Rule 5 of Solicitors Regulation Authority (SRA)

Learn about Rule 5 of Solicitors Regulation Authority (SRA) and its implications in the English legal system. Understand the role of SRA and Solicitors Disciplinary Tribunal (SDT) in regulating solicitors. Explore the rules and regulations provided by SRA Standards and Regulations, 2019. Discover the procedure for making a referral to SDT and the requirements for disciplinary action. Gain insights into the case of Mr. A and the application for seeking justice through SDT.

Law

Table of Contents
TOPIC- Rule 5 of Solicitors Regulation Authority (SRA)..............................................................3
REFERENCES................................................................................................................................7

TOPIC- Rule 5 of Solicitors Regulation Authority (SRA)
English legal system has developed and evolved from the time it has originated. Many
changes have occurred which made it stronger. It was also used as a foundation by other
countries to form their legal systems (Cownie, Bradney and Burton, 2013). The legal provisions
in English legal system are applied in the provinces of United Kingdom. In other words, rights
and acts of individuals as well as organisations are governed by legislations enacted under
English legal system. There are two branches viz. Criminal and civil which states statues for civil
activities and criminal offences respectively. Its scope is wide enough to cover every possible
aspect. Furthermore, there are different punishments and find which are imposed on the person
committing or breaching the laws.
In addition to this, there is a set structure of judiciary in which courts have been
developed by considering their hierarchy. Appellate tribunal are also there which can be
approached for getting suitable decision in case where the party has been agreed with the original
judgement (Baker, 2019). There is an unwritten constitution for which different laws have been
passed for the written portion. Apart from this, there are different types of sources through which
information about the lock can be obtained and these have been categorised into primary sources
which include case laws, legislations. Other is secondary sources which cover legal
encyclopaedias, textbooks, parliamentary and non parliamentary publications and many more.
English legal system extends to wide areas which comprises of Solicitors Regulation
Authority and Solicitors Disciplinary Tribunal. SRA is the regulatory body for solicitors in
England and Wales. It is consists of more than 125000 solicitors which are governed by the rules
and regulations provided by SRA. It was formed in January 2007 by Legal Services Act, 2007. It
is an independent body d which has the work of regulating and representation in front of the
government. It provides strategic direction and play services are being provided to private as
well as public sector organisations (French, 2016).
Solicitors Disciplinary Tribunal (SDT) is an independent statutory tribunal appointed by
the president of high Court to consider complaints of misconduct against solicitors. the number
of members are limited to 20 who are solicitors. Also, 10 members are called lay members. It sits
in divisions of three comprising to solicitor members and one lay member. According to the
procedure of this Tribunal, the prima facie element of a complain shows that any misconduct has
been done by solicitor, then and in enquiry with oral evidence should be conducted by the

Tribunal in public. The procedures are regulated by Solicitors Act, 1954 to 2011 and there are
Solicitors Disciplinary Tribunal Rules, 2017 which are also applicable (John, 2014).
According to Rule 5 of SRA Standards and Regulations, 2019 an authorised decision
maker may decide to disqualify a person under rule 3.1 (c) In these cases where 100%
satisfaction has been gained that it is undesirable for the person to engage in the relevant activity
or activities. The individuals under rule 3.1 (c) includes disqualification of a person from
carrying activities as HOLP or HOPA, manager or employee of a body which has licence by
complying with LSA in accordance with section 99 of LSA. In the rules provided by SRA
Standards and Regulations, 2019 every person who is under investigation shall be provided in a
pot unity to present about the misconduct of person (Nally, 2017).
Form 1 Rule 5(1)
FORM OF APPLICATION in respect of existing and former Solicitors, Registered Foreign
Lawyers, Registered European Lawyers, and Incorporated Solicitors Practices
Number 005312
IN THE MATTER of the Solicitors Act 1974 (as amended)
Solicitors Regulation Authority Applicant
Mr. A Respondent
I Mr. James of Solicitors Regulation Authority APPLY [on behalf of (1) ] that (2) of be
required to answer the allegations contained in the Statement which accompanies this
Application and that such Order be made as the Tribunal shall think right.
SIGNED by the Applicant …...............................................
Whose address for service is:
278, Dunstable Rd. Luton, London.
Dated: 02/12/2019
SOLICITORS DISCIPLINARY TRIBUNAL
IN THE MATTER OF THE SOLICITORS ACT 1974 CASE No 005312

