Solicitors Regulation Authority - Solicitors' Code of Conduct 2007

Contents – Solicitors' Code of Conduct 2007

The guidance issued with these rules is not mandatory and does not form part of the Solicitors' Code of Conduct.

Preamble: Code of Conduct
Rule 1 - Core duties
- 1.01 – Justice and the rule of law
- 1.02 – Integrity
- 1.03 – Independence
- 1.04 – Best interests of clients
- 1.05 – Standard of service
- 1.06 – Public confidence
- Guidance to rule 1
Rule 2 – Client relations
- Introduction
- 2.01 – Taking on clients
- 2.02 – Client care
- 2.03 – Information about the cost
- 2.04 – Contingency fees
- 2.05 – Complaints handling
- 2.06 – Commissions
- 2.07 – Limitation of civil liability by contract
- Guidance to rule 2
Rule 3 – Conflict of interests
- 3.01 – Duty not to act
- 3.02 – Exceptions to duty not to act
- 3.03 – Conflict when already acting
- 3.04 – Accepting gifts from clients
- 3.05 – Public office or appointment leading to conflict
- 3.06 – Alternative dispute resolution (ADR)
- 3.07 – Acting for seller and buyer in conveyancing, property selling and mortgage related services
- 3.08 – Conveyancing transactions not at arm's length
- 3.09 – Conveyancing transactions at arm's length
- 3.10 – Conditions for acting under 3.09
- 3.11 – Property selling and mortgage related services
- 3.12 – SEALs and participating firms
- 3.13 – Conditions for acting under 3.11
- 3.14 – Special circumstances in property selling and conveyancing
- 3.15 – Conflict arising when acting for seller and buyer
- 3.16 – Acting for lender and borrower in conveyancing transactions
- 3.17 – Standard and individual mortgages
- 3.18 – Notification of certain circumstances to lender
- 3.19 – Types of instruction which may be accepted
- 3.20 – Using the approved certificate of title
- 3.21 – Terms of rule to prevail
- 3.22 – Anti-avoidance
- 3.23 – Waivers
- Guidance to rule 3
Rule 4 – Confidentiality and disclosure
- Introduction
- 4.01 – Duty of confidentiality
- 4.02 – Duty of disclosure
- 4.03 – Duty not to put confidentiality at risk by acting
- 4.04 – Exception to duty not to put confidentiality at risk by acting - with clients' consent
- 4.05 – Exception to duty not to put confidentiality at risk by acting – without clients' consent
- 4.06 – Waivers
- Guidance to rule 4
Rule 5 – Business management in England and Wales
- Introduction
- 5.01 – Supervision and management responsibilities
- 5.02 – Persons who must be "qualified to supervise"
- 5.03 – Supervision of work for clients and members of the public
- Guidance to rule 5
Rule 6 - Equality and diversity
- Introduction
- 6.01 – Duty not to discriminate
- 6.02 – Evidence of breach
- 6.03 – Equality and diversity policy
- 6.04 – In-house practice
- 6.05 – Waivers
- 6.06 – Meaning of terms
- Guidance to rule 6
Rule 7 – Publicity
- Introduction
- 7.01 – Misleading or inaccurate publicity
- 7.02 – Clarity as to charges
- 7.03 – Unsolicited approaches in person or by telephone
- 7.04 – International aspects of publicity
- 7.05 – Responsibility for publicity
- 7.06 – Application
- 7.07 – Letterhead, website and e-mails
- Guidance to rule 7
Rule 8 – Fee sharing
- 8.01 – Fee sharing with lawyers and colleagues
- 8.02 – Fee sharing with other non-lawyers
- Guidance to rule 8
Rule 9 – Referrals of business
- Introduction
- 9.01 – General
- 9.02 – Financial arrangements with introducers
- 9.03 – Referrals to third parties
- Guidance to rule 9
Rule 10 – Relations with third parties
- Introduction
- 10.01 – Not taking unfair advantage
- 10.02 – Agreeing costs with another party
- 10.03 – Administering oaths
- 10.04 – Contacting other party to a matter
- 10.05 – Undertakings
- 10.06 – Dealing with more than one prospective buyer in a conveyancing transaction
- 10.07 – Fees of lawyers of other jurisdictions
- Guidance to rule 10
Rule 11 – Litigation and advocacy
- 11.01 – Deceiving or misleading the court
- 11.02 – Obeying court orders
- 11.03 – Contempt of court
- 11.04 – Refusing instructions to act as advocate
- 11.05 – Appearing as an advocate
- 11.06 – Appearing as a witness
- 11.07 – Payments to witnesses
- 11.08 – Recordings of child witnesses' evidence
- Guidance to rule 11
Rule 12 – Framework of practice
- Introduction
- 12.01 – Solicitors
- 12.02 – RELs
- 12.03 – RFLs
- 12.04 – Recognised bodies
- 12.05 – Managers and employees authorised by another approved regulator
- 12.06 – Managers and employees who are not lawyers
- Guidance to rule 12
Rule 13 – In-house practice, etc.
- Introduction
- 13.01 – Conditions applying at all times
- 13.02 – Work colleagues
