SRA Handbook

Solicitors

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

Rule 1: Solicitors

Practice from an office in England and Wales

1.1

You may practise as a solicitor from an office in England and Wales in the following ways only:

(a)

as a recognised sole practitioner or the employee of a recognised sole practitioner;

(b)

as a solicitor exempted under Rule 10.2 from the obligation to be a recognised sole practitioner;

(c)

as a manager, employee, member or interest holder of:

(i)

an authorised body; or

(ii)

a body corporate which is a manager, member or interest holder of an authorised body,

provided that in the case of both (i) and (ii) all work you do is:

(A)

carried out through the authorised body and of a sort the body is authorised by the SRA to carry out; or

(B)

done for the body itself, or falls within Rule 4.1 to 4.11 (In-house practice: Work colleagues, Related bodies and Pro bono work), and where this sub-paragraph applies, references in Rule 4 to "employer" shall be construed as referring to that body, accordingly;

(d)

as a manager, employee, member or interest holder of:

(i)

an authorised non-SRA firm; or

(ii)

a body corporate which is a manager, member or interest holder of an authorised non-SRA firm,

provided that in the case of both (i) and (ii) all work you do is:

(A)

carried out through the authorised non-SRA firm and of a sort the firm is authorised by the firm's approved regulator to carry out; or

(B)

done for the firm itself, or falls within Rule 4.1 to 4.11 (In-house practice: Work colleagues, Related bodies and Pro bono work), and where this sub-paragraph applies, references in Rule 4 to "employer" shall be construed as referring to that firm, accordingly;

(e)

as the employee of another person, business or organisation, provided that you undertake work only for your employer, or as permitted by Rule 4 (In-house practice).

Practice from an office outside England and Wales

1.2

You may practise as a solicitor from an office outside England and Wales in the following ways only:

(a)

as a sole practitioner (including a recognised sole practitioner);

(b)

as the employee of a sole principal who is a lawyer;

(c)

as a manager, employee, member or interest holder of an authorised body, provided that if any of the body's managers or interest holders are non-lawyers and the office is in an Establishment Directive state other than the UK, the rules for local lawyers would permit a local lawyer to practise through a business of that composition and structure;

(d)

as an employee of a business which is not required to be an authorised body, provided that it meets all the following conditions:

(i)

the business carries on the provision of legal advice or assistance, or representation in connection with the application of the law or resolution of legal disputes;

(ii)

a controlling majority of the managers and the interest holders are lawyers and/or bodies corporate in which lawyers constitute a controlling majority of the managers and interest holders;

(iii)

if any of the business's managers or interest holders are non-lawyers and any manager or interest holder is subject to the rules for local lawyers, the composition and structure of the business complies with those rules; and

(iv)

if any of the business's managers or interest holders are non-lawyers and the office is in an Establishment Directive state, the rules for local lawyers would permit a local lawyer to practise through a business of that composition and structure;

(e)

as manager, member or interest holder of a business which is not required to be an authorised body, provided that it does not practise from an office in England and Wales, and that it meets all the conditions set out in sub-paragraph (d)(i) to (iv) above;

(f)

as the employee of another person, business or organisation, provided that you undertake work only for your employer, or as permitted by Rule 4.22 to 4.25 (In-house practice overseas).

Guidance notes

(i)

See also Rules 10 (Sole practitioners), 13 (Eligibility criteria and fundamental requirements for recognised bodies), 14 (Eligibility criteria and fundamental requirements for licensed bodies), 15 (Formation, registered office and practising address), 16 (Composition of an authorised body) and 17 (Authorised bodies which are companies) below, the SRA Recognised Bodies Regulations 2011, Chapter 13 of the SRA Code of Conduct (Application and waivers provisions) and the SRA Practising Regulations.

(ii)

See Rule 4.3 below and the definition of "in-house practice" in the SRA Code of Conduct, in relation to in-house work that you carry out for clients which is outside of your firm's authorisation.