The following Practice Compliance guidance note provides comprehensive and up to date legal information covering:
Supervision means the management of people and their work, and includes supervising fee earners and non-fee earning staff.
Proper supervision is a statutory and regulatory obligation.
Firms and individuals regulated by the SRA must comply with the SRA’s rules on supervision. These rules are peppered throughout the SRA Handbook.
Specific supervision requirements are scattered across the SRA Handbook. They relate to:
governance structure and reporting lines
persons qualified to supervise
reserved legal activities and immigration work
supervision of client matters
conflicts of interest and disclosure
You must have a clear and effective governance structure and reporting lines.
Every firm must have at least one person who is qualified to supervise.
be a practising lawyer
have been entitled to practise as a lawyer for at least 36 months within the last ten years, and
have completed training specified by the SRA for this purpose
Any period as a lawyer in another jurisdiction can be taken into account in satisfying the 36 months requirement.
The specified training is attendance or participation in any courses or learning programmes on management skills for at least 12 hours. They do not have to be CPD-accredited.
Waivers to both these requirements may be granted in individual cases.
The person qualified to supervise does not
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