- 13.03 – Related bodies
- 13.04 – Pro bono work
- 13.05 – Associations
- 13.06 – Insurers
- 13.07 – Commercial legal advice services
- 13.08 – Local government
- 13.09 – Law centres, charities and other non-commercial advice services
- 13.10 – The Crown, non-departmental public bodies, and the Legal Services Commission
- 13.11 – Foreign law firms
- 13.12 – Regulatory bodies
- Guidance to rule 13
Rule 14 – Recognised Bodies
- 14.01 – Fundamental requirements for all recognised bodies
- 14.02 – Duties in relation to compliance
- 14.03 – Formation, office in England and Wales and registered office
- 14.04 – Recognised bodies which are partnerships
- 14.05 – Recognised bodies which are LLPs
- 14.06 – Recognised bodies which are companies
- 14.07 – Information and documentation
- 14.08 – Mental Health Act equivalents
- Guidance to rule 14
Rule 15 – Overseas practice
- Introduction
- 15.01 – Core duties (rule 1) application, and conflicts of rules
- 15.02 – Client relations (rule 2)
- 15.03 – Conflict of interests (rule 3)
- 15.04 – Confidentiality (rule 4)
- 15.05 – Business management (rule 5)
- 15.06 – Equality and diversity (rule 6)
- 15.07 – Publicity (rule 7)
- 15.08 – Fee sharing (rule 8)
- 15.09 – Referrals of business (rule 9)
- 15.10 – Relations with third parties (rule 10)
- 15.11 – Litigation and advocacy (rule 11)
- 15.12 – Framework of practice (rule 12)
- 15.13 – In-house practice overseas (rule 13)
- 15.14 – Recognised Bodies (rule 14)
- 15.15 – Deposit interest
- 15.16 – European cross-border practice (rule 16)
- 15.17 – Insolvency practice (rule 17)
- 15.18 – Property selling (rule 18)
- 15.19 – Financial services (rule 19)
- 15.20 – Rights and obligations of practice (rule 20)
- 15.21 – Separate businesses (rule 21)
- 15.22 – Waivers (rule 22)
- 15.23 – Application of these rules (rule 23)
- 15.24 – Interpretation (rule 24)
- 15.25 – Commencement and repeals (rule 25)
- 15.26 – Professional indemnity
- 15.27 – Accounts
- Guidance to rule 15
Rule 16 – European cross-border practice
- Introduction
- 16.01 – Definition and application
- 16.02 – Occupations considered incompatible with legal practice
- 16.03 – Fee sharing with non-lawyers
- 16.04 – Co-operation between lawyers of different CCBE states
- 16.05 – Correspondence between lawyers in different CCBE states
- 16.06 – Paying referral fees to non-lawyers
- 16.07 – Disputes between lawyers in different member states
- Guidance to rule 16
Rule 17 – Insolvency practice
- Rule 17 – Insolvency practice
- Guidance to rule 17
Rule 18 – Property selling
- Introduction
- 18.01 – Standards of property selling services
- 18.02 – Statement on the cost
- 18.03 – Conflict of interests
- 18.04 – Waivers
- Guidance to rule 18
Rule 19 – Financial services
- Introduction
- 19.01 – Independence
- Guidance to rule 19
Rule 20 – Rights and obligations of practice
- 20.01 – Reserved work and immigration work
- 20.02 – Practising certificates
- 20.03 – Sole practitioners
- 20.04 – Participation in legal practice
- 20.05 – Duty to co-operate with the Solicitors Regulation Authority and the Legal Complaints Service
- 20.06 – Reporting serious misconduct and serious financial difficulty
- 20.07 – Obstructing complaints
- 20.08 – Production of documents, information and explanations
- 20.09 – Dealing with claims
- 20.10 – Compliance with conditions
- Guidance to rule 20
Rule 21 – Separate businesses
- Introduction
- 21.01 – General
- 21.02 – Services which may not be provided through a separate business
- 21.03 – Services which may be provided in conjunction with a firm or in-house practice
- 21.04 – Services which may be provided (subject to these rules) either through a firm or in-house practice, or through a separate business
- 21.05 – Safeguards in relation to a separate business
- Guidance to rule 21
Rule 22 – Waivers
- Rule 22 – Waivers
- Guidance to rule 22
Rule 23 – Application of these rules
- Rule 23 – Application of these rules
- Guidance to rule 23
Rule 24 – Interpretation
Rule 25 – Commencement and repeals
SRA Recognised Bodies Regulations 2009
- PART 1 – APPLICATIONS, CONDITIONS AND APPEALS
- PART 2 – DURATION OF RECOGNITION, RENEWAL DATE, REVOCATION AND EXPIRY
- PART 3 – NAME, THE REGISTER AND CERTIFICATE OF RECOGNITION
- PART 4 – INTERPRETATION, WAIVERS, RECONSIDERATION AND NOTIFYING THIRD PARTIES
Index of contents

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Solicitors' Code of Conduct 2007

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Contents – Solicitors' Code of Conduct 2007

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