Change tracker - Code of Content

Rule 23: Application of these rules

 

The Solicitors' Code of Conduct 2007 has been replaced on the 6 October 2011 by the SRA Code of Conduct 2011 as part of the introduction of outcomes-focused regulation.

Go to SRA Handbook

Rule 23 of the Code of Conduct was amended on 31 March 2009 as part of a general updating of the rules to introduce firm-based regulation and legal disciplinary practices as provided for in the Legal Services Act 2007.

 
 

Rule

23.01

Subject to 23.03 below tThese rules apply to you (and "you" must be construed accordingly) if you are:in the following circumstances.

    • (a)

      a solicitor, in relation to practice as a solicitor from offices in England and Wales and outside England and Wales;

    • (b)

      an REL, in relation to practice as a lawyer of an Establishment Directive state from offices in England and Wales, Northern Ireland and Scotland;

    • (c)

      a recognised body incorporated in England and Wales, in relation to practice from offices in England and Wales and outside England and Wales;

    • (d)

      a recognised body incorporated in an Establishment Directive state but outside England and Wales:

      • (i)

        in relation to practice from offices in England and Wales; and

      • (ii)

        in relation to practice from offices outside England and Wales, but only to the following extent:

        • (A)

          1.06 (Public confidence);

        • (B)

          12.04(4) (Framework of practice);

        • (C)

          rule 14 (Incorporated practice); and

        • (D)

          rule 15 (Overseas practice), but only to the extent that rule 15 specifically applies any provision of these rules to a recognised body incorporated outside England and Wales;

    • (e)

      an RFL, in relation to practice as a foreign lawyer from offices in England and Wales, as:

      • (i)

        a partner in an MNP as defined in rule 24 (Interpretation);

      • (ii)

        a director of a recognised body which is a company; or

      • (iii)

        a member of a recognised body which is an LLP; and

    • (f)

      a solicitor who was formerly an REL, in relation to practice as a lawyer of an Establishment Directive state from offices in the UK;

but see also 3.07(1) in relation to acting for seller and buyer, and 3.16(1) in relation to acting for lender and borrower.

Application in relation to practice from an office in England and Wales
  • (1)

    Subject to (2) below, rules 1 to 14 and 16 to 25 of these rules apply to your practice from an office in England and Wales if you are:

    • (a)

      a solicitor or REL (including a recognised sole practitioner);

    • (b)

      a recognised body;

    • (c)

      an RFL who is:

      • (i)

        the employee of a recognised sole practitioner;

      • (ii)

        a manager, employee, member or owner of a recognised body;

      • (iii)

        a manager, member or owner of a body corporate which is a manager, member or owner of a recognised body; or

      • (iv)

        practising through or employed by an authorised non-SRA firm;

    • (d)

      any other person who is a manager or employee of a recognised body or the employee of a recognised sole practitioner; or

    • (e)

      a solicitor who was formerly an REL, when practising as a lawyer of an Establishment Directive profession.

  • (2)
    • (a)

      Only this rule and rules 1, 12, 20, 21 and 24 apply to you if you are a solicitor, REL or RFL practising through or employed by an authorised non-SRA firm when doing work of a sort authorised by the firm's approved regulator.

    • (b)

      "Practising through" an authorised non-SRA firm includes:

      • (i)

        being a partner if the firm is a partnership;

      • (ii)

        being a member if the firm is an LLP; and

      • (iii)

        being a director or having an ownership interest if the body is a company,

      even if you undertake no work for your firm's clients.

Application in relation to practice from an office outside England & Wales
  • (3)

    These rules apply to your practice from an office outside England and Wales to the extent specified in rule 15.

