Question of ethics
Important:The guidance below was written and issued following the introduction of the SRA Handbook on 6 October 2011. For earlier issues of Question of ethics, which may refer to regulatory material that is no longer in effect but may still be relevant, please see the Archive.
In this issue:
- Is a reporting accountant required to check the register of breaches maintained by the firm's COFA? Is there an obligation on the firm to provide the accountant with this information?
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In this issue:
- I'm a solicitor carrying out insurance mediation activities. Is there anything I will need to do when the Financial Services Authority splits into the Financial Conduct Authority and the Prudential Services Regulator?
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In this issue:
- I have read the Law Society Practice Note with regard to outsourcing. Can I assume that provided I follow this guidance, I will be in compliance with the SRA Handbook?
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In this issue:
- We have been contacted by the police, who want us to provide them with details of our client' address and telephone number because they suspect he has committed an offence. Should I provide this information to the police?
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In this issue:
- I am a solicitor in the Government Legal Service. As such, I am told that I do not need a practising certificate. However, I am being seconded to a private practice firm for a short period; does this alter the position?
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In this issue:
- I am currently an unemployed solicitor and have so far been unsuccessful in finding a job as a solicitor. Is there any problem with me accepting a job in my private practice as a paralegal?
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In this issue:
- Is it advisable to appoint a deputy COLP or COFA in case one of the compliance officers leaves or is absent?
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In this issue:
- Is there any advice you can offer us on the sort of people we should be nominating as COLP and COFA? Must it be the senior or managing partner?
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In this issue:
- Does the reference to an "individual" in rule 8 of the SRA Authorisation Rules 2011 include a body corporate? Our partnership is primarily made up of limited company partners.
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In this issue:
- I am the head of a legal department in a local authority. Do I need to include on my department's notepaper the fact that we are authorised by the SRA?
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