This Practice Note discusses the approval process all prospective compliance officers for finance and administration (COFAs) must go through to be approved by the...
This Practice Note discusses the approval process all prospective compliance officers for finance and administration (COFAs) must go through to be approved by the...
This Practice Note explains the duties and qualifying requirements for a Compliance officer for finance and administration (COFA). The COFA is responsible for ensuring...
This Practice Note explains the duties and qualifying requirements for a Compliance officer for finance and administration (COFA). The COFA is responsible for ensuring...
This Practice Note discusses the approval process a prospective compliance officer for legal practice (COLP) must go through to satisfy the SRA's Suitability Test and get...
This Practice Note discusses the approval process a prospective compliance officer for legal practice (COLP) must go through to satisfy the SRA's Suitability Test and get...
The compliance officer for legal practice (COLP) sits at the heart of the firm's regulatory arrangements. This does not mean that the firm and its managers can abdicate...
The compliance officer for legal practice (COLP) sits at the heart of the firm's regulatory arrangements. This does not mean that the firm and its managers can abdicate...
This Practice Note provides guidance on the role and responsibility of compliance officers in law firms, ie the Compliance Officer for Legal Practice (COLP) and...
The SRA Standards and Regulations 2019, in force from 25 November 2019, introduce a new method of practising: the freelance solicitor. This Practice Note explains the...
STOP PRESS: The SRA Standards and Regulations (also known as the ‘StaRs’) are in force from 25 November 2019. They replace the SRA Handbook 2011. Key changes include...
A firm's owners must be approved by the Solicitors Regulation Authority (SRA). This does not, however, apply to all owners in the everyday sense of the word....
A firm's managers must be approved by the SRA. Solicitors and firms who are themselves authorised by the SRA benefit from deemed approval. All other managers...
A firm's managers must be approved by the SRA. Solicitors and firms who are themselves authorised by the SRA benefit from deemed approval. All other managers must follow...
The SRA has three core operational functions: authorisation, supervision and enforcement. The authorisation function deals with applications by: • firms...
The SRA has three core operational functions: authorisation, supervision and enforcement. The authorisation function deals with applications by: • firms (including sole...
The Establishment of Lawyers Directive 98/5/EC (Establishment Directive) gives members of certain legal professions in the EU, EEA and Switzerland the right to practise...
The Solicitors Regulation Authority (SRA) operates a registration regime for foreign lawyers. Once registered, a registered foreign lawyer (RFL) is able to become a...