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This Practice Note outlines the law concerning criminal recklessness. The subjective test for recklessness Certain statutory and common law offences allow the prosecution to prove mens rea through ‘recklessness’. Put simply, recklessness is where the accused takes an unjustified risk that results in unlawful harm or damage. The House of Lords in R v G reaffirmed the subjective approach to recklessness. Before R v G, two distinct tests were used, depending on the offence charged: Subjective recklessness from R v Cunningham: the prosecution had to establish that the accused personally foresaw the risk. Objective recklessness from R v Caldwell: the prosecution only needed to show that the risk would have been obvious to a reasonable person, without proving the accused themselves foresaw it. In R v G, the House of Lords concluded that the objective test could operate unfairly where a defendant did not foresee the
This Practice Note examines the remedy of rescission, explaining when and in what manner a contract can be unwound (at common law, in equity and under statute) and thereby terminated and brought to an end. It covers the consequences and effects of rescission, the principal grounds for setting aside an agreement (misrepresentation, mistake, undue influence, duress, non‑disclosure, fiduciary misdealing and bribery) and the main obstacles to claiming rescission—affirmation, the intervention of third‑party rights and the impossibility of restitution. For further guidance on rescission in the context of misrepresentation, see Practice Note: Misrepresentation—rescission as a remedy. There are many ways in which a contract may reach its end; see: Terminating contracts—how and when a contract ends—overview for a brief and accessible summary, with links to the related further practical guidance, including Practice Note: Termination and expiry of contracts. For a table
What is a res judicata? A res judicata is a determination by a court or tribunal with jurisdiction over the cause of action and the parties, which finally disposes of the issues decided so they cannot be litigated again by those bound, save on appeal. Final judgments entered by default or by consent fall within this concept, whereas rulings on purely procedural points and any decision lacking finality do not. The doctrine’s aim is to bring litigation to an end and shield parties from being harassed by the same dispute twice. in personam—binds the parties and their privies in rem—binds all persons, privy or otherwise (ie a judgment binding the whole world) A party may rely on res judicata: as an estoppel to defeat an opponent’s claim or defence; and/or as the basis of their own claim or
The offence of causing grievous bodily harm with intent Wounding or causing grievous bodily harm (GBH) with intent can be tried solely in the Crown Court on indictment. Elements of the offence Under the Offences against the Person Act 1861 (OATPA 1861), the prosecution must establish that the defendant unlawfully and maliciously: wounded with the intention of causing GBH, or caused GBH with that intention, or wounded intending to resist or prevent the lawful arrest or detention of any person, or caused GBH intending to resist or prevent the lawful arrest or detention of any person ‘Unlawfully’ and ‘maliciously’ Unlawfully The wounding or causing of GBH must be unlawful. Such conduct may be lawful if used: in self-defence in defence of another in defence of property for the prevention of crime where the victim gave express or implied consent For further information on these defences, see below:
Most recent Practice notes
This Practice Note draws on reporting duties in the SRA Codes of Conduct and the SRA’s enforcement strategy. For fuller guidance on the SRA’s regulatory regime, see the following Practice Notes: SRA Standards and Regulations SRA Codes of Conduct for individuals and firms SRA Accounts Rules—law firms SRA regulatory regime See also Precedents: Breach reporting policy—law firms and Training materials—breach reporting—law firms. When and what must you report to the SRA The SRA’s reporting threshold is framed as a ‘serious breach’—see What is a serious breach? It applies to individuals and firms regulated by the SRA, as well as compliance officers. Universal obligation—individuals and firms regulated by the SRA The universal reporting obligations imposed on those regulated by the SRA are set out below: Obligation: Promptly notify the SRA (or another approved regulator, where appropriate) of any facts or matters that you reasonably believe could amount to a serious breach of their...
