigation.
25 November 2019
To help you understand when and how we recover costs and payments from third parties following an intervention.
25 November 2019
Understand how we gather evidence, the investigatory powers we have to gather evidence and how we can use those powers.
25 November 2019
To help you understand how we make a first instance decision and how we deal with an application for an internal review of that decision.
25 November 2019
To help you understand when we might agree to a regulatory and disciplinary outcome by way of a Regulatory Settlement Agreement.
25 November 2019
Understand how we approach the requirement to act with honesty found in Principle 4 and the test we apply when deciding if a person has acted dishonestly.
25 November 2019
We explain how we approach the decision to intervene into a solicitor’s firm or practice.
25 November 2019
To help you understand the requirements for admission as a solicitor.
25 November 2019
An overview of the approach we will adopt in determining whether a regulated person has paid or received a referral fee contrary to section 56 of LASPO.
25 November 2019
To help you understand your obligations in relation to conflicts of interest and keeping clients’ information confidential.
25 November 2019
An oversight of how we investigate allegations of a breach of our Standards and Regulations.
25 November 2019
This Warning Notice reminds you of your legal obligations to make sure that you do not facilitate money laundering or terrorist financing and understand your obligations under the money laundering regulations.
25 November 2019
Understand the approach we take when deciding whether to publish regulatory and disciplinary decisions on our website.
25 November 2019
If you wish to set up a business providing legal services, understand whether the business needs to be authorised by us and how this is done.
