Supervision 2019—law firms

The following Practice Compliance practice note provides comprehensive and up to date legal information covering:

  • Supervision 2019—law firms
  • Comparison to the SRA 2011 regime
  • SRA and other requirements
  • SRA Codes, rules and regulations
  • Lexcel and other guidance
  • Management control
  • Service and competence
  • Information requirements
  • Additional Lexcel requirements
  • File reviews
  • More...

Supervision 2019—law firms

The SRA's core regulatory requirements in relation to supervision are found in the two Codes of Conduct (the SRA Code for Solicitors 2019 and the SRA Code for Firms 2019), which should be read in the context of the SRA Principles 2019. Requirements can also be found in the SRA Authorisation of Firms Rules 2019, SRA Education, Training and Assessment Provider Relations 2019, SRA Transparency Rules, and SRA Authorisation of Individuals Regulations 2019.

Comparison to the SRA 2011 regime

The requirements in the 2019 Codes represent the bare bones of those in the 2011 Code.

You will see in Practice Note: Supervision—SRA 2011 regime and SRA 2019 regime compared, however, that the pared-down requirements in the 2019 Codes do not represent a relaxation of the SRA’s expectations on supervision. Generally, the omitted items in the Codes can be mapped across to one or more obligation in the 2019 Principles, or remain requirements elsewhere in the SRA regime.

SRA and other requirements

Cumulatively, SRA and other regulatory requirements in relation to supervision cover seven themes:

  1. management control

  2. service and competence

  3. information requirements

  4. additional Lexcel requirements

  5. file reviews

  6. education and training, and

  7. supervision of registered foreign lawyers (RFLs)

SRA Codes, rules and regulations

Paragraphs 3.1 to 3.6 of the SRA Code for Solicitors 2019 and paragraphs 4.1 to 4.4 of the SRA Code for Firms 2019 are dedicated to specific requirements

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