SRA Code of Conduct meaning

Checklist This Checklist outlines the factors to consider when arranging payments to summoned witnesses under CPR 34.7 and to deponents under CPR 34.8, often described as ‘conduct money’. It explains when payments must not be made, how and when they should be processed, and the sums that are payable... Situations in which no payment should be provided The timing and method for making payments The amounts that are due A witness served with a witness summons (CPR 34.7) or an order for a deposition (CPR 34.8) must be offered, or reimbursed for, specified expenses and for loss of time, collectively referred to as ‘conduct money’. Professional conduct obligations, in particular rules 2.2 and 2.3 of the SRA Code of Conduct for Solicitors, registered European lawyers (RELs) and registered foreign lawyers (RFLs), are pertinent to the payment of witnesses...

This checklist assists you in assessing whether your arrangements and controls support effective compliance with the publicity‑related regulatory duties that govern law firms. Read it alongside the subtopic: Publicity & inducements—law firms, to ensure full context. Publicity obligations under the SRA appear in the SRA Principles, the SRA Code of Conduct for Firms (Code for Firms), the SRA Code of Conduct for Solicitors (Code for Solicitors) and the SRA Transparency Rules. These are supported by guidance notes and warning notices issued by the SRA. See also Practice Note: Publicity—law firms for further detail. General Requirement Compulsory or recommended Comments (if any) ☐ Put in place a process to confirm that any publicity concerning your practice aligns with the SRA Principles and is not misleading. See Precedents: Publicity material compliance check—law firms and Publicity material audit form—law firms...

PI & Clinical Negligence weekly highlights—23 January 2025 In this issue: Public authorities and the state Costs and funding LexTalk®PI & Clinical Negligence: a Lexis®Nexis community LexisNexis® Webinars Daily and weekly news alerts Useful information Public authorities and the state The police owe no general duty to shield individuals from criminal harm, and foreseeability on its own does not create such a duty. Chief Constable of Northamptonshire Police v Woodcock; HD (by their respective litigation friends) v Chief Constable of Wiltshire Police [2025] EWCA Civ 13 comprised two appeals in the Court of Appeal (Civil Division). Each claim examined whether the police could be liable in damages for not preventing injury inflicted by a third party offender. The appeals were heard together. The Court of Appeal rejected the claims of CJ and others alleging a breach of Article 3 of the European Convention on Human Rights and negligence. The police appeal in Ms Woodcock’s case succeeded. There...

In this issue Practice and procedure Emergency procedures Public children Private children International children Costs Daily and weekly news alerts New content Updated content Useful information Practice and procedure New code of conduct for investigators The Solicitors Regulation Authority (SRA) has confirmed that the Association of British Investigators (ABI) has introduced an updated members’ code of conduct to ensure compliance with the General Data Protection Regulations. Approved by the Information Commissioner’s Office (ICO), the code is available on the Commissioner’s website. Emergency procedures Domestic Abuse Act 2021 (Commencement No 7 and Saving Provisions) Regulations 2025, SI 2025/261, alongside Domestic Abuse Act 2021 (Commencement No 8 and Saving Provisions) Regulations 2025, SI 2025/319, bring Part 3 of the Domestic Abuse Act 2021 into effect, so far as not already commenced, on a pilot basis from 11 March 2025. This excludes section 55 of the 2021 Act (which repeals domestic violence protection notices...

See Q&A: Which breaches of the SRA Standards and Regulations are subject to fixed penalty fines? The Solicitors Regulation Authority (SRA) is authorised to issue fixed penalty fines for defined infringements of the SRA Standards and Regulations (StaRs). The infringements that attract a fixed penalty are detailed in rule 11.2 of the SRA Regulatory and Disciplinary Procedure Rules...

All family practitioners ought to approach their work with a commercially minded approach to practice. Partners must ensure the firm as a whole turns a healthy profit, heads of department must deliver a profitable team, and each individual must be profitable to safeguard their business, their team or their role. Although making major changes to systems can be culturally or personally difficult, smaller, incremental actions that lift profit margins are usually far more attainable for virtually any practice. This Practice Note sets out practical suggestions designed to strengthen performance at both personal and firm-wide scale. Professional obligations The SRA Standards and Regulations apply. The key requirements set out within the SRA Standards and Regulations comprise the following: Principles Code of Conduct for Solicitors, registered European lawyers (RELs), registered foreign lawyers (RFLs) and registered Swiss lawyers (RSLs) Code of Conduct for Firms Accounts Rules Glossary The SRA Accounts Rules set out how firms should keep clients’ money safe and...

