Professional Conduct and Regulation
The Legal Profession and Regulating the Profession
The Principles
The starting point for consideration of the SRA Code of Conduct is the 7 Principles.
WHERE PRINCIPLES CONFLICT: “Should the Principles come into conflict, those which
safeguard the wider public interest (such as the Para of law, and public confidence in a trustworthy
solicitors' profession and a safe and effective market for regulated legal services) take precedence
over an individual client's interests.”
The Principles
You act:
1. in a way that upholds the constitutional principle of the Para 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 authorized 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.
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, Regulators
SRA Legal Ombudsman Solicitor’s
Disciplinary Tribunal
Who can → The Legal Ombudsman Only certain types of clients: → SRA can refer.
bring a can refer to the SRA. → Individuals → Anybody, except
→ Any client if they → “Micro-enterprises” i.e. where SA 1974
claim? consider there has been enterprises with fewer than 10 provides otherwise,
a breach of the code. staff and a turnover or balance can refer without going
sheet value of less than £1 million. to the SRA first.
→ PR’s → However, where an
application is brought
without going to the
SRA first the Tribunal
may refer the matter to
the SRA.
When → Where there is a breach → Ordinarily must go through the → Do not need to go
can they of the code. firm’s complaints procedure through the SRA first.
first.
be → Firm has 8 weeks to resolve the
complain complaint this way.
ed to? → Complaints must be brought within
6 years or three years from when
the complainant should reasonably
have known there was cause for
complaint.
What May: May order the firm to: → Strike off a solicitor
powers → Make a finding about → Apologize → Suspend a solicitor.
the conduct and warn → Pay compensation (limited to → Impose an unlimited
do they the solicitor. £50,000). fine.
have? → Impose a fine or → Ensure and pay for the putting → Reprimand the
rebuke. right of any error or omission solicitor.
→ Control how the (limited to £50,000). → Require the payment
firm/regulated person → Take and pay for any specified by any party of costs
practices i.e. impose action in the interests of the or a contribution
conditions on or suspend complainant (limited to £50,000). towards costs.
their practicing → Pay the costs of the complainant
certificate. pursuing the complaint.
→ Refer the matter to the → Limit the lawyer’s fees.
SDT. → They DO NOT HAVE THE
→ Intervene into the POWER TO FINE.
practice e.g. close the
practice
→ Enter into agreements
with the firm as to their
future practice.
→ Revoke/suspend
authorization of the
firm/the solicitor.
Other ⮚ SRA’s powers extends to → Orders can be enforced through
non-solicitors employed the High Court and report may be
by the licensed published.
body/solicitor. → Claimant is entitled to reject the
Ombudsman’s determination and
sue in negligence.
→ LEO will inform the SRA if it finds
professional misconduct.
→ O1.10: Clients must be informed n
writing of their write to complain to
the LEO.
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, SRA Code of Conduct for Solicitors, RELs and RFLs 2019
1: Maintaining trust and acting fairly
1.1 You do not unfairly discriminate by allowing your personal views to affect your professional
relationships and the way in which you provide your services.
1.2 You do not abuse your position by taking unfair advantage of clients or others.
1.3 You perform all undertakings given by you, and do so within an agreed timescale or if no
timescale has been agreed then within a reasonable amount of time.
1.4 You do not mislead or attempt to mislead your clients, the court or others, either by your
own acts or omissions or allowing or being complicit in the acts or omissions of others
(including your client).
2: Dispute resolution and proceedings before courts, tribunals and inquiries
2.1 You do not misuse or tamper with evidence or attempt to do so.
2.2 You do not seek to influence the substance of evidence, including generating false
evidence or persuading witnesses to change their evidence.
2.3 You do not provide or offer to provide any benefit to witnesses dependent upon the nature
of their evidence or the outcome of the case.
2.4 You only make assertions or put forward statements, representations or submissions to
the court or others which are properly arguable.
2.5 You do not place yourself in contempt of court, and you comply with court orders which
place obligations on you.
2.6 You do not waste the court's time.
2.7 You draw the court's attention to relevant cases and statutory provisions, or procedural
irregularities of which you are aware, and which are likely to have a material effect on the
outcome of the proceedings.
3: Service and competence
3.1 You only act for clients on instructions from the client, or from someone properly authorised
to provide instructions on their behalf. If you have reason to suspect that the instructions do
not represent your client's wishes, you do not act unless you have satisfied yourself that
they do. However, in circumstances where you have legal authority to act notwithstanding
that it is not possible to obtain or ascertain the instructions of your client, then you are
subject to the overriding obligation to protect your client's best interests.
3.2 You ensure that the service you provide to clients is competent and delivered in a timely
manner.
3.3 You maintain your competence to carry out your role and keep your professional knowledge
and skills up to date.
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,3.4 You consider and take account of your client's attributes, needs and circumstances.
3.5 Where you supervise or manage others providing legal services:
(a) you remain accountable for the work carried out through them; and
(b) you effectively supervise work being done for clients.