The SRA Sectoral Risk Assessment— Anti-money laundering and terrorist financing 2025 The SRA’s 2025 sectoral risk assessment outlines the principal money laundering and terrorist financing risks facing solicitors. This Practice Note sets out the background to the 2025 SRA assessment, conducted and published by the SRA under the Money Laundering, Terrorist Financing and Transfer of Funds ( Information on the Payer) Regulations 2017 ( MLR 2017), SI 2017/692, as amended, which also details proliferation financing risks relevant to solicitors. Here we distil its key findings and explain what the release of the SRA risk assessment 2025 means for you. Background Law firms and other bodies within scope of the MLR 2017 sit at the base of a risk assessment pyramid. For the purposes of the MLR 2017, the SRA is the supervisory authority for law firms. When completing your risk assessment, you must consider the SRA’s own...
The Solicitors Regulation Authority ( SRA) has continually adapted how it oversees the solicitors’ profession since it began. This Practice Note sets out the scope, including the people and activities it oversees and the ways it does so. It mirrors the requirements of the SRA Standards and Regulations. The Solicitors Regulation Authority The SRA is the Law Society’s independent regulatory arm. It regulates the solicitors’ profession in England and Wales—covering individuals and legal services entities. Its purpose is to ensure consumers receive a good service and uphold the rule of law. It does not represent the solicitors’ profession; that is the Law Society’s function. For more on the SRA’s structure, role and powers, see Practice Note: Solicitors Regulation Authority. Who the SRA regulates In addition to individuals, the SRA regulates every type of business model as entities, including sole practitioners and alternative business structures ( ABSs). This is...
This Practice Note is aimed at law firms. It encapsulates the publicity obligations in the SRA Standards and Regulations, together with associated SRA guidance and warning notices. In essence, you must ensure that any publicity about your practice accords with the SRA Principles, particularly by acting in a manner that sustains public trust and confidence in the solicitors’ profession and with honesty and integrity. When delivering services to the public, or a section of it, you must also ensure that publicity about your practice is accurate and not misleading, including any statements about your charges and the situations in which interest is payable by or to clients. There are additional requirements concerning letterheads, how staff are described, your regulatory status, and price and service information, etc, which apply more broadly. See also Precedent: Publicity policy—law firms. What is...
This Practice Note is aimed at law firms regulated by the Solicitors Regulation Authority ( SRA), including sole practices. It sets out the requirements in the SRA Standards and Regulations concerning professional indemnity insurance ( PII). It is not designed for in-house lawyers or freelance solicitors. Firms must purchase qualifying insurance on the SRA’s minimum terms. They must also ensure their PII offers adequate and appropriate protection for services the firm provides or has provided, taking account of any alternative arrangements the firm or its clients may make. This is referred to as the ‘adequate and appropriate insurance’ requirement. Requirement to have PII Law firms regulated by the SRA must have: qualifying insurance with a participating insurer—see section: Qualifying insurance with a participating insurer, and adequate and appropriate cover—see section: Adequate and appropriate insurance The main PII obligations are set out in the SRA...
SRA Transparency Rules The Solicitors Regulation Authority ( SRA) requires law firms to publish on their websites the prices they charge and what these encompass. This does not apply to all legal work, only to: Five types of services for the public: Residential conveyancing Uncontested UK probate and estate administration Immigration applications and appeals (excluding asylum) Minor motoring offences Employment tribunals (employee claims for unfair or wrongful dismissal) Three types of services for businesses: Debt recovery (up to £100,000) Employment tribunals (defending claims for unfair or wrongful dismissal) ...
This Practice Note sets out the SRA’s expectations for personal injury ( PI) referral arrangements. It mirrors the SRA Standards and Regulations, aligns with SRA guidance, and the statutory scheme in the Legal Aid, Sentencing and Punishment of Offenders Act 2012 ( LASPO 2012). For SRA rules on referral and fee sharing (including PI), see Practice Note: Referral and fee sharing arrangements. If you think your PI referral arrangement includes an unlawful referral fee, you should: end the arrangement, or amend the arrangement to remove the unlawful fee and ensure compliance with relevant SRA requirements Statutory regime PI referral fees are prohibited in almost all situations. LASPO 2012 created the overarching legislative framework for the PI referral fee ban. Front-line regulators, such as the SRA and the Financial Conduct Authority ( FCA), implement it. Certain powers are reserved to the Lord...
