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Advance Notification form - Solicitors Regulation Authority

Advance Notification form - Solicitors Regulation Authority 2025

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The document is an Advance Notification Form for notifying the SRA about new deemed approved solicitors, RELs, RFL owners, and managers within legal services bodies. It outlines the necessary sections to complete for different roles, including personal details, confirmation of meeting SRA Authorisation Rules criteria, and a declaration by an authorized individual regarding the accuracy of the information provided. The form must be submitted online via the firm's mySRA account.

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What is the rule 13.5 of the SRA?

They must (rule 13.5 of the Authorisation of Firms Rules): be a lawyer and a manager of the firm. not be a compliance officer of any other authorised firm, and. not be subject to a regulatory or disciplinary investigation, or adverse finding or decision of the SRA, the Tribunal or another regulatory body.

What is SRA Authorisation?

The SRA will deem a person to be fit and proper to be a manager or owner of an authorised body if the person is: a solicitor who holds a current practising certificate, an REL, RFL or an authorised body; or.

What is the rule 7 of the SRA accounts rules?

Rule 7 of our Accounts Rules says: You account to interest on any client money held by you on their behalf.

What is reportable to the SRA?

Serious concerns about the solvency of a firm (ie, employees have not been paid) Failing to act in the best of interests of a client, including the firm/solicitor acting for another client whose interests conflict or putting their own interests first. Failing to take steps needed to safeguard against money laundering.

What are the rules of conduct for SRA?

You do not mislead or attempt to mislead your clients, the court or others, either by your own acts or omissions or allowing or being complicit in the acts or omissions of others (including your client). You treat colleagues fairly and with respect. You do not bully or harass them or discriminate unfairly against them.

What is Regulation 7?

Regulation 7 provides guidance on materials and workmanship, i.e. the use of the appropriate materials for a construction and how those who are working on the building must behave in a workmanlike manner.

What is Regulation 7 of the SRA Authorisation?

Regulation 7: Determination of applications at any time, whether on grant of such an application or at the end of a period of suspension of a practising certificate or registration, or otherwise, impose such conditions on your certificate or registration as it thinks fit in ance with regulations 7.2 and 7.3.

Advance Notification form - Solicitors Regulation Authority 2025

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