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Rule 23: Application of these rules
[;BEGIN MATTER INSERTED ON 6 OCTOBER 2011;] 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. [;END INSERTED MATTER;]
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[;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]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. [;END INSERTED MATTER;]
Rule
23.01
[;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]Subject to 23.03 below t [;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]T [;END INSERTED MATTER;]hese rules apply to you (and "you" must be construed accordingly) [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]if you are: [;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]in the following circumstances. [;END INSERTED MATTER;]
- [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
[;END DELETED MATTER;]- (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;
- (A)
- (i)
- (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
- (i)
- (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;
- (a)
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.
[;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] Application in relation to practice from an office in England and Wales [;END INSERTED MATTER;]
[;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]- (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;
- (i)
- (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.
- (a)
- (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.
- (i)
- (a)
[;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]Application in relation to practice from an office outside England & Wales [;END INSERTED MATTER;]
[;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]- (3)
These rules apply to your practice from an office outside England and Wales to the extent specified in rule 15.
23.02
[;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]The following apply in [;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]In [;END INSERTED MATTER;] relation to [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]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 capacity [;END INSERTED MATTER;] [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]other forms of practice, and outside practice [;END DELETED MATTER;]:
- (a)
rule 1.06 (Public confidence) [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] applies to you if you are a solicitor, an REL or an RFL [;END INSERTED MATTER;];
- (b)
rule 10.01 [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] (Not taking unfair advantage) [;END INSERTED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] applies to you if you are a solicitor or REL; [;END INSERTED MATTER;] [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
[;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]:[;END DELETED MATTER;][;END DELETED MATTER;]- (i)
if you are a solicitor, in England and Wales and overseas; and
- (ii)
if you are an REL, within the UK;
- (i)
- (c)
rules 10.05(1)(c) and (d), (2) and (3), [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
and 15.10(2)(a)(ii) and (iii), (b) and (c)[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;](undertakings given outside the course of practice) apply to you if you are a solicitor or REL [;END INSERTED MATTER;]; [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] and [;END INSERTED MATTER;] - (d)
rules 12.03(2)[;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
and 12.03(3)[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] 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 [;END INSERTED MATTER;].
- (a)
23.03
[;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]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).[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]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). [;END INSERTED MATTER;]
Guidance to rule 23 – Application of these rules
- 1.
[;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
The rules apply in different ways to[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]Rule 23 applies all these rules, except rule 15, to your practice from an office in England and Wales if you are [;END INSERTED MATTER;] a solicitor, an REL, a recognised body [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]incorporated in England and Wales, a recognised body incorporated outside England and Wales, and an RFL.[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;], 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. [;END INSERTED MATTER;] - 2.
[;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]These rules are also applied to your practice from an office outside England and Wales but only to the extent specified in rule 15. [;END INSERTED MATTER;]The key to the application of a rule is [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;], therefore, [;END INSERTED MATTER;] 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.
- [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
3.[;END DELETED MATTER;]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.
- (a)
- [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]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).
[;END INSERTED MATTER;] - 4.
[;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
An[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]The rules apply to an [;END INSERTED MATTER;]RFL who is a [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]partner in an MNP, a director[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]manager or employee [;END INSERTED MATTER;] of a recognised body [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]which is a company, or a member of a recognised body which is an LLP is subject to the rules[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] or an employee of a recognised sole practitioner, [;END INSERTED MATTER;] in relation to practice from an office in England and Wales. [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]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. [;END INSERTED MATTER;]An RFL is not subject to any of the rules in relation to [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]any other form of [;END INSERTED MATTER;]practice [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]outside an MNP or a recognised body[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;], or outside practice [;END INSERTED MATTER;], or in relation to practice from an office outside England and Wales, except [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]1.06 (Public confidence)[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]as set out in note 6 [;END INSERTED MATTER;]. - [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]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).
[;END INSERTED MATTER;] - [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
5.[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]6. [;END INSERTED MATTER;]Certain rules also apply in relation to other forms of practice, and outside practice:
- (a)
Under 1.06 (Public confidence) [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;], if you are a solicitor, REL or RFL [;END INSERTED MATTER;] you must not behave in a way that is likely to diminish the trust the public places in you or the [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]legal [;END INSERTED MATTER;]profession. [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]Rule [;END INSERTED MATTER;]1.06 applies to your conduct both in your practice as a solicitor, REL or RFL and outside it, [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]and in England and Wales or anywhere else in the world. [;END INSERTED MATTER;] [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
[;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]to the extent that:[;END DELETED MATTER;][;END DELETED MATTER;][;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]- (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.
[;END DELETED MATTER;]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.
- (i)
- (b)
Under 10.01 (Not taking unfair advantage) [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;], if you are a solicitor (anywhere in the world) or an REL (in the UK) [;END INSERTED MATTER;] you must not [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;], whether in the course of practice or outside it, [;END INSERTED MATTER;] take unfair advantage of your position [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
as a solicitor, or (within the UK) as an REL[;END DELETED MATTER;]. - (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 [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
(within the UK)[;END DELETED MATTER;]as a lawyer of [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]an[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]another [;END INSERTED MATTER;]Establishment Directive state [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;], and this applies to a solicitor anywhere in the world and to an REL anywhere in the UK [;END INSERTED MATTER;]. - (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 [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
Solicitors Regulation Authority[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]SRA [;END INSERTED MATTER;], except in the context of practice as a [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]partner in an MNP, director[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]manager or employee [;END INSERTED MATTER;] of a recognised body [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]which is a company, or member of a recognised body which is an LLP[;END DELETED MATTER;][;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]or as an employee of a recognised sole practitioner[;END INSERTED MATTER;]. [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]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).[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] 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. [;END INSERTED MATTER;]
- (a)
Rule 23: Application of these rules
[;BEGIN MATTER INSERTED ON 6 OCTOBER 2011;] 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. [;END INSERTED MATTER;]
Go to SRA Handbook
[;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]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. [;END INSERTED MATTER;]
Rule
23.01
[;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]Subject to 23.03 below t [;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]T [;END INSERTED MATTER;]hese rules apply to you (and "you" must be construed accordingly) [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]if you are: [;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]in the following circumstances. [;END INSERTED MATTER;]
- [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
[;END DELETED MATTER;]- (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;
- (A)
- (i)
- (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
- (i)
- (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;
- (a)
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.
