SRA Standards and Regulations
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SRA Code of Conduct for Firms
Cooperation and accountability
You keep up to date with and follow the law and regulation governing the way you work. You cooperate with the SRA, other regulators, ombudsmen and those bodies with a role overseeing and supervising the delivery of, or investigating concerns in relation to, legal services. You respond promptly to the SRA and: provide full and accurate explanations, information and documentation in response to...
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SRA Code of Conduct for Firms
Conflict of interests
You do not act if there is an own interest conflict or a significant risk of such a conflict. You do not act in relation to a matter or a particular aspect of it if you have a conflict of interest or a significant risk of such a conflict in relation to that matter or aspect of it, unless: the clients have a substantially common interest in relation to the matter or the aspect of it, as...
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SRA Code of Conduct for Firms
Applicable standards in the SRA Code of Conduct for Solicitors, RELs and RFLs
The following paragraphs in the SRA Code of Conduct for Solicitors, RELs and RFLs apply to you in their entirety as though references to "you" were references to you as a firm: dispute resolution and proceedings before courts, tribunals and inquiries (2.1 to 2.7); referrals, introductions and separate businesses (5.1 to 5.3); and standards which apply when providing services to the public or a...
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SRA Code of Conduct for Firms
Managers in SRA authorised firms
If you are a manager, you are responsible for compliance by your firm with this Code. This responsibility is joint and several if you share management responsibility with other managers of the firm.
Found in
SRA Code of Conduct for Firms
Compliance officers
If you are a COLP you must take all reasonable steps to: ensure compliance with the terms and conditions of your firm's authorisation; ensure compliance by your firm and its managers, employees or interest holders with the SRA's regulatory arrangements which apply to them; ensure that your firm's managers and interest holders and those they employ or contract with do not cause or substantially...
Found in
SRA Code of Conduct for Firms
Compliance officers
If you are a COLP you must take all reasonable steps to: ensure compliance with the terms and conditions of your firm's authorisation; ensure compliance by your firm and its managers, employees or interest holders with the SRA's regulatory arrangements which apply to them; ensure that your firm's managers and interest holders and those they employ or contract with do not cause or substantially...
Found in
SRA Code of Conduct for Solicitors, RELs and RFLs
Maintaining trust and acting fairly
You do not unfairly discriminate by allowing your personal views to affect your professional relationships and the way in which you provide your services. You do not abuse your position by taking unfair advantage of clients or others. You perform all undertakings given by you, and do so within an agreed timescale or if no timescale has been agreed then within a reasonable amount of time. You...
Found in
SRA Code of Conduct for Solicitors, RELs and RFLs
Client money and assets
You properly account to clients for any financial benefit you receive as a result of their instructions, except where they have agreed otherwise. You safeguard money and assets entrusted to you by clients and others. You do not personally hold client money save as permitted under regulation 10.2(b)(vii) of the Authorisation of Individuals Regulations, unless you work in an authorised body, or...
Found in
SRA Code of Conduct for Solicitors, RELs and RFLs
Referrals, introductions and separate businesses
In respect of any referral of a client by you to another person, or of any third party who introduces business to you or with whom you share your fees, you ensure that: clients are informed of any financial or other interest which you or your business or employer has in referring the client to another person or which an introducer has in referring the client to you; clients are informed of any...
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