SRA Standards and Regulations

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.

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 do...

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...

Compliance and business systems

You have effective governance structures, arrangements, systems and controls in place that ensure: you comply with all the SRA's regulatory arrangements, as well as with other regulatory and legislative requirements, which apply to you; your managers and employees comply with the SRA's regulatory arrangements which apply to them; your managers and interest holders and those you employ or...

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...

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...

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...

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.

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...

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...