SRA Code of Conduct for Firms
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COLPs & COFAs Other authorised roles & bodies Misconduct Diversity data Other E&D topics Accounts & finance Client care Conflicts of interest Other regulation topics Risk management Supervision & compliance UndertakingsGuidance
Guidance
Professional duties during action taken by the Criminal Bar Association - GuidanceGuidance - what the SRA's Standards and Regulations require when acting for clients who may be affected by industrial action taken by the Criminal Bar Association (CBA).
Law firms carrying on insurance distribution activities - GuidanceGuidance: To help you understand key changes introduced by the Insurance Distribution Directive (IDD).
Responsibilities of COLPs and COFAs - GuidanceGuidance: To assist COLPs and COFAs in understanding their duties and responsibilities.
The Money Laundering, Terrorist Financing and Transfer of Funds - GuidanceGuidance: To help all those we regulate understand their obligations under the Money Laundering Regulations.
The Insurance Act 2015 - GuidanceGuidance: To help you understand changes to the minimum terms and conditions of solicitors’ professional indemnity insurance which came into force in August 2016.
Transparency in price and service - GuidanceGuidance: To help you understand your obligations under our Transparency Rules.
Offering inducements to potential clients or clients - GuidanceGuidance: Understand your professional obligations and the issues you need to consider before offering inducements to existing or prospective clients.
Closing down your practice - GuidanceGuidance: To enable those who are closing down their practice to protect the interests of their clients and comply with our Standards and Regulations.
Regulated financial services activitesIf you are a COLP or a nominated authorised signatory for a firm we regulate, you need to let us know whether or not your firm carries out financial activities for clients as part of your legal work.
Money laundering - Case studiesCase studies: These case studies illustrate the importance of having a consistent approach to compliance with the money laundering regulations throughout your entire firm.
Money laundering and terrorist financing - Warning noticeWarning notice: This Warning Notice reminds you of the warning signs of suspicious transactions.
How we regulate non-authorised personsThis guidance is to help you understand your obligations and how to comply with them. We may have regard to it when exercising our regulatory functions.
Tax avoidance your duties - Warning noticeWarning notice: This reminds those advising clients about their tax affairs about the importance of understanding their regulatory obligations.
Putting matters right when things go wrong, and own interest conflicts - GuidanceGuidance: To outline certain key considerations for putting matters right when you identify that things have gone wrong through the fault of you or your firm.
Money laundering and terrorist financing suspicious activity reports - Warning noticeWarning notice: This Warning Notice reminds you of some of the key requirements to have in place adequate controls to prevent, detect and report money laundering and to make suspicious activity reports (SARs).
Reporting and notification obligations - GuidanceGuidance: To help you understand your reporting and notification obligations to us.
Referral fees LASPO and SRA Principles - Warning noticeWarning notice: This warning notice reminds you of your obligations if you have referral arrangements for personal injury work.
Bringing criminal proceedingsThis guidance is to help you understand how and when we may bring criminal proceedings
How we gather evidence in our regulatory and disciplinary investigationsThis guidance is to help you understand how we gather evidence, the investigatory powers we have to gather evidence and how we can use those powers.
On-site investigations (inspections)This guidance is to help you how we make decisions to conduct an on-site inspection and your obligations in that regard. We may have regard to it when exercising our regulatory functions.
Confidentiality of client information - GuidanceGuidance: To help you understand your obligation to keep clients' information confidential.
Competence standard serviceThis topic guide outlines our approach to individuals and firms where we have competence concerns, and the standard of service falls below what we expect.
Identifying your client - GuidanceGuidance: To help you understand your obligations in respect of identifying your client.
Q&As on the ban of personal injury referral fees - GuidanceGuidance: Sets out common Q and As on the ban on referral fees in personal injury actions introduced by the Legal Aid, Sentencing and Punishment of Offenders Act 2012.
Advising on leasehold provisions including ground rent clauses - GuidanceGuidance: To help you understand what our Standards and Regulations require when acting for clients who are buying leasehold properties and to avoid possible breaches of our requirements.
Workplace environment: risks of failing to protect and support colleagues - GuidanceGuidance: 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 studiesCase studies: to be read in conjunction with the guidance on workplace environment: risks of failing to protect and support colleagues
Money missing from client account - Warning noticeWarning 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.