SRA Standards and Regulations
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SRA Application, Notice, Review and Appeal Rules
Applications
An application made under the SRA's regulatory arrangements must be made in writing, where appropriate, in the prescribed form correctly completed, and be accompanied by: any prescribed fee or charge; and any information and documents which may be prescribed, or reasonably requested by the SRA. If you make an application to the SRA, you do not need to submit all payments, information, and...
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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.
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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
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
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...
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SRA Code of Conduct for Firms
Service and competence
You only act for clients on instructions from the client, or from someone properly authorised to provide instructions on their behalf. If you have reason to suspect that the instructions do not represent your client's wishes, you do not act unless you have satisfied yourself that they do. However, in circumstances where you have legal authority to act notwithstanding that it is not possible to...
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SRA Code of Conduct for Firms
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.
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SRA Code of Conduct for Firms
Confidentiality and disclosure
You keep the affairs of current and former clients confidential unless disclosure is required or permitted by law or the client consents. Any individual who is acting for a client on a matter makes the client aware of all information material to the matter of which the individual has knowledge except when: the disclosure of the information is prohibited by legal restrictions imposed in the...
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