This Practice Note outlines the SRA’s regulatory obligations around litigation and advocacy, and offers direction on why a litigation policy is necessary. It mirrors the SRA Standards and Regulations and draws on pertinent SRA guidance, particularly on conduct in disputes. It also aligns with current SRA commentary on dispute conduct. What types of litigation are covered? A ‘court’ encompasses any court, tribunal or inquiry in England and Wales, a British court martial, or a court in another jurisdiction. Strictly speaking, alternative dispute resolution ( ADR), including mediation or arbitration, does not take place before a court. Nonetheless, you should apply equivalent standards of behaviour across all ADR processes; the SRA Principles are pervasive and extend to ADR. Accordingly, maintain consistent professional decorum across mediation, arbitration and other ADR formats. SRA Standards and Regulations It reflects the SRA Standards and Regulations, together with relevant SRA...
The Solicitors Regulation Authority ( SRA) oversees both individuals (solicitors, registered European lawyers, registered foreign lawyers and registered Swiss lawyers) and practices (including partnerships, limited liability partnerships ( LLPs), companies and sole practitioners). This Practice Note outlines the idea of firm-based regulation, a framework under which entities are supervised by the SRA in practice. What is firm-based regulation? The majority of providers generally operate through a business structure, for example: partnership LLP company The sole practitioner (that is, sole trader) model is the notable exception. Where a firm delivers reserved legal activity services, it will usually require authorisation from one of the legal services regulators. Where a firm does not deliver reserved legal activity services, it may not require authorisation; however, subject to meeting the SRA’s eligibility criteria, it can elect to place itself within SRA regulation. If a firm undertakes...
The Solicitors Regulation Authority ( SRA) has set out an enforcement strategy describing how it enforces, how it evaluates the gravity of concerns, and the sanctions and controls available to it. It has also issued guidance on its approach in the following specific areas: anti-money laundering competence and standards of service criminal offences outside of practice driving with excess alcohol convictions social media use and offensive communications application of SRA Principle 1 The SRA has additionally published guidance on its approach where firms have not taken suitable steps to protect staff wellbeing in the workplace—see: Workplace environment—and on how it publishes regulatory and disciplinary decisions—see: Publishing regulatory and disciplinary decisions. This Practice Note outlines the SRA’s enforcement strategy, including its approach to enforcement, assessment of seriousness, the sanctions and controls open to it, and the guidance in the areas...
The Solicitors Regulation Authority ( SRA) operates through three principal functions: authorisation (see Practice Note: SRA’s authorisation function); supervision (see Practice Note: SRA’s supervision function); and enforcement (the subject of this Practice Note). This Note outlines the SRA’s enforcement role and general approach. For the SRA’s fuller enforcement strategy, see Practice Note: SRA enforcement strategy. Conduct, negligence and complaints The SRA’s enforcement teams address conduct concerns rather than complaints about poor service, which are handled by the Legal Ombudsman ( Le O) (see Practice Note: Legal complaints handling—regulatory bodies). Examples of conduct and service issues include: Conduct issues for SRA: Unjustified retention of client money Failure to account to a client for sums due to them Acting where there is a conflict Discrimination Breach of undertaking Service issues for Le O: Failure to follow instructions ...
The Solicitors Regulation Authority ( SRA) mandates that, every two years, you gather, submit and publish information on the diversity profile of your workforce. The SRA sets out in detail the categories to be collected and the individuals to be included. This Practice Note outlines what your firm must do. A companion Practice Note, Diversity monitoring and data protection, addresses the data protection considerations of diversity monitoring. The regulatory regime There is no express statutory duty to monitor workforce diversity; this obligation arises from the SRA’s rules. The three stages of diversity monitoring collecting diversity information from your workforce reporting those figures to the SRA publishing the results Are all firms required to monitor diversity? The duty to collect, report and publish diversity figures covers all firms, including sole practitioners, traditional practices and alternative business structures. Where a firm consists of multiple separate but related...
