Search guidance - results

All topics


New

Marketing your services to members of the public - Warning notice

This warning notice provides a reminder of your regulatory responsibilities and obligations when marketing your services to members of the public.

Legal professional privilege when working in-house - Guidance

This guidance is to help you understand the key issues that in-house solicitors face when considering legal professional privilege (privilege) and how you can navigate them

Key points for governing boards, chief executives and senior officers in organisations employing in-house solicitors - Guidance

This guidance is for any organisation that employs an in-house solicitor, to help you to understand the regulatory duties and standards they must comply with.

Reporting concerns about wrongdoing when working in-house - Case study

Case study: To illustrate how our expectations operate in practice

Understanding in-house solicitors professional obligations employer - Guidance

This guidance is to help your employer understand the regulatory duties and standards you must comply with as an in-house solicitor.

Reporting concerns about wrongdoing when working in-house - Guidance

To help you understand what we expect you to do when you are concerned about actions taken or decisions made by your organisation.

Identifying your client when working in-house - Case study

This case study should be read in conjunction with the Identifying your client when working in-house guidance.

Identifying your client when working in-house - Guidance

Guidance: This guidance is for in-house solicitors employed by organisations not regulated by the SRA.

Internal investigations - Guidance

Guidance: To help all firms we regulate and all solicitors (wherever they work) understand and manage regulatory risks and issues associated with conducting an internal investigation.

Transparency in price and service - Guidance

To help you understand your obligations under our Transparency Rules.

Representing clients during claims for financial services or products

This guidance will help you to understand what we expect when you represent clients during these claims.

Use of non disclosure agreements (NDAs) - Warning notice

This reminds those we regulate of some of the key risks and issues when advising on the use of NDAs.

Complying with the UK Sanctions Regime - Guidance

This guidance is to help you understand your obligations and how to comply with them. We will have regard to it when exercising our regulatory functions

Claims management activity - Guidance

This guidance explores professional duties and key risks for solicitors, law firms and their employees when representing clients during claims.

Money missing from client account - Warning notice

Relevant to all firms and individuals we regulate but is particularly relevant to you if you are a manager of a firm or a firm's COFA or COLP.

Mergers, acquisitions and sales of law firms - Warning notice

Relevant to all firms and individuals we regulate who are thinking of or in the process of acquiring other law firms and seeking to sell or merge their law firm with another regulated entity

Strategic Lawsuits against Public Participation (SLAPPs) - Warning notice

There is a concern that solicitors and firms are engaged in a type of abusive litigation, known as strategic lawsuits against public participation (SLAPPs), on behalf of their clients.

High-volume financial service claims - Warning notice

Solicitors must act with integrity and uphold the high professional standards that we and the public expect.

Sanctions regime - firm-wide risk assessments - Guidance

This guidance is aimed to help firms assess your exposure to risks associated with the UK’s sanctions regime.

Client and matter risk assessments - Warning notice

To help you understand your obligations and how to comply with them. We may have regard to it when exercising our regulatory functions