SRA Standards and Regulations

Complaints handling

You ensure that, as appropriate in the circumstances, you either establish and maintain, or participate in, a procedure for handling complaints in relation to the legal services you provide. You ensure that clients are informed in writing at the time of engagement about: their right to complain to you about your services and your charges; how a complaint can be made and to whom; and any right...

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...

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...

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...

Cooperation and accountability

You keep up to date with and follow the law and regulation governing the way you work. You are able to justify your decisions and actions in order to demonstrate compliance with your obligations under the SRA's regulatory arrangements. You cooperate with the SRA, other regulators, ombudsmen, and those bodies with a role overseeing and supervising the delivery of, or investigating concerns in...

Dispute resolution and proceedings before courts, tribunals and inquiries

You do not misuse or tamper with evidence or attempt to do so. You do not seek to influence the substance of evidence, including generating false evidence or persuading witnesses to change their evidence. You do not provide or offer to provide any benefit to witnesses dependent upon the nature of their evidence or the outcome of the case. You only make assertions or put forward statements,...

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...

Cooperation and accountability

You keep up to date with and follow the law and regulation governing the way you work. You are able to justify your decisions and actions in order to demonstrate compliance with your obligations under the SRA's regulatory arrangements. You cooperate with the SRA, other regulators, ombudsmen, and those bodies with a role overseeing and supervising the delivery of, or investigating concerns in...

Client information and publicity

You give clients information in a way they can understand. You ensure they are in a position to make informed decisions about the services they need, how their matter will be handled and the options available to them. You ensure that clients receive the best possible information about how their matter will be priced and, both at the time of engagement and when appropriate as their matter...

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...