[;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] Application in relation to practice from an office in England and Wales [;END INSERTED MATTER;]
[;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]- (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;
- (i)
- (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.
- (a)
- (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.
- (i)
- (a)
[;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]Application in relation to practice from an office outside England & Wales [;END INSERTED MATTER;]
[;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]- (3)
These rules apply to your practice from an office outside England and Wales to the extent specified in rule 15.
23.02
[;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]The following apply in [;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]In [;END INSERTED MATTER;] relation to [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]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 capacity [;END INSERTED MATTER;] [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]other forms of practice, and outside practice [;END DELETED MATTER;]:
- (a)
rule 1.06 (Public confidence) [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] applies to you if you are a solicitor, an REL or an RFL [;END INSERTED MATTER;];
- (b)
rule 10.01 [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] (Not taking unfair advantage) [;END INSERTED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] applies to you if you are a solicitor or REL; [;END INSERTED MATTER;] [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
[;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]:[;END DELETED MATTER;][;END DELETED MATTER;]- (i)
if you are a solicitor, in England and Wales and overseas; and
- (ii)
if you are an REL, within the UK;
- (i)
- (c)
rules 10.05(1)(c) and (d), (2) and (3), [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
and 15.10(2)(a)(ii) and (iii), (b) and (c)[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;](undertakings given outside the course of practice) apply to you if you are a solicitor or REL [;END INSERTED MATTER;]; [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] and [;END INSERTED MATTER;] - (d)
rules 12.03(2)[;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
and 12.03(3)[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] 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 [;END INSERTED MATTER;].
- (a)
23.03
[;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]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).[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]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). [;END INSERTED MATTER;]
Guidance to rule 23 – Application of these rules
- 1.
[;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
The rules apply in different ways to[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]Rule 23 applies all these rules, except rule 15, to your practice from an office in England and Wales if you are [;END INSERTED MATTER;] a solicitor, an REL, a recognised body [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]incorporated in England and Wales, a recognised body incorporated outside England and Wales, and an RFL.[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;], 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. [;END INSERTED MATTER;] - 2.
[;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]These rules are also applied to your practice from an office outside England and Wales but only to the extent specified in rule 15. [;END INSERTED MATTER;]The key to the application of a rule is [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;], therefore, [;END INSERTED MATTER;] 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.
- [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
3.[;END DELETED MATTER;]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.
- (a)
- [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]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).
[;END INSERTED MATTER;] - 4.
[;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
An[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]The rules apply to an [;END INSERTED MATTER;]RFL who is a [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]partner in an MNP, a director[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]manager or employee [;END INSERTED MATTER;] of a recognised body [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]which is a company, or a member of a recognised body which is an LLP is subject to the rules[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] or an employee of a recognised sole practitioner, [;END INSERTED MATTER;] in relation to practice from an office in England and Wales. [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]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. [;END INSERTED MATTER;]An RFL is not subject to any of the rules in relation to [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]any other form of [;END INSERTED MATTER;]practice [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]outside an MNP or a recognised body[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;], or outside practice [;END INSERTED MATTER;], or in relation to practice from an office outside England and Wales, except [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]1.06 (Public confidence)[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]as set out in note 6 [;END INSERTED MATTER;]. - [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]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).
[;END INSERTED MATTER;] - [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
5.[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]6. [;END INSERTED MATTER;]Certain rules also apply in relation to other forms of practice, and outside practice:
- (a)
Under 1.06 (Public confidence) [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;], if you are a solicitor, REL or RFL [;END INSERTED MATTER;] you must not behave in a way that is likely to diminish the trust the public places in you or the [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]legal [;END INSERTED MATTER;]profession. [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]Rule [;END INSERTED MATTER;]1.06 applies to your conduct both in your practice as a solicitor, REL or RFL and outside it, [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]and in England and Wales or anywhere else in the world. [;END INSERTED MATTER;] [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
[;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]to the extent that:[;END DELETED MATTER;][;END DELETED MATTER;][;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]- (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.
[;END DELETED MATTER;]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.
- (i)
- (b)
Under 10.01 (Not taking unfair advantage) [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;], if you are a solicitor (anywhere in the world) or an REL (in the UK) [;END INSERTED MATTER;] you must not [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;], whether in the course of practice or outside it, [;END INSERTED MATTER;] take unfair advantage of your position [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
as a solicitor, or (within the UK) as an REL[;END DELETED MATTER;]. - (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 [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
(within the UK)[;END DELETED MATTER;]as a lawyer of [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]an[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]another [;END INSERTED MATTER;]Establishment Directive state [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;], and this applies to a solicitor anywhere in the world and to an REL anywhere in the UK [;END INSERTED MATTER;]. - (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 [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
Solicitors Regulation Authority[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]SRA [;END INSERTED MATTER;], except in the context of practice as a [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]partner in an MNP, director[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]manager or employee [;END INSERTED MATTER;] of a recognised body [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]which is a company, or member of a recognised body which is an LLP[;END DELETED MATTER;][;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]or as an employee of a recognised sole practitioner[;END INSERTED MATTER;]. [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]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).[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] 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. [;END INSERTED MATTER;]
- (a)