Solicitors Regulation Authority Character and Suitability Assessment Regulatory, Professional and Behavioural History Syllabus

Regulatory, Professional and Behavioural History syllabus — full chapter and topic list

Expand any chapter to see its topics and sub-topics. This is the whole examinable outline for Regulatory, Professional and Behavioural History in Solicitors Regulation Authority Character and Suitability Assessment, not a summary of it.

1. 1

   Findings by Other Regulators and Bodies

   4 topics

   • Adverse findings by professional or regulatory bodies
     • Removal, suspension or striking off from another profession
     • Conditions imposed by other regulators
   • Findings by courts in regulatory or disciplinary contexts
     • Findings of contempt of court
     • Adverse credibility findings by tribunals or courts
   • Refusal of authorisation by another regulator
   • Membership withdrawn from professional or trade bodies
2. 2

   Conduct in Education and Employment

   4 topics

   • Disciplinary findings during education or training
     • University or college disciplinary outcomes
     • Misconduct during periods of qualifying work experience
   • Dismissal or termination for misconduct
     • Gross misconduct dismissals
     • Resignation in the face of disciplinary action
   • Findings of harassment, bullying or discrimination
     • Behaviour in the workplace
     • Relevance of Equality Act protected characteristics
   • Adverse references and patterns of behaviour
3. 3

   Behaviour, Conduct and Personal Circumstances

   4 topics

   • Behaviour evidencing unsuitability
     • Dishonest, violent or threatening behaviour
     • Behaviour demonstrating discrimination or harassment
   • Online and social media conduct
     • Offensive or abusive online behaviour
   • Failure to cooperate or comply with the SRA
     • Providing false or misleading information
     • Failure to disclose relevant matters
   • Association and influence by others
     • Being subject to undue influence or control

Regulatory, Professional and Behavioural History flashcards for Solicitors Regulation Authority Character and Suitability Assessment

19 of 50 cards from the Regulatory, Professional and Behavioural History deck — real questions with worked answers.

1. What is the purpose of the SRA's Character and Suitability assessment?

   To assess whether an applicant for admission as a solicitor (or for authorisation) is of the proper character and suitability required to be entrusted with the duties and responsibilities of the role, protecting the public and maintaining public trust in the profession.

2. What are the two SRA principles most directly engaged by character and suitability concerns?

   The principles requiring solicitors to act in a way that upholds the constitutional principle of the rule of law and the proper administration of justice, and to act in a way that upholds public trust and confidence in the solicitors' profession and in legal services provided by authorised persons (acting with integrity and honesty).

3. Under the SRA's framework, what is the difference between a 'most serious' matter and a 'serious' matter in character and suitability?

   'Most serious' matters (e.g. dishonesty, serious criminal offences) are very likely to result in refusal absent exceptional circumstances; 'serious' matters carry significant weight and require evidence to rebut the concern but allow more scope for mitigating factors to be considered.

4. What is an 'adverse finding' by a professional or regulatory body in the SRA context?

   A determination by another professional or regulatory body that a person has breached its rules, behaved improperly, or is unfit, which the SRA treats as relevant evidence of character and suitability.

5. Why does the SRA treat an adverse finding by another regulator as relevant even if it occurred in a non-legal profession?

   Because character and integrity are profession-neutral; misconduct demonstrating dishonesty, lack of integrity or unfitness in any regulated context bears directly on whether the person can be trusted with a solicitor's responsibilities.

6. Must an applicant disclose an adverse finding by a regulatory body even if no sanction was ultimately imposed?

   Yes; the SRA requires disclosure of the finding itself (the determination of wrongdoing) regardless of whether a penalty followed, because the finding evidences the underlying conduct.

7. How does the SRA weigh a finding made by a court in a regulatory or disciplinary context?

   It is treated as strong, often conclusive, evidence of the facts found, given the court's higher standard of fact-finding, and the SRA will generally not go behind the court's findings.

8. Give examples of court findings in disciplinary/regulatory contexts that are relevant to suitability.

   Findings of contempt of court, findings of fraud or dishonesty in civil proceedings, adverse credibility findings against a witness, disqualification as a company director, and findings of breach of fiduciary duty.

9. Why is a finding of dishonesty by a court considered a 'most serious' matter for suitability?

   Because honesty and integrity are fundamental to the solicitor's role; a judicial finding of dishonesty directly undermines public trust and is very likely to lead to refusal absent exceptional circumstances.

10. What does 'refusal of authorisation by another regulator' mean in the suitability assessment?

    Where another regulatory body has declined to admit, license or authorise the person to practise in a regulated activity, which the SRA treats as relevant evidence that the person may not meet suitability standards.

11. If another regulator refused authorisation, what will the SRA examine?

    The reasons for the refusal and the underlying conduct or concern, not merely the fact of refusal, to assess whether the same concern affects suitability to be a solicitor.

12. Does refusal of authorisation by another regulator automatically bar admission as a solicitor?

    No; it is relevant evidence the SRA must weigh, but the SRA makes its own assessment based on the underlying reasons and any mitigation, rather than being bound by the other regulator's decision.

13. What is the suitability significance of having membership withdrawn from a professional or trade body?

    Withdrawal (e.g. expulsion or being struck off) signals that another body judged the person's conduct or standards to fall below those required for membership, which is evidence relevant to character and integrity.

14. Distinguish voluntary resignation from a professional body from withdrawal of membership for the SRA's purposes.

    Withdrawal/expulsion by the body following misconduct is an adverse finding to be weighed; voluntary resignation may be neutral unless it was made to avoid disciplinary action, in which case the underlying conduct remains relevant.

15. Why must an applicant disclose having been expelled from a trade body even if the body is unregulated?

    Because the underlying conduct leading to expulsion (e.g. dishonesty, breach of standards) is relevant evidence of character regardless of whether the body is a statutory regulator.

16. What types of disciplinary findings during education or training are relevant to suitability?

    Academic misconduct such as plagiarism, cheating in exams, collusion, fabrication of results, and breaches of a university or training provider's code of conduct.

17. Why does the SRA treat plagiarism or exam cheating as a serious suitability concern?

    Because such conduct involves dishonesty or lack of integrity, qualities directly relevant to whether the person can be trusted to act honestly as a solicitor.

18. How might the SRA view a disciplinary finding for academic misconduct that occurred several years ago when the applicant was young?

    Age at the time, remoteness in time, insight, and subsequent good conduct are mitigating factors the SRA will weigh, but dishonesty remains a serious matter requiring strong evidence of rehabilitation.

19. What does the SRA mean by 'dismissal or termination for misconduct' as a suitability factor?

    Where an employer ended the person's employment because of misconduct (e.g. dishonesty, gross misconduct, breach of trust), which evidences behaviour relevant to character and suitability.

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