BETWEEN:
SOLICITORS REGULATION AUTHORITY Applicant
AND
Mr. A Respondent
Before:
Solicitors Disciplinary Tribunal (SDT)
1. Allegations against the Respondent made by the Solicitors Regulation Authority (“SRA”) are
that whilst an employee of the Firm he:
All such allegations were made and created for the betterment and made it beneficiary in nature
so that the following principles can be used for solving and giving claims in nature.
1.1 From June 2018 until February 2019, the respondent failed to notify the firm about being
absent from the seminars or examination sessions for obtaining Certificate of Proficiency in
Insolvency (CPI) in June, 2018 even if the firm made the payment for tuition, examination and
professional student member fee. It is assumed that, respondent has contravened one or all of
the below mentioned:
a). Principle 2 of SRA Standards and Regulations, 2019
b). Principle 4 of the Principles
c). Principle 5 of the Principles.
1.2. On many instances they have had tried to make several changes which were required and
made a particular intervention to become accommodated in reason. Several incidents which
occurred caused issues which were present in the principals mentioned below. The main reason
here is to get On numerous occasions between September 2018 and February 2019, the
Respondent represented to senior colleagues at the firm, his employer, that he has attended the
CPI course and had both entered for and passed the CPI examination. The Respondent thereby
breached any, or all, of:
a) Principles 2 of the Principles;
b) Principle 4 of the Principles;
1.3 In January 2019, the Respondent produced a professional biography for external and
internal marketing purposes knowing that it contained false and /or misleading information
about his skills and experience and that, if published, the biography would mislead the public as
to his skills and expertise. The respondent thereby breach any, or all, of:
a) Principle 2 of the Principles;
b) Principle 4 of the Principles;
c) Principle 5 of the Principles;

Furthermore, SRA holds power to take disciplinary action where the person mentioned in
rule 5.1 fails to provide a valid explanation. Also there is the time period mentioned which years
minimum 14 calendars days from the request for an explanation is receipt and if any relation is
not received within the prescribed period then, SRA has power to take any decision in the
absence of an explanation (Rule 5 of SR,. 2017).
Rule 10 of SRA Disciplinary Procedure Rules 2011, provides that for making a referral to SDT,
SRA is required to satisfy the following:
 There is sufficient evidence to prove a realistic prospect of success
 Allegation is considerable serious to warrant a sanction which the SRA does not have
power to impose, and
 It is in the public interest to make the referral (Rule 10 of SDT Representation, 2019).
According to the given case, Mrs. B has the email received from Mr. A which states
offensive comments about colleagues in respect of their gender, race, religion, believes and
sexual orientation. It is a contravention of the rules provided by the above mentioned
independent bodies. Apart from this, evidence means anything which can be used for proving the
case. Earlier, emails work considered into the category of secondary evidence, but now some
major amendments have been made in the Evidence Act. The new changes explain that is there is
no other evidence, and then emails can be termed as primary evidence on the basis of which
allegations can be proved. Also, it is treated valid just like any other evidence in the form of
documents etc.
Since it is clearly mentioned in the fundamentals, that any matter which is related to
solicitors misconduct should be directed to Solicitors Disciplinary Tribunal for taking an
appropriate decision. In this case, Mr. A being a solicitor has committed offence by making
comments which are inappropriate and against rules and laws. Therefore, an application for
seeking justice shall be forwarded to SDT so that is speedy proceedings can be done for getting
right judgement. Also, it would be appropriate to remove Mr. A as given in the rules provided by
SRA Standards and Regulations, 2019.

REFERENCES
Books and Journals:
Cownie, F., Bradney, A. and Burton, M., 2013. English Legal System in Context 6e. Oxford
University Press.
Baker, J., 2019. Introduction to English Legal History. Oxford University Press.
French, H., 2016. Legal and judicial sources. In Understanding early modern primary
sources (pp. 51-73). Routledge.
John, G., 2014. INDEPENDENT COMPARATIVE CASE REVIEW THE SOLICITORS
REGULATION AUTHORITY.
Nally, E., 2017. Disciplinary action against solicitors and the role of the Solicitors Disciplinary
Tribunal. Medico-Legal Journal. 85(2). pp.60-69.
Online
Rule 5 of SRA. 2017. [Online]. Available through :<
https://www.sra.org.uk/solicitors/handbook/introdisc/discproc/part2/rule5/>.
Rule 10 of SDT Representation. 2019. [Online]. Available through :<
https://www.sra.org.uk/solicitors/handbook/introdisc/discproc/part2/rule5/>.