SRA Standards and Regulations
The SRA Principles, Codes of Conduct, Accounts Rules and firm authorisation, transparency and indemnity rules for solicitors and law firms in England and Wales.
- Issued by
- Solicitors Regulation Authority
- Applies in
- United Kingdom
- Edition
- in force 25 November 2019, as amended
- Area
- Conduct & prudential
What an assessor reads first.
The headline requirements in Amoreg’s catalogue, in the issuer’s own numbering where it has one. They are where a review starts, not a transcription of the text.
- PrinciplesUphold the seven SRA Principles, including integrity, independence and clients' best interestsPrinciples
- CCF 2Compliance and business systems: governance, supervision, risk management and recordsGovernance
- CCF 3Cooperation and accountability: prompt reporting and notifications to the SRAAccountability
- CCF 6Conflicts of interest and client confidentiality managed across the firmConflicts & confidentiality
- CCF 9COLP and COFA appointed, approved and able to discharge their dutiesCompliance officers
- ARAccounts Rules: client money kept separate, reconciled and reported onClient money
- TRTransparency Rules: prices, services, complaints and regulatory status publishedTransparency
- IIRProfessional indemnity insurance meeting the Minimum Terms and ConditionsInsurance
How Amoreg keeps you on it.
Enable the SRA Standards and Regulations and add Solicitors Regulation Authority’s pages as a monitor of your own. Every publication it records keeps its source, stage and date.
Inspector reads your policies against these 8 requirements every week and opens a finding wherever one falls short, citing the rule and drafting the fix. A person decides what is applied.
Each week
- Read Solicitors Regulation Authority’s pages
- Check the library against 8 requirements
- Open findings with drafted fixes
- Wait for a person to decide
Policy does not yet set out: uphold the seven SRA Principles, including integrity, independence and clients' best interests
- Rule
- SRA Standards and Regulations, Principles
- Area
- Principles
- Proposed by
- Inspector
- Decided by
- A named person, once reviewed
The same ground, elsewhere.
- MiFID II / MiFIRInvestor protection, product governance, transparency and transaction reporting for investment firms.European Union · 6 controls
- Central Bank of Ireland — Individual Accountability Framework & SEARSenior Executive Accountability Regime, conduct standards and enhanced fitness and probity.Ireland · 4 controls
- FINRA Rules for Broker-DealersFINRA conduct, supervision, AML, business continuity, customer account, reporting and account-transfer rules for member broker-dealers, including self-clearing carrying firms.United States · 9 controls
- SEC Regulation Best Interest & Form CRSBest-interest standard for broker-dealer recommendations to retail customers and the Form CRS relationship summary.United States · 7 controls
- SEC Broker-Dealer Financial Responsibility & Customer ProtectionSEC net capital, customer protection reserve and custody, books and records, financial reporting and early-warning rules for carrying broker-dealers, with SIPA membership and SIPC disclosure.United States · 8 controls
- SEC & FINRA Trading, Best Execution & Market AccessRegulation SHO short-sale rules, Regulation NMS execution and routing disclosure, market access controls, best execution, Consolidated Audit Trail reporting and trade confirmations for broker-dealers.United States · 8 controls
Also in United Kingdom
- UK Money Laundering Regulations 2017The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017.United Kingdom · 8 controls
- JMLSG GuidanceHM Treasury-approved guidance the courts must consider — the practical standard for UK financial sector AML.United Kingdom · 6 controls
- Proceeds of Crime Act 2002 (Part 7)The money laundering offences, the regulated-sector duty to report, and the DAML consent regime.United Kingdom · 4 controls
- UK Sanctions Regime (SAMLA 2018 / OFSI)The Sanctions and Anti-Money Laundering Act 2018 regulations and OFSI reporting, licensing and enforcement expectations.United Kingdom · 5 controls
- Legal Sector Affinity Group AML GuidanceHM Treasury-approved guidance for law firms and independent legal professionals under the MLR 2017.United Kingdom · 5 controls
- CCAB AML Guidance for the Accountancy SectorAMLGAS — the approved guidance for accountants, auditors, tax advisers and insolvency practitioners.United Kingdom · 5 controls
Questions
Does Amoreg watch for changes to the SRA Standards and Regulations?
Enable it and add the issuer’s pages as a monitor of your own. Every publication the Monitor records keeps its source, stage and date.
Can Amoreg check our policies against the SRA Standards and Regulations?
Yes. Inspector reads your library against its requirements every week and opens a finding, with the rule it cites and a proposed fix, wherever a policy falls short. A person decides what is applied.
Which edition does Amoreg use?
The catalogue records in force 25 November 2019, as amended. Editions were last verified in August 2026, and the Monitor records new publications as they appear.