Concise Professional Conduct & Regulation notes that cover every topic. Achieved 88% in the exam using these notes alone. Simplifies all relevant rules, FSMA and MAR. Very clear layout and step-by-step, simple processes.
PCR Notes
Professional Conduct
The conduct of solicitors is regulated by the Solicitors Regulation Authority (SRA),
specifically by the SRA Standards and Regulations 2019 (Standards and Regulations).
The SRA Principles
You must act:
1. In a way that upholds the constitutional principle of the rule of law and the proper
administration of justice
2. In a way that upholds public trust and confidence in the solicitors’ profession and in
legal services provided by authorised persons
3. With independence
4. With honesty
5. With integrity
6. In a way that encourages equality, diversity and inclusion
7. In the best interests of each client
Difference between honesty and integrity
• SRA’s guidance note -> integrity is wider than dishonesty
o It is possible to behave without integrity without being dishonest, e.g.
misleading, taking unfair advantage of, or causing distress to clients/third
parties
o Lack of integrity = wilful or reckless disregard of standards, rules, or ethics, an
indifference to the provisions or to the consequences of a breach
Conflict between the Principles
• If there is a conflict, the principles which safeguard public interest will avail over
those protecting client interests
• Inform your client if your duty to the court and other professional duties outweighs
your duty to them
Breach of the Principles
• SRA Enforcement Strategy
o Client’s may report a solicitor’s conduct to the SRA
o Factors which will aggravate or mitigate the behaviour are factors which will
affect the SRA’s view of the seriousness of the breach of conduct
o Non-compliance may lead to the SRA taking regulatory action against the
Authorised Individual
1
, The Codes of Conduct
The detail of the conduct, behaviour and responsibility required of solicitors and the
businesses in which they work are set out in two Codes of Conduct:
• SRA Code of Conduct for Solicitors, Regulated European Lawyers (RELs) and
Regulated Foreign Lawyers (RFLs) – CCS
o Authorised Individuals are personally accountable for compliance with the
CCS and for other regulatory requirements set by the SRA
o A failure to meet the standards or a serious breach of the SRA requirements
may result in regulatory action against the individual
• SRA Code of Conduct for Firms – CCF
o Sets out the standards and business controls expected of firms
o A serious failure to meet the standards or a serious breach of regulatory
requirements may lead to regulatory action against the firm or its
managers/compliance officers/employers
The SRA also enforces the requirements relating to referral fees set out in s.56 Legal Aid,
Sentencing and Punishment of Offenders Act 2012.
Definitions
• “You” in the CCS = solicitors, RELs (Registered European Lawyers) and RFLs
(Registered Foreign Lawyers), i.e. authorised individuals
• “You” in the CCF = a firm authorised by the SRA to provide legal services
• Client in the glossary = individual/company who you act for (former and future)
Client care, service and competence
• Before accepting instructions – identify your client (CCS 8.1/CCF 7.1(c))
o You must identify who you are acting for
o You must comply with the law and the Codes (including MLR) when deciding
to act for a potential client
• Accepting instructions
o You are free to decide whether or not to take on a particular client, provided
you do not unlawfully discriminate (CCS 1.1/CCF 1.1)
o CCS 1.1/CCF 1.1 - Authorised individual or firm must not accept instructions
when acting would involve you in a breach of law, CCS or CCF
§ E.g. CCS 6.1, 6.2 and 6.5 if there is a conflict of interest between you
and a client, or two or more clients
• Client care letters
o CCS 1.1/CCF 1.1 – you must treat your clients fairly
§ To comply with this, you should send out a client care letter setting
out the terms and conditions of service
• There is no prescribed form for client care letters
• CCS 8/CCF 7.1(c) -> but you must tell clients in writing that
they have a right to make a complaint (in practice, often done
in client care letter)
• No requirement for written t&c’s of the retainer
• SRA Guidance client care letter content checklist:
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