The SRA’s continuing competence regime obliges solicitors to review their work, pinpoint and address learning and development needs, ensuring their knowledge and skills remain current. Every solicitor must confirm annually to the SRA, as part of renewing their practising certificate, that this has been completed. The renewal application also requires a declaration of a current understanding of the legal, ethical and regulatory duties pertinent to their role. An hours‑based CPD quota no longer applies. This Practice Note reviews the competence lifecycle and practical matters arising from the regime, together with steps solicitors can use to evaluate, sustain and track competence. It reflects: regulatory requirements—see Practice Note: The continuing competence regime; and the SRA’s continuing competence guidance and commentary from the SRA following thematic reviews, including its reviews of probate and estate administration and professional obligations. The competence statement The SRA competence statement sets out the...
Under the SRA Standards and Regulations: Solicitors, registered European lawyers ( RELs) and registered foreign lawyers ( RFLs) must preserve their competence to perform their role and keep their professional knowledge and skills current SRA‑regulated firms must make sure their managers and employees are competent to fulfil their role and keep their professional knowledge and skills, together with their understanding of legal, ethical and regulatory obligations, up to date Solicitors, RELs, RFLs and firms must all ensure the service offered to clients is competent The SRA’s continuing competence regime operates alongside the requirements of the Codes of Conduct and applies to a more limited group of people—see: Who must comply with the continuing competence requirements? Nevertheless, it provides a framework enabling all lawyers and their employers to assess, maintain and monitor competence. This Practice Note examines the SRA’s continuing competence regime,...
The SRA Codes of Conduct (the SRA Code for Solicitors, RELs, RFLs and RSLs ( Code for Solicitors) and the SRA Code for Firms) refer to two types of conflict of interest as shown below: The SRA identifies two forms of conflict of interest. These are: Own interest conflict: this arises where your obligation to act in a client’s best interests conflicts, or could conflict, with your own interests in that matter or a connected matter. Client conflict ( Conflict of interest): this occurs where your separate duties to act in the best interests of two or more clients are in opposition in that matter or a related matter (commonly described as a client conflict). You must not act where an own interest conflict exists. You are also unable to act where there is a client conflict unless: one of two...
This Practice Note outlines the functions and duties of law firm compliance officers—namely the compliance officer for legal practice ( COLP) and the compliance officer for finance and administration ( COFA). It draws on the SRA Standards and Regulations, the SRA’s guidance on what is expected of COLPs and COFAs, and findings from the SRA’s thematic review of compliance officers. It also provides a high-level overview of regulatory duties around notifying the SRA of compliance breaches; for fuller advice on reporting failures, see: Breach reporting—law firms... Requirement to have compliance officers An authorised body must at all times have a designated COLP and a designated COFA, with those designations approved by the SRA. An authorised body is: a recognised body (ie lawyer-owned firm) an alternative business structure ( ABS), or a recognised sole practice regulated by the SRA. Although primary legislation and the SRA Standards and...
The Solicitors Regulation Authority ( SRA) has three core operational functions: authorisation (the focus of this Practice Note) supervision (refer to Practice Note: SRA’s supervision function) enforcement (refer to Practice Note: SRA’s enforcement function) To deliver reserved legal services—or, for an individual, to present yourself as a solicitor—you are required to hold authorisation from one of the legal services regulators. The SRA’s authorisation teams rigorously assess applicants to ensure proper and thorough vetting. The SRA grants authorisation solely to candidates who can clearly show that they satisfy the requisite standards. This Practice Note sets out the SRA’s overall approach to authorisation......
