SRA Handbook

Application, waivers and interpretation

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5th Section: Application, waivers and interpretation

Chapter 13: Application and waivers provisions

The SRA Code of Conduct applies to you in the following circumstances (and "you" must be construed accordingly):

Application of the SRA Code of Conduct in England and Wales

13.1

Subject to paragraphs 2 to 10 below and any other provisions in this Code, this Code applies 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, and you are practising as such, whether or not the entity through which you practise is subject to this Code;

(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 who should be a recognised sole practitioner, but has not been recognised by the SRA;

(iv)

an owner of an authorised body or 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; or

(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.

13.2

Chapters 10, 12, 13, 14 and 15 of the Code 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.

Application of the SRA Code of Conduct in relation to practice from an office outside England and Wales

13.3

Subject to 13.5 and 13.6 below, the Code applies 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 this Code;

(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.

13.4

Subject to 13.5 and 13.6 below, the Code applies 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 this Code;

(b)

a lawyer-controlled body; or

(c)

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

13.5

If any outcome in the Code does not apply to your overseas practice, you may disregard that outcome in relation to your overseas practice, but you must comply with any alternative provision substituted for overseas practice.

13.6

If compliance with any outcome in the Code would result in your breaching local law, or regulations, you may disregard that outcome to the extent necessary to comply with that local law or regulation.

Application of the SRA Code of Conduct outside practice

13.7

In relation to activities which fall outside practice, whether undertaken as a lawyer or in some other business or private capacity, the following apply to you if you are a solicitor, or REL:

(a)

Outcome 11.1; and

(b)

Outcome 11.2.

General Provisions

13.8

The extent to which you are expected to implement the requirements of the Code will depend on your role in the firm, or your way of practising. For example, those who are managing the 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.

13.9

You must deliver all outcomes which are relevant to you and your situation.

13.10

Where in accordance with this chapter, the requirements of the Code apply to a licensed body, this extends to the reserved legal activities, and other activities regulated by the SRA, carried on by the body.

Waivers

In any particular case or cases the SRA Board shall have the power, in exceptional circumstances, to waive in writing the provisions of these outcomes for a particular purpose or purposes expressed in such waiver, to place conditions on and to revoke such a waiver.

Chapter 14: Interpretation

14.1

The SRA Handbook Glossary 2012 shall apply and, unless the context otherwise requires:

(a)

all italicised terms shall be defined; and

(b)

all terms shall be interpreted,

in accordance with the Glossary.

Chapter 15: Transitional provisions

15.1

For the avoidance of doubt, where a breach of any provision of the Solicitors' Code of Conduct 2007 comes to the attention of the SRA after 6 October 2011, this shall be subject to action by the SRA notwithstanding any repeal of the relevant provision.

15.2

The SRA Code of Conduct shall not apply to licensed bodies until such time as the Society is designated as a licensing authority under Part 1 of Schedule 10 to the LSA and all definitions shall be construed accordingly.

15.3

References:

(a)

in the preamble, to:

(i)

the Code being made under section 83 of the Legal Services Act 2007, and

(ii)

licensed bodies and their managers and employees, and

(b)

in Chapter 10, to:

(i)

an application for a licence (O(10.2)),  and

(ii)

the role of COLP and COFA (O(10.12) and IB (10.8)),

shall have no effect until such time as the Society is designated as a licensing authority under Part 1 to Schedule 10 of the LSA.

15.4

In Chapter 8, the provision in IB(8.2) relating to multi-disciplinary practices, shall have no effect until such time as the Society is designated as a licensing authority under Part 1 of Schedule 10 to the LSA.