12/10/24, 5:33 PM SRA I Code of Conduct for Solicitors, RELs and RFLs I Solicitors Regulation Authority
Solicitors Regulation Authority
SRA Code of Conduct for
Solicitors, RELs and RFLs
Guidance, changes, terms, notes and tags
Introduction
The Code of Conduct describes the standards of
professionalism that we, the SRA, and the public expect of
individuals (solicitors, registered European lawyers and
registered foreign lawyers) authorised by us to provide legal
services.
They apply to conduct and behaviour relating to your
practice, and comprise a framework for ethical and
competent practice which applies irrespective of your role or
the environment or organisation in which you work (subject
to the Overseas Rules which apply to your practice overseas);
although paragraphs 8.1 to 8.11 apply only when you are
providing your services to the public or a section of the
public.
Conduct does not need to take place in a workplace in order
to relate to your practice - these requirements capture
conduct which touches realistically upon your practice of the
profession, in a way that is demonstrably relevant.
You must exercise your judgement in applying these
standards to the situations you are in and deciding ona
course of action, bearing in mind your role and
responsibilities, areas of practice, and the nature of your
(which in an in house context will generally include
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your employer and may include other persons or groups
within or outside your employer organisation).
You are personally accountable for compliance with this Code
- and our other regulatory requirements that apply to you -
and must always be prepared to justify your decisions and
actions.
A serious failure to meet our standards or a serious breach of
our regulatory requirements may result in our taking
regulatory action against you. A failure or breach may be
serious either in isolation or because it comprises a
persistent or concerning pattern of behaviour. In addition to
the regulatory requirements set by us in our Codes,
Principles and our rules and regulations, we directly monitor
and enforce the requirements relating to referral fees set out
in section 56 of the Legal Aid, Sentencing and Punishment of
Offenders Act 2012, and provisions relating to anti money
laundering and counter terrorist financing, as set out in
regulations made by the Treasury as in force from time to
time.
All these requirements are underpinned by our Enforcement
Strategy. That strategy explains in more detail our views
about the issues we consider to be serious, and our approach
to taking regulatory action in the public interest.
This introduction does not form part of the SRA Code of
Conduct for Solicitors, RELs and RFLs.
Code of Conduct for Solicitors, RELs
and RFLs
Open all
1: Maintaining trust and acting fairly v
2: Dispute resolution and proceedings v
before courts, tribunals and inquiries
aA
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3: Service and competence
3.1
3.2
3.3
3.4
3.5
3.6
You only act for cli
the client, or from someone properly
authorised to provide instructions on their
's on instructions from
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 obtain or ascertain the
instructions of your client then you are
subject to the overriding obligation to
protect your client's best interests.
You ensure that the service you provide to
clients is competent and delivered in a
timely manner.
You maintain your competence to carry out
your role and keep your professional
knowledge and skills up to date.
You consider and take account of your
Where you supervise or manage others
providing legal services:
(a) you remain accountable for the
work carried out through them;
and
(b) you effectively supervise work
being done for clients.
You ensure that the individuals you manage
are competent to carry out their role, and
keep their professional knowledge and
SRA I Code of Conduct for Solicitors, RELs and RFLs I Solicitors Regulation Authority
client's attributes, needs and circumstances.
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skills, as well as understanding of their
legal, ethical and regulatory obligations, up
to date.
4: Client money and assets v
Business requirements
Open all
5.1-5.3: Referrals, introductions and v
separate businesses
5.4-5.6: Other business requirements v
Conflict, confidentiality and disclosure
Open all
6.1-6.2: Conflict of interests v
6.3-6.5: Confidentiality and disclosure v
7: Cooperation and accountability v
When you are providing services to the
’ — lic or a section of the public
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Open all
8.1: Client identification v
8.2-8.5: Complaints handling v
8.6-8.11: Client information and publicity v
Supplemental notes
Rules made by the Solicitors Regulation Authority Board on 6
June 2023.
Made under sections 2, 13, 28, 31, 32, 33A, 34 and 37 of the
Solicitors Act 1974, section 89 of, and paragraphs 2 and 3 of
Schedule 14 to, the Courts and Legal Services Act 1990,
section 9 of the Administration of Justice Act 1985 and section
83 of, and Schedule 11 to, the Legal Services Act 2007.
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