This Practice Note outlines the SRA Accounts Rules ( Accounts Rules) requirements concerning the fair payment of interest to clients and third parties. Responsibility for compliance Your firm’s managers carry joint and several legal responsibility for compliance. A manager includes a sole practitioner, an LLP member, a company director, or a partner in a partnership, etc. The compliance officer for finance and administration ( COFA) must take all reasonable steps to ensure the firm, its managers and employees meet any duties placed on them by the Accounts Rules. That said, the COFA is not jointly and severally liable alongside the firm’s managers for compliance. SRA requirements General obligation to pay interest You must credit clients, or relevant third parties, with a fair amount of interest on any client funds you hold for them. By written agreement, you may adopt an alternative arrangement with the client or third party for whom the...
This Practice Note outlines the SRA Accounts Rules ( Accounts Rules) together with supporting guidance issued by the SRA. The Accounts Rules form part of the SRA Standards and Regulations. They emphasise the core principles of: keeping client funds distinct from the firm’s own money returning client funds swiftly once a matter concludes using client money solely for the purpose intended proportionate obligations on firms to obtain accountants' reports The Accounts Rules are succinct, but they are supported by guidance on key topics—see Supporting guidance below. In general, the Rules are drafted in clear, straightforward language that is easy to follow. Supporting guidance The Standards and Regulations are supplemented with case studies and guidance presented in various formats, including Q& As, warning notices, decision trees and topic guidance. For the Accounts Rules, the SRA has produced the...
This Practice Note summarises what the SRA Accounts Rules require concerning the duty to obtain and deliver an accountant’s report. It also mirrors related SRA guidance, namely: Accountant’s report and when an exemption applies Planning and completing an accountant’s report The Accounts Rules are succinct, supported by extensive SRA guidance. They are set out in plain language and are straightforward to follow, yet include subjective terms such as ‘promptly’, ‘fair’ and ‘appropriate’. The SRA recognises this calls for professional judgement. Most firms must obtain an accountant’s report, although only a small proportion are required to deliver that report to the SRA. Responsibility for compliance Your firm’s managers are jointly and severally responsible for compliance. A manager includes a sole practitioner, member of an LLP, director of a company, partner in a partnership, etc. The firm’s compliance officer for finance and...
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When evaluating a general damages claim, the practitioner ought initially to refer to the Judicial College Guidelines (JCG)...
This Practice Note This Practice Note reviews mechanisms used in settling litigation. A Tomlin order consists of a consent order paired with a schedule. It operates to stay proceedings on terms that have been agreed. The provisions contained in the schedule may remain confidential. This Practice Note describes the scope of confidentiality attaching to the schedule and sets out how it differs from a standard consent order. Sample wording for a Tomlin order is included, alongside links to precedents, as well as guidance on court approval. It also addresses varying, setting aside and enforcing a Tomlin order, including the considerations the court will take into account when handling applications for each. Further guidance is provided on interpreting and applying the relevant provisions of the CPR; however, some courts and divisions impose very specific requirements for both drafting and approval, and for approaching the schedule and confidentiality issues. Accordingly, you must consider the particular rules and court guide provisions in the forum where your claim is proceeding when drawing up the Tomlin order...
Date [ date ] Parties [ name of Landlord ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Landlord) [ name of Tenant ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Tenant) [ [ name of Guarantor ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Guarantor) ] [ [ name of Mortgagee ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Mortgagee) ] Definitions Within this Deed, the terms below shall be interpreted as follows: [ Annual Rent • the annual sum reserved under the Lease; ] [ Insurance Rent • the Tenant’s share of the Landlord’s costs of insuring the Property (as set out in the Lease); ] Lease • the lease of the Property dated [ date ], entered into between (1) [ the Landlord OR [ name ...
I, [ name ], of [ address ], solemnly and sincerely state that: [ Matters to be verified, set out in numbered paragraphs ] I make this solemn statement in good conscience, believing it to be true, and pursuant to the provisions of the Statutory Declarations Act 1835. DECLARED at [ details ] this [ day ] day of [ month and year ] Before me ................................................................................ [ signature of the person before whom the declaration is made ] A [ commissioner for oaths OR [ solicitor OR [ insert other qualification ] ] authorised to administer oaths ]...
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