23.02

The following apply inIn relation to activities in England and Wales which fall outside the scope of practice as defined by rule 24, whether undertaken as a lawyer or in some other business or private capacityother forms of practice, and outside practice:

    • (a)

      rule 1.06 (Public confidence) applies to you if you are a solicitor, an REL or an RFL;

    • (b)

      rule 10.01 (Not taking unfair advantage) applies to you if you are a solicitor or REL;:

      • (i)

        if you are a solicitor, in England and Wales and overseas; and

      • (ii)

        if you are an REL, within the UK;

    • (c)

      rules 10.05(1)(c) and (d), (2) and (3), and 15.10(2)(a)(ii) and (iii), (b) and (c)(undertakings given outside the course of practice) apply to you if you are a solicitor or REL; and

    • (d)

      rules 12.03(2)and 12.03(3) to (5) (practice in another capacity than as an RFL, holding out as a lawyer of England and Wales, and wrongfully doing reserved or immigration work) apply to you if you are an RFL.

23.03

The provisions of rules 1 to 14 and 16 to 25 of these rules will only apply to your overseas practice if specifically applied by rule 15 (Overseas practice).In relation to acting for seller and buyer "you" must be interpreted in accordance with 3.07(1), and in relation to acting for lender and borrower "you" must be interpreted in accordance with 3.16(1).

Guidance to rule 23 – Application of these rules

  • 1.

    The rules apply in different ways toRule 23 applies all these rules, except rule 15, to your practice from an office in England and Wales if you are a solicitor, an REL, a recognised bodyincorporated in England and Wales, a recognised body incorporated outside England and Wales, and an RFL., or any other person who is a manager or employee of a recognised body or an employee of a recognised sole practitioner. The application of the rules to RFLs is dealt with in note 4.

  • 2.

    These rules are also applied to your practice from an office outside England and Wales but only to the extent specified in rule 15. The key to the application of a rule is, therefore, whether a matter relates to practice from an office in England and Wales, or to practice from an office outside England and Wales. This does not mean that different rules apply at different times during a cross-jurisdictional transaction. For example, if a client gives instructions for a transaction to your London office, then that transaction will fall into the category of practice from an office in England and Wales.

  • 3.

    A solicitor's, REL's or recognised body's practice from an office in England and Wales is subject to all the rules except rule 15 (Overseas practice). However, in relation to practice from an office outside England and Wales:

    • (a)

      a solicitor is subject to the rules as applied or modified by rule 15;

    • (b)

      a recognised body incorporated in England and Wales is subject to the rules as applied or modified by rule 15;

    • (c)

      an REL is subject to the rules as applied or modified by rule 15 in relation to practice from an office in Scotland or Northern Ireland, but is not subject to any of the rules in relation to practice from an office outside the UK, except 1.06 (Public confidence); and

    • (d)

      a recognised body incorporated outside England and Wales is subject to 12.04(4) (Framework of practice), rule 14 (Incorporated practice), and to the rules as applied or modified by rule 15 (Overseas practice). Only a few of the rules apply, and only in particular circumstances.

  • 3.

    These rules (as from 31 March 2009) now apply to employees of recognised bodies and recognised sole practitioners. Such employees, as well as managers of recognised bodies, are subject to new powers given to the SRA to impose a rebuke or a fine of up to £2000 for a breach of these rules. Some rules, by virtue of their wording or their subject matter, will have no or limited application to employees. For example 5.01(1) (Supervision and management responsibilities) is applicable only to managers and to firms. Rule 4.01 (Duty of confidentiality) is a prime example of a rule which will apply to all employees, breach of which would make an employee individually culpable - without prejudice to any culpability on the part of the firm. The rules do not apply to non-solicitor employees employed outside England and Wales (except for REL employees employed elsewhere in the UK).

  • 4.

    AnThe rules apply to anRFL who is a partner in an MNP, a directormanager or employee of a recognised body which is a company, or a member of a recognised body which is an LLP is subject to the rules or an employee of a recognised sole practitioner, in relation to practice from an office in England and Wales. An RFL who is a manager or employee of an authorised non-SRA firm is subject to the rules in the way set out in note 5. An RFL is not subject to any of the rules in relation to any other form of practice outside an MNP or a recognised body, or outside practice, or in relation to practice from an office outside England and Wales, except 1.06 (Public confidence)as set out in note 6.

