Authorisation & approval

Authorisation & approval guidance:

This Practice Note discusses the approval process all prospective compliance officers for finance and administration (COFAs) must go through to be approved by the...

Practice Note

This Practice Note discusses the approval process all prospective compliance officers for finance and administration (COFAs) must go through to be approved by the...

Practice Note

This Practice Note explains the duties and qualifying requirements for a Compliance officer for finance and administration (COFA). The COFA is responsible for ensuring...

Practice Note

This Practice Note explains the duties and qualifying requirements for a Compliance officer for finance and administration (COFA). The COFA is responsible for ensuring...

Practice Note

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...

Practice Note

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...

Practice Note

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...

Practice Note

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...

Practice Note

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...

Practice Note

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...

Practice Note

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...

Practice Note

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....

Practice Note

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. The term...

Practice Note

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...

Practice Note

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...

Practice Note

The SRA has three core operational functions: authorisation, supervision and enforcement. The authorisation function deals with applications by: • firms...

Practice Note

The SRA has three core operational functions: authorisation, supervision and enforcement. The authorisation function deals with applications by: • firms (including sole...

Practice Note

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...

Practice Note

The Solicitors Regulation Authority (SRA) operates a registration regime for foreign lawyers. Once registered, a registered foreign lawyer (RFL) is able to become a...

Practice Note
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