This Practice Note This Practice Note sets out solicitors’ mandatory duties to give clear, comprehensive costs information to privately funded clients. It covers what should be included in client care letters, cost/benefit analysis, exposure to another party’s costs, and funding aspects such as legal services orders and Sears Tooth agreements. A matter will be privately funded where: the client has agreed to pay their fees from their own resources, and their obligation to pay is not dependent on a particular event, eg winning the case See Practice Note: Funding—charging for family law services for the different approaches to privately funded work. Professional obligations The Solicitors Regulation Authority (SRA) Standards and Regulations apply. Key components include the SRA: Principles Code of Conduct for Solicitors, registered European lawyers (RELs) and registered foreign lawyers (RFLs) Code of Conduct for Firms Accounts Rules Glossary For further guidance, see Practice Note: The Solicitors Regulation Authority...

Client care means delivering an appropriate standard of service to clients. This Practice Note explains the Solicitors Regulation Authority (SRA) framework governing client care, service quality and competence, together with client care letters and the particulars they must include, such as cost limits, interim and statute bills, complaints procedures, termination of instructions, and information that must be provided where a client is either privately or publicly funded. It also considers the Resolution Code of Practice, Law Society guidance, and the position of the Legal Ombudsman (LeO) on client care. Solicitors Regulation Authority regulatory regime The key elements of the SRA Standards and Regulations include the SRA: Principles Code of Conduct for Solicitors, registered European lawyers (RELs) and registered foreign lawyers (RFLs) Code of Conduct for Firms Accounts Rules Glossary For further guidance, see Practice Note: The Solicitors Regulation Authority (SRA) regime for family lawyers...

This Deed This Deed is entered into on [ insert date ] by the parties identified below. Parties The individuals whose full names and addresses are set out in the Schedule (each a Partner and, collectively, the Partners) [ Insert name of COFA ] of [ insert address ] (the COFA) BACKGROUND (A) The Partners carry on business as a legal practice authorised and regulated by the Solicitors Regulation Authority (SRA) under the name of [ insert name of firm ] (the Firm). (B) The Partners have appointed [ insert name of COFA ] as the Firm’s compliance officer for finance and administration (COFA), subject to [ continued ] approval by the SRA. (C) The parties have agreed that the COFA shall have the benefit of an indemnity from the Partners in relation to certain liabilities of the COFA, as more fully set out in this deed. THIS DEED PROVIDES: COFA’s regulatory...

This document offers guidance to [ insert eg, partners ] and any other members of staff involved in supervising colleagues who work remotely and off-site. It covers the oversight of all contractors who are engaged on remote-working arrangements as well. What the SRA expects from us The SRA sets broad requirements for the supervision of work, together with specific regulatory duties concerning the training and oversight of our trainee solicitors. Its core supervisory obligations are contained in the two Codes of Conduct (the SRA Code for Solicitors, RELs, RFLs and RSLs and the SRA Code for Firms) and should be interpreted in light of the SRA Principles. Additional supervision-related provisions are dispersed throughout the SRA Standards and Regulations. The core requirements in the Codes of Conduct are set out below: Obligations applying to the firm Obligations applying to individual solicitors, RELs, RFLs and RSLs regulated by the SRA The firm remains accountable for compliance with the SRA’s regulatory arrangements where...

The following table sets out a variety of conflict and confidentiality scenarios we might encounter. It is intended to guide decisions on whether we may act and, if so, which measures we should adopt. It mirrors the obligations in the SRA Code of Conduct for Solicitors, RELs and RFLs (Code for Solicitors) and the SRA Code of Conduct for Firms (Code for Firms) regarding conflicts of interest and the protection of confidential information belonging to current or former clients. It does not cover clashes with the firm’s commercial interests or duties of confidentiality owed to non-clients, eg under a confidentiality agreement with a third party. When we evaluate a potential conflict or confidentiality concern, one end of the spectrum is that we cannot act at all, and at the other there are no conflict or confidentiality issues and no information safeguards are required—in between, our ability to act turns on factors such as SRA exceptions, client consent and the use of information barriers...