  • 5.

    If you are a solicitor, an REL or an RFL practising as a manager or employee of an authorised non-SRA firm, when doing work of a sort authorised by the firm's approved regulator, rule 1 will apply to you but most of the remainder of these rules, as well as the Accounts Rules, are disapplied - for details see 23.01(2)(a). You will, however, be subject to the rules of the authorised non-SRA firm's regulator and any serious breach of those rules could also be a breach of rule 1. If you do work of a sort which is outside the scope of the firm's authorisation you will be subject to these rules, and to the Accounts Rules, in full. These rules would allow you to do such work for the firm itself, or for related bodies or work colleagues, or pro bono - see also 13.01(2).

  • 5.6.

    Certain rules also apply in relation to other forms of practice, and outside practice:

    • (a)

      Under 1.06 (Public confidence), if you are a solicitor, REL or RFL you must not behave in a way that is likely to diminish the trust the public places in you or the legal profession. Rule 1.06 applies to your conduct both in your practice as a solicitor, REL or RFL and outside it, and in England and Wales or anywhere else in the world.to the extent that:

      • (i)

        as a solicitor, you are an officer of the Supreme Court and must behave as befits a member of the solicitors' profession;

      • (ii)

        as an REL, you are to be treated under the Establishment Directive Regulations as if you were an officer of the Supreme Court; you must behave as befits a member of your own profession and as would befit a member of the solicitors' profession; and

      • (iii)

        as an RFL, you have been registered under the Courts and Legal Services Act 1990 as a lawyer suitable to be a solicitor's partner, a director of a recognised body which is a company, or a member of a recognised body which is an LLP, and must behave as befits a member of your own profession and as would befit a member of the solicitors' profession.

      A recognised body has been recognised under the Administration of Justice Act 1985 as a suitable body to provide the services of practising solicitors and other lawyers, and must conduct itself accordingly.

    • (b)

      Under 10.01 (Not taking unfair advantage), if you are a solicitor (anywhere in the world) or an REL (in the UK) you must not, whether in the course of practice or outside it, take unfair advantage of your position as a solicitor, or (within the UK) as an REL.

    • (c)

      Under 10.05(1)(c) and (d), (2) and (3), and 15.10(2)(a)(ii) and (iii), (b) and (c) you must fulfil an undertaking even if it is given outside the course of your practice as a solicitor or as an REL, if you give the undertaking as a solicitor or (within the UK) as a lawyer of ananotherEstablishment Directive state, and this applies to a solicitor anywhere in the world and to an REL anywhere in the UK.

    • (d)

      Under 12.03(2) and (3), if you are an RFL you must not be held out as an RFL, or as regulated by or registered with the Law Society or the Solicitors Regulation AuthoritySRA, except in the context of practice as a partner in an MNP, directormanager or employee of a recognised body which is a company, or member of a recognised body which is an LLPor as an employee of a recognised sole practitioner. Note that if you are an RFL you are not required specifically to fulfil an undertaking given as an RFL but outside the course of practice as an RFL, or prohibited from taking unfair advantage of your position as an RFL - but if you did either of these things you would breach 12.03(2) or (3) and possibly 1.06 (Public confidence). Under 12.03(4)(a) you are prohibited from being held out as a solicitor or barrister (or as any other category of lawyer of England and Wales unless you have that qualification). All these provisions apply outside England and Wales as well as in England and Wales. Under 12.03(4)(b)-(d) you must not do reserved work in England and Wales - whether or not you are practising as an RFL - unless you have a separate qualification which allows you to do that work. Under 12.03(5), if you are not practising as an RFL you must not do any immigration work anywhere in the UK unless you are authorised to do so in your own right, or working under the supervision of someone (not a solicitor, REL or RFL) who is so authorised.

