Rule 5 of Solicitors Regulation Authority (SRA)

Law

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
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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) Hindus 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).
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.
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