- Status
- Amended (in force with amendments)
- Penalty ceiling
- Prosecution 3 of 16 obligations carry a fine up to £1,000. 2 carry different penalties and 11 have no criminal penalty — flagged in the list below.
Does it bind you?
Business-side roles with duties under this instrument.
Plus 6 duties on the regulator, Crown ministers and public bodies — folded into the section list below.
Other Acts binding the same actors
If a role above is yours, these are the other instruments that most often bind it.
Any Person — also bound by 2340 other Acts
Employee — also bound by 189 other Acts
What it requires
Sections creating concrete business duties or carrying penalties, grouped as the instrument is structured. Titles link to the source text — blue means you’re leaving for legislation.gov.uk.
Solicitors
0 of 12 sections shown12 other sections in this Part — procedural and definitional
Licensed Conveyancing
4 of 35 sections shown- Notify the Council of changes to your business address within 14 daysAny Person
Other duties (1) — Crown / regulator
- Council must make rules for professional indemnity and compensation for licensed conveyancersStatutory regulator
Other duties (1) — Crown / regulator
- Council must make rules on accounts and client money for licensed conveyancersStatutory regulator
- Account for interest on client money in prescribed casesAny Person
31 other sections in this Part — procedural and definitional
Legal Aid
0 of 7 sections shown7 other sections in this Part — procedural and definitional
The Supreme Court and County Courts
0 of 10 sections shown10 other sections in this Part — procedural and definitional
Miscellaneous and Supplementary
0 of 13 sections shown13 other sections in this Part — procedural and definitional
Schedules
12 of 132 shown- Pretend to be a solicitor without qualificationsAny Person
Fine up to £2,500
- Breach penal provisions as a body corporateAny Person
Fine up to £2,500
- Disqualified person seeking interest in recognised body without disclosureAny Person
Fine up to £1,000
- Comply with all requirements under the Administration of Justice Act 1985 and SRA rulesEmployee
- Do not let disqualified solicitors become managers or owners without SRA permissionEmployee
Other duties (1) — Crown / regulator
- Council must keep proper accounts, appoint auditors, and publish audited accountsStatutory regulator
Other duties (1) — Crown / regulator
- Council must make fair-process rules for disciplinary hearingsStatutory regulator
Other duties (1) — Crown / regulator
- Discipline and Appeals Committee may compel witnesses and documentsTribunal / Court
- Pay costs incurred by the Council for Schedule 5 purposesAny Person
- Pay out client money after Council prohibition noticeAny Person
Fine up to £1,000
- Fail to produce documents when required by the CouncilAny Person
Fine up to £1,000
Other duties (1) — Crown / regulator
- SRA Investigating Committee must investigate allegations against recognised bodiesStatutory regulator
120 other schedules
Help complying
Guvnor’s practical routes through this instrument.
Ongoing compliance for law firms
Learning path for maintaining regulatory compliance at an authorised law firm: annual renewal cycle, COLP and COFA reporting, client account management, AML …
Start a law firm in England and Wales
End-to-end learning path for setting up a law firm: choosing entity type, SRA authorisation, appointing COLP and COFA, professional indemnity insurance, client …
Law firm compliance quick check
Rapid compliance audit for law firms: SRA authorisation, practising certificates, PII, client accounts, AML, complaints procedure, price transparency, and the annual declaration.
Respond to an SRA investigation
Problem path for law firms facing SRA investigation: immediate steps, cooperation obligations, instructing specialist regulatory defence, responding to proposed conditions or fines, …
AML compliance for legal services
Learning path for law firms implementing anti-money laundering compliance: firm-wide risk assessment, client due diligence, source of funds verification, legal professional privilege …
Get SRA authorisation for your law firm
How to apply to the Solicitors Regulation Authority for authorisation to set up a law firm in England and Wales. Covers choosing …
4 more guides that reference this instrument
Duty extraction and severity labels are Guvnor’s analysis of the instrument, not the instrument itself. Always verify against the linked source text.