7/1/2007 12:00:00 AM

Rule 23: Application of these rules

 

The Solicitors' Code of Conduct 2007 has been replaced on the 6 October 2011 by the SRA Code of Conduct 2011 as part of the introduction of outcomes-focused regulation.

Go to SRA Handbook

Rule 23 of the Code of Conduct was amended on 31 March 2009 as part of a general updating of the rules to introduce firm-based regulation and legal disciplinary practices as provided for in the Legal Services Act 2007.

 
 

Rule

23.01

Subject to 23.03 below tThese rules apply to you (and "you" must be construed accordingly) if you are:in the following circumstances.

    • (a)

      a solicitor, in relation to practice as a solicitor from offices in England and Wales and outside England and Wales;

    • (b)

      an REL, in relation to practice as a lawyer of an Establishment Directive state from offices in England and Wales, Northern Ireland and Scotland;

    • (c)

      a recognised body incorporated in England and Wales, in relation to practice from offices in England and Wales and outside England and Wales;

    • (d)

      a recognised body incorporated in an Establishment Directive state but outside England and Wales:

      • (i)

        in relation to practice from offices in England and Wales; and

      • (ii)

        in relation to practice from offices outside England and Wales, but only to the following extent:

        • (A)

          1.06 (Public confidence);

        • (B)

          12.04(4) (Framework of practice);

        • (C)

          rule 14 (Incorporated practice); and

        • (D)

          rule 15 (Overseas practice), but only to the extent that rule 15 specifically applies any provision of these rules to a recognised body incorporated outside England and Wales;

    • (e)

      an RFL, in relation to practice as a foreign lawyer from offices in England and Wales, as:

      • (i)

        a partner in an MNP as defined in rule 24 (Interpretation);

      • (ii)

        a director of a recognised body which is a company; or

      • (iii)

        a member of a recognised body which is an LLP; and

    • (f)

      a solicitor who was formerly an REL, in relation to practice as a lawyer of an Establishment Directive state from offices in the UK;

but see also 3.07(1) in relation to acting for seller and buyer, and 3.16(1) in relation to acting for lender and borrower.

Application in relation to practice from an office in England and Wales
  • (1)

    Subject to (2) below, rules 1 to 14 and 16 to 25 of these rules apply to your practice from an office in England and Wales if you are:

    • (a)

      a solicitor or REL (including a recognised sole practitioner);

    • (b)

      a recognised body;

    • (c)

      an RFL who is:

      • (i)

        the employee of a recognised sole practitioner;

      • (ii)

        a manager, employee, member or owner of a recognised body;

      • (iii)

        a manager, member or owner of a body corporate which is a manager, member or owner of a recognised body; or

      • (iv)

        practising through or employed by an authorised non-SRA firm;

    • (d)

      any other person who is a manager or employee of a recognised body or the employee of a recognised sole practitioner; or

    • (e)

      a solicitor who was formerly an REL, when practising as a lawyer of an Establishment Directive profession.

  • (2)
    • (a)

      Only this rule and rules 1, 12, 20, 21 and 24 apply to you if you are a solicitor, REL or RFL practising through or employed by an authorised non-SRA firm when doing work of a sort authorised by the firm's approved regulator.

    • (b)

      "Practising through" an authorised non-SRA firm includes:

      • (i)

        being a partner if the firm is a partnership;

      • (ii)

        being a member if the firm is an LLP; and

      • (iii)

        being a director or having an ownership interest if the body is a company,

      even if you undertake no work for your firm's clients.

Application in relation to practice from an office outside England & Wales
  • (3)

    These rules apply to your practice from an office outside England and Wales to the extent specified in rule 15.

