Supervision—regulatory requirements
Supervision—regulatory requirements

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

  • Supervision—regulatory requirements
  • SRA Handbook
  • Lexcel
  • Responsibility for compliance
  • Consequences of non-compliance

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.

SRA Handbook

Specific supervision requirements are scattered across the SRA Handbook. They relate to:

  1. governance structure and reporting lines

  2. persons qualified to supervise

  3. reserved legal activities and immigration work

  4. supervision of client matters

  5. training

  6. conflicts of interest and disclosure

  7. trainees

  8. outsourcing

  9. data protection

Governance structure and reporting lines

You must have a clear and effective governance structure and reporting lines.

Person qualified to supervise

Every firm must have at least one person who is qualified to supervise.

They must:

  1. be a practising lawyer

  2. have been entitled to practise as a lawyer for at least 36 months within the last ten years, and

  3. 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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