Maintaining trust and acting fairly

You are reading current version in effect from 8 February 2022
Guidance (5) Glossary terms (4)

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You are reading current version in effect from 8 February 2022

Guidance

Guidance

Payment Protection Insurance claims - Warning notice

Warning notice: This warning notice sets out our concerns about is those we regulate acting in claims for mis-sold payment protection insurance (PPI).

Risk factors in personal injury claims - Warning notice

Warning notice: This warning notice reminds you of your obligations if you take personal injury referrals from third parties, work closely with them or act on their instructions.

Public trust and confidence - Guidance

Guidance: To explain when you are likely to be found to have breached your obligation under Principle 2 to act in a way that upholds public trust and confidence.

Workplace environment: risks of failing to protect and support colleagues - Guidance

Guidance: our approach where we consider that individuals and firms have failed to take appropriate steps to look after colleagues' wellbeing.

Workplace environment: risks of failing to protect and support colleagues - Case studies

Case studies: to be read in conjunction with the guidance on workplace environment: risks of failing to protect and support colleagues

Glossary terms

client

means the person for whom you act and, where the context permits, includes prospective and former clients

in the SRA Financial Services (Scope) Rules, in relation to any regulated financial services activities carried on by an authorised body for a trust or the estate of a deceased person (including a controlled trust), means the trustees or personal representatives in their capacity as such and not any person who is a beneficiary under the trust or interested in the estate

undertaking

means a statement, given orally or in writing, whether or not it includes the word "undertake" or "undertaking", to someone who reasonably places reliance on it, that you or a third party will do something or cause something to be done, or refrain from doing something

court

means any court, tribunal or inquiry of England and Wales, or a British court martial, or any court of another jurisdiction

prescribed

means prescribed by the SRA from time to time