23.02

The following apply inIn relation to activities in England and Wales which fall outside the scope of practice as defined by rule 24, whether undertaken as a lawyer or in some other business or private capacityother forms of practice, and outside practice:

    • (a)

      rule 1.06 (Public confidence) applies to you if you are a solicitor, an REL or an RFL;

    • (b)

      rule 10.01 (Not taking unfair advantage) applies to you if you are a solicitor or REL;:

      • (i)

        if you are a solicitor, in England and Wales and overseas; and

      • (ii)

        if you are an REL, within the UK;

    • (c)

      rules 10.05(1)(c) and (d), (2) and (3), and 15.10(2)(a)(ii) and (iii), (b) and (c)(undertakings given outside the course of practice) apply to you if you are a solicitor or REL; and

    • (d)

      rules 12.03(2)and 12.03(3) to (5) (practice in another capacity than as an RFL, holding out as a lawyer of England and Wales, and wrongfully doing reserved or immigration work) apply to you if you are an RFL.

23.03

The provisions of rules 1 to 14 and 16 to 25 of these rules will only apply to your overseas practice if specifically applied by rule 15 (Overseas practice).In relation to acting for seller and buyer "you" must be interpreted in accordance with 3.07(1), and in relation to acting for lender and borrower "you" must be interpreted in accordance with 3.16(1).

Guidance to rule 23 – Application of these rules

  • 1.

    The rules apply in different ways toRule 23 applies all these rules, except rule 15, to your practice from an office in England and Wales if you are a solicitor, an REL, a recognised bodyincorporated in England and Wales, a recognised body incorporated outside England and Wales, and an RFL., or any other person who is a manager or employee of a recognised body or an employee of a recognised sole practitioner. The application of the rules to RFLs is dealt with in note 4.

  • 2.

    These rules are also applied to your practice from an office outside England and Wales but only to the extent specified in rule 15. The key to the application of a rule is, therefore, whether a matter relates to practice from an office in England and Wales, or to practice from an office outside England and Wales. This does not mean that different rules apply at different times during a cross-jurisdictional transaction. For example, if a client gives instructions for a transaction to your London office, then that transaction will fall into the category of practice from an office in England and Wales.

  • 3.

    A solicitor's, REL's or recognised body's practice from an office in England and Wales is subject to all the rules except rule 15 (Overseas practice). However, in relation to practice from an office outside England and Wales:

    • (a)

      a solicitor is subject to the rules as applied or modified by rule 15;

    • (b)

      a recognised body incorporated in England and Wales is subject to the rules as applied or modified by rule 15;

    • (c)

      an REL is subject to the rules as applied or modified by rule 15 in relation to practice from an office in Scotland or Northern Ireland, but is not subject to any of the rules in relation to practice from an office outside the UK, except 1.06 (Public confidence); and

    • (d)

      a recognised body incorporated outside England and Wales is subject to 12.04(4) (Framework of practice), rule 14 (Incorporated practice), and to the rules as applied or modified by rule 15 (Overseas practice). Only a few of the rules apply, and only in particular circumstances.

  • 3.

    These rules (as from 31 March 2009) now apply to employees of recognised bodies and recognised sole practitioners. Such employees, as well as managers of recognised bodies, are subject to new powers given to the SRA to impose a rebuke or a fine of up to £2000 for a breach of these rules. Some rules, by virtue of their wording or their subject matter, will have no or limited application to employees. For example 5.01(1) (Supervision and management responsibilities) is applicable only to managers and to firms. Rule 4.01 (Duty of confidentiality) is a prime example of a rule which will apply to all employees, breach of which would make an employee individually culpable - without prejudice to any culpability on the part of the firm. The rules do not apply to non-solicitor employees employed outside England and Wales (except for REL employees employed elsewhere in the UK).

  • 4.

    AnThe rules apply to anRFL who is a partner in an MNP, a directormanager or employee of a recognised body which is a company, or a member of a recognised body which is an LLP is subject to the rules or an employee of a recognised sole practitioner, in relation to practice from an office in England and Wales. An RFL who is a manager or employee of an authorised non-SRA firm is subject to the rules in the way set out in note 5. An RFL is not subject to any of the rules in relation to any other form of practice outside an MNP or a recognised body, or outside practice, or in relation to practice from an office outside England and Wales, except 1.06 (Public confidence)as set out in note 6.