3.6 You ensure that the individuals you manage are competent to carry out their role, and keep
their professional knowledge and skills, as well as understanding of their legal, ethical and
regulatory obligations, up to date.
4: Client money and assets
4.1 You properly account to clients for any financial benefit you receive as a result of their
instructions, except where they have agreed otherwise.
4.2 You safeguard money and assets entrusted to you by clients and others.
4.3 You do not personally hold client money save as permitted under regulation 10.2(b)(vii) of
the Authorisation of Individuals Regulations, unless you work in an authorised body, or in
an organisation of a kind prescribed under this Para on any terms that may be prescribed
accordingly.
5.1-5.3: Referrals, introductions and separate businesses
5.1 In respect of any referral of a client by you to another person, or of any third party who
introduces business to you or with whom you share your fees, you ensure that:
(a) clients are informed of any financial or other interest which you or your business or
employer has in referring the client to another person or which an introducer has in
referring the client to you;
(b) clients are informed of any fee sharing arrangement that is relevant to their matter;
(c) the fee sharing agreement is in writing;
(d) you do not receive payments relating to a referral or make payments to
an introducer in respect of clients who are the subject of criminal proceedings; and
(e) any client referred by an introducer has not been acquired in a way which would
breach the SRA's regulatory arrangements if the person acquiring the client were
regulated by the SRA.
5.2 Where it appears to the SRA that you have made or received a referral fee, the payment
will be treated as a referral fee unless you show that the payment was not made as such.
5.3 You only:
(a) refer, recommend or introduce a client to a separate business; or
(b) divide, or allow to be divided, a client's matter between you and a separate business;
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, where the client has given informed consent to your doing so.
5.4-5.6: Other business requirements
5.4 You must not be a manager, employee, member or interest holder of a business that:
(a) has a name which includes the word "solicitors"; or
(b) describes its work in a way that suggests it is a solicitors' firm;
unless it is an authorised body.
5.5 If you are a solicitor who holds a practising certificate, an REL or RFL, you must complete
and deliver to the SRA an annual return in the prescribed form.
5.6 If you are a solicitor or an REL carrying on reserved legal activities in a non-commercial
body, you must ensure that:
(a) the body takes out and maintains indemnity insurance; and
(b) this insurance provides adequate and appropriate cover in respect of the services
that you provide or have provided, whether or not they comprise reserved legal
activities, taking into account any alternative arrangements the body or
its clients may make.
6.1-6.2: Conflicts of interest
6.1 You do not act if there is an own interest conflict or a significant risk of such a conflict.
6.2 You do not act in relation to a matter or particular aspect of it if you have a conflict of
interest or a significant risk of such a conflict in relation to that matter or aspect of it, unless:
(a) the clients have a substantially common interest in relation to the matter or the
aspect of it, as appropriate; or
(b) the clients are competing for the same objective,
and the conditions below are met, namely that:
(i) all the clients have given informed consent, given or evidenced in writing, to you
acting;
(ii) where appropriate, you put in place effective safeguards to protect your clients'
confidential information; and
(iii) you are satisfied it is reasonable for you to act for all the clients.
6.3-6.5: Confidentiality and disclosure
6.3 You keep the affairs of current and former clients confidential unless disclosure is required
or permitted by law or the client consents.
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, 6.4 Where you are acting for a client on a matter, you make the client aware of all information
material to the matter of which you have knowledge, except when:
(a) the disclosure of the information is prohibited by legal restrictions imposed in the
interests of national security or the prevention of crime;
(b) your client gives informed consent, given or evidenced in writing, to the
information not being disclosed to them;
(c) you have reason to believe that serious physical or mental injury will be caused to
your client or another if the information is disclosed; or
(d) the information is contained in a privileged document that you have knowledge of
only because it has been mistakenly disclosed.
6.5 You do not act for a client in a matter where that client has an interest adverse to the
interest of another current or former client of you or your business or employer, for whom
you or your business or employer holds confidential information which is material to that
matter, unless:
(a) effective measures have been taken which result in there being no real risk of
disclosure of the confidential information; or
(b) the current or former client whose information you or your business or employer
holds has given informed consent, given or evidenced in writing, to you acting,
including to any measures taken to protect their information.
7: Cooperation and accountability
7.1 You keep up to date with and follow the law and regulation governing the way you work.
7.2 You are able to justify your decisions and actions in order to demonstrate compliance with
your obligations under the SRA's regulatory arrangements.
7.3 You cooperate with the SRA, other regulators, ombudsmen, and those bodies with a role
overseeing and supervising the delivery of, or investigating concerns in relation to, legal
services.
7.4 You respond promptly to the SRA and:
(a) provide full and accurate explanations, information and documents in response to
any request or requirement; and
(b) ensure that relevant information, which is held by you, or by third parties carrying
out functions on your behalf which are critical to the delivery of your legal services, is
available for inspection by the SRA.
7.5 You do not attempt to prevent anyone from providing information to the SRA or any other
body exercising regulatory, supervisory, investigatory or prosecutory functions in the public
interest.
7.6 You notify the SRA promptly if:
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