Dealing with the Solicitors Regulation Authority
Produced in partnership with Iain Miller of Kingsley Napley
Dealing with the Solicitors Regulation Authority

The following Risk & Compliance guidance note Produced in partnership with Iain Miller of Kingsley Napley provides comprehensive and up to date legal information covering:

  • Dealing with the Solicitors Regulation Authority
  • The SRA's statutory powers
  • The SRA's requirements
  • Statutory and regulatory objectives
  • SRA compliance checks/visits
  • Enforcement Strategy
  • What is most likely to attract the SRA's attention?
  • What to do if the SRA investigates
  • How to respond if you find you are on the wrong side of the SRA.
  • Common breaches
  • more

This Practice Note covers the role, objectives, powers and enforcement strategy of the Solicitors Regulation Authority (SRA). It sets out the areas most likely to attract the SRA’s attention, common breaches and considers when and how to self-report to the SRA and what to do if the SRA starts an investigation.

The SRA is the regulatory arm of the Law Society of England and Wales (Law Society) and exercises the Law Society's powers of regulation and discipline in relation to solicitors and law firms. Its principal statutory powers are contained in the Solicitors Act 1974, Administration of Justice Act 1985 and the Legal Services Act 2007 (LSA 2007).

LSA 2007 provides for the oversight regulator, the Legal Services Board, to ensure that so far as is reasonably practical the regulatory functions of the SRA are exercised independently of the Law Society.

The SRA's statutory powers

The SRA's main statutory powers can be briefly described as follows:

Affected persons and entities Statutory powers
Solicitors Prescribe the academic and work based requirements of qualification and to determine whether someone seeking qualification passes its suitability test
Prescribe rules for the admission and regulation of lawyers qualified in other jurisdictions including EU