Toby Everden - 7157617

In practical terms, a section 43/99 order bars the named person from working as an employee of an SRA-regulated practice, or for a sole practitioner, in connection with their legal practice, unless the SRA has granted prior written permission. For compliance and HR teams the signal is narrow but operationally important. It is a pre-employment and ongoing-screening control, not a market-wide policy change.

Firms that fail to screen incoming staff against the SRA register risk a regulatory breach by engaging a restricted individual without permission, and can expect scrutiny over onboarding controls, references and vetting files. Financial services firms that use external law firms, or that second staff into legal functions, should treat the register as one leg of third-party and personnel due diligence. Recommended action: refresh onboarding and annual attestation checks to include solicitor-check screening for all non-qualified legal staff and contractors; document the screening trail; escalate to your COLP/MLRO where a hit appears; and where engagement is intended, apply to the SRA for permission before any work commences.

No new obligations arise from this entry itself, but it is a useful test case for whether your screening process would have caught it.