SRA Handbook

SRA Principles - application provisions

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Version 1 of the Handbook was published on 16/09/2011. For more information, please click 'History' Above

Part 2: SRA Principles - application provisions

The Principles apply to you in the following circumstances (and "you" must be construed accordingly).

3: Application of the SRA Principles in England and Wales

3.1

Subject to paragraphs 3.2 to 6.1 below and any other provisions in the SRA Code of Conduct, the Principles apply to you, in relation to your activities carried out from an office in England and Wales, if you are:

(a)

a solicitor, REL or RFL who is practising as such, whether or not the entity through which you practise is subject to these Principles;

(b)

a solicitor, REL or RFL who is:

(i)

a manager, employee or owner of a body which should be a recognised body, but has not been recognised by the SRA;

(ii)

a manager, employee or owner of a body that is a manager or owner of a body that should be a recognised body, but has not been recognised by the SRA;

(iii)

an employee of a sole practitioner which should be a recognised sole practitioner, but has not been recognised by the SRA;

(iv)

an owner of an authorised body or of a body which should be a recognised body but has not been recognised by the SRA, even if you undertake no work for the body's clients;

(v)

a manager or employee of an authorised non-SRA firm, or a manager of a body which is a manager of an authorised non-SRA firm, when doing work of a sort authorised by the SRA, for that firm;

(c)

an authorised body, or a body which should be a recognised body but has not been recognised by the SRA;

(d)

any other person who is a manager or employee of an authorised body, or of a body which should be a recognised body but has not been recognised by the SRA;

(e)

any other person who is an employee of a recognised sole practitioner, or of a sole practitioner who should be a recognised sole practitioner but has not been recognised by the SRA;

and "you" includes "your" as appropriate.

3.2

The Principles apply to you if you are a solicitor, REL or RFL, and you are:

(a)

practising as a manager or employee of an authorised non-SRA firm when doing work of a sort authorised by the authorised non-SRA firm's approved regulator, or

(b)

an owner of an authorised non-SRA firm even if you undertake no work for the body's clients.

4: Application of the SRA Principles in relation to practice from an office outside England and Wales

4.1

The Principles apply to you, in relation to practice from an office in Scotland or Northern Ireland if you are:

(a)

a solicitor or an REL practising as such, whether or not your firm or employer is subject to these Principles;

(b)

a lawyer-controlled body;

(c)

an REL-controlled body;

(d)

any other person who is a manager of an authorised body; or

(e)

a solicitor who was formerly an REL, when practising as a lawyer of an Establishment Directive profession.

4.2

The Principles apply to you in relation to practice from an office outside the UK if you are:

(a)

a solicitor practising as such, whether or not your firm or employer is subject to these Principles;

(b)

a lawyer-controlled body; or

(c)

any other person who is a manager of an authorised body.

5: Application of the SRA Principles outside practice

5.1

In relation to activities which fall outside practice, as defined in Chapter 14 (Interpretation) of the SRA Code of Conduct, whether undertaken as a lawyer or in some other business or private capacity, Principles 1, 2 and 6 apply to you if you are a solicitor, REL or RFL.

6: General provisions

6.1

You must comply with the Principles at all times, but the extent to which you are expected to implement the requirements of the Principles will depend on your role in the firm, or your way of practising. For example, those who are managing a business will be expected to have more influence on how the firm or business is run than those practising in-house but not managing a legal department, or those practising as employees of a firm.