  • 5.

    If you are a solicitor, an REL or an RFL practising as a manager or employee of an authorised non-SRA firm, when doing work of a sort authorised by the firm's approved regulator, rule 1 will apply to you but most of the remainder of these rules, as well as the Accounts Rules, are disapplied - for details see 23.01(2)(a). You will, however, be subject to the rules of the authorised non-SRA firm's regulator and any serious breach of those rules could also be a breach of rule 1. If you do work of a sort which is outside the scope of the firm's authorisation you will be subject to these rules, and to the Accounts Rules, in full. These rules would allow you to do such work for the firm itself, or for related bodies or work colleagues, or pro bono - see also 13.01(2).

  • 5.6.

    Certain rules also apply in relation to other forms of practice, and outside practice:

    • (a)

      Under 1.06 (Public confidence), if you are a solicitor, REL or RFL you must not behave in a way that is likely to diminish the trust the public places in you or the legal profession. Rule 1.06 applies to your conduct both in your practice as a solicitor, REL or RFL and outside it, and in England and Wales or anywhere else in the world.to the extent that:

      • (i)

        as a solicitor, you are an officer of the Supreme Court and must behave as befits a member of the solicitors' profession;

      • (ii)

        as an REL, you are to be treated under the Establishment Directive Regulations as if you were an officer of the Supreme Court; you must behave as befits a member of your own profession and as would befit a member of the solicitors' profession; and

      • (iii)

        as an RFL, you have been registered under the Courts and Legal Services Act 1990 as a lawyer suitable to be a solicitor's partner, a director of a recognised body which is a company, or a member of a recognised body which is an LLP, and must behave as befits a member of your own profession and as would befit a member of the solicitors' profession.

      A recognised body has been recognised under the Administration of Justice Act 1985 as a suitable body to provide the services of practising solicitors and other lawyers, and must conduct itself accordingly.

    • (b)

      Under 10.01 (Not taking unfair advantage), if you are a solicitor (anywhere in the world) or an REL (in the UK) you must not, whether in the course of practice or outside it, take unfair advantage of your position as a solicitor, or (within the UK) as an REL.

    • (c)

      Under 10.05(1)(c) and (d), (2) and (3), and 15.10(2)(a)(ii) and (iii), (b) and (c) you must fulfil an undertaking even if it is given outside the course of your practice as a solicitor or as an REL, if you give the undertaking as a solicitor or (within the UK) as a lawyer of ananotherEstablishment Directive state, and this applies to a solicitor anywhere in the world and to an REL anywhere in the UK.

    • (d)

      Under 12.03(2) and (3), if you are an RFL you must not be held out as an RFL, or as regulated by or registered with the Law Society or the Solicitors Regulation AuthoritySRA, except in the context of practice as a partner in an MNP, directormanager or employee of a recognised body which is a company, or member of a recognised body which is an LLPor as an employee of a recognised sole practitioner. Note that if you are an RFL you are not required specifically to fulfil an undertaking given as an RFL but outside the course of practice as an RFL, or prohibited from taking unfair advantage of your position as an RFL - but if you did either of these things you would breach 12.03(2) or (3) and possibly 1.06 (Public confidence). Under 12.03(4)(a) you are prohibited from being held out as a solicitor or barrister (or as any other category of lawyer of England and Wales unless you have that qualification). All these provisions apply outside England and Wales as well as in England and Wales. Under 12.03(4)(b)-(d) you must not do reserved work in England and Wales - whether or not you are practising as an RFL - unless you have a separate qualification which allows you to do that work. Under 12.03(5), if you are not practising as an RFL you must not do any immigration work anywhere in the UK unless you are authorised to do so in your own right, or working under the supervision of someone (not a solicitor, REL or RFL) who is so authorised.

Print page to PDF