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Introduction to statutory interpretation The aim of statutory interpretation is to determine the legal meaning of a statute, that is, the sense that expresses the legislator’s intention. The clearest guide to that intention is the statutory wording itself, read in its context and with its overall purpose in mind, and its broader legislative setting. Courts should seek to fulfil the purpose of legislation by construing its language, so far as they can, in the manner that most effectively serves that purpose. Put differently, the courts’ default method is purposive, and every enactment is to be construed with that end in view. There is a starting presumption that the grammatical and ordinary sense of an enactment reflects the meaning intended by the legislator. Where an enactment reasonably bears only a single meaning, and no other interpretative tools or
This Practice Note addresses identifying a fiduciary, fiduciary duties and obligations, the no conflict rule, the no profit rule, a fiduciary's duty of confidence, and the remedies available for breach of fiduciary duty. Who is a fiduciary? There is no definitive catalogue of relationships that give rise to fiduciary obligations at common law in every situation universally. Certain relationships are inherently fiduciary, eg trustee and beneficiary, solicitor and client, principal and agent, business partner and co-partners, together with mortgagor and mortgagee. The obligations of some fiduciaries have been set out in statute; for instance, trustees owe a statutory duty of skill and care under section 1 of the Trustee Act 2000 (TrA 2000), and directors' relationships with their companies are addressed in the Companies Act 2006 too. For guidance on directors' fiduciary duties, see Practice Note: of directors for further detailed
Definition of ADR Alternative dispute resolution (ADR) is defined in the CPR Glossary as a collective label for methods of settling disputes other than through the usual trial process. Some courts adopt the term ‘negotiated dispute resolution’ (NDR) to describe resolution by alternative means; for ease, this Practice Note uses ADR. For guidance on how ADR is addressed in the various court guides, see Practice Note: ADR and NDR in the court guides. In essence, ADR is a means of resolving a dispute outside the court system. It typically involves a neutral third party who either helps the parties reach a negotiated outcome, or issues a determination of the dispute that is legally binding. A binding result can follow where the agreement to refer the dispute to ADR so provides. There are multiple forms of ADR processes. For an outline of the different types and their
In brief The British constitution is uncodified, meaning it does not spring from a single constitutional document or code. It draws on a wide range of written and unwritten sources. Alongside the principal written sources of law in England and Wales—legislation (which has also introduced international and human rights principles into our constitution) and the common law—the constitution also rests on two further unwritten bases within this system: the prerogative, and non-legal constitutional conventions. In addition, on one view the basic or prevailing principle of our constitution, Parliamentary sovereignty, is ultimately grounded in political fact rather than in law. Legislation Legislation is the foremost source of constitutional law. Acts of Parliament may set out detailed constitutional rules, or even pass authority to create them to ministers or to others. Under the doctrine of Parliamentary sovereignty, legislation is traditionally regarded as taking precedence over any other form or kind of
Most recent Practice notes
Banking regulation— Sri Lanka— Q& A guide This Practice Note delivers a Sri Lanka-focused Q& A on banking regulation, produced within the Lexology Getting the Deal Through series by Law Business Research (law stated as at 31 January 2023). Authors: Tiruchelvam Associates— Heshika Rupasinghe. 1. What are the principal governmental and regulatory policies that govern the banking sector? Banks operate under the Banking Act and must obtain the Monetary Board’s consent. The regime treats overseas and domestic banks alike. Licences are granted to both licensed commercial banks ( LCBs) and licensed specialised, savings or deposit-taking banks ( LSBs). An institution must either be a public company or a branch of a foreign bank registered under the Companies Act. Several institutions are state-owned, partly to counter the dominance of privately held banks in the capital and partly to channel funds into priority areas such as...
The Standards and Regulations set out the standards and requirements that individual lawyers and firms regulated by the Solicitors Regulation Authority ( SRA) are expected to meet and observe: for the benefit of clients in the general public interest This Practice Note outlines how the Standards and Regulations are structured, identifies who is accountable for compliance, and the potential consequences of any breach of the SRA’s requirements. Accessing the The Standards and Regulations are available from the SRA website. Who the Standards and Regulations apply to The Standards and Regulations apply to solicitors, registered European lawyers ( RELs), registered foreign lawyers ( RFLs), registered Swiss lawyers ( RSLs), authorised firms and, depending on the context of a given provision, firms’ managers and employees. The preamble to the Code of Conduct for Firms specifically warns that the SRA may take action against a firm’s employees for...
The SRA Standards and Regulations (also known as the Sta Rs) set out the standards and requirements that individual solicitors, registered European lawyers ( RELs), registered foreign lawyers ( RFLs), registered Swiss lawyers ( RSLs) and firms regulated by the Solicitors Regulation Authority ( SRA) are expected to meet and observe. This Practice Note explains, from an in-house perspective: how the SRA Standards and Regulations are organised who holds responsibility for complying with them the possible consequences of a breach Accessing the SRA Standards and Regulations You can access the SRA Standards and Regulations on the SRA website. Who the Standards and Regulations apply to Depending on the context of a given provision, the SRA Standards and Regulations apply to: solicitors, RELs, RFLs and RSLs authorised law firms law firms’ managers and...
This Practice Note outlines the principal features of the Solicitors Regulation Authority ( SRA) regulatory framework. Within the SRA Standards and Regulations sit, among other things, the SRA Principles, the SRA Code of Conduct for Solicitors, registered European lawyers ( RELs), registered foreign lawyers ( RFLs) and registered Swiss lawyers ( RSLs), the SRA Code of Conduct for Firms, and the SRA Accounts Rules. It provides signposts to the relevant elements of the SRA scheme and clarifies the central concepts. Links to relevant sections appear. The SRA Standards and Regulations took effect on 25 November 2019, supplanting the SRA Handbook and the 2011 Code of Conduct. Family practitioners must understand their professional duties under the SRA Principles, the SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs, and the Code of Conduct for Firms within the Standards and...
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 asks solicitors to reflect on their work and pinpoint—then address—their learning and development needs so their knowledge and skills stay up to date. This Practice Note offers guidance and ideas for weaving self-reflection and long-term planning into your personal development plans. This Practice Note covers: self-awareness and recognising your own learning needs making use of your preferred learning style long-term development planning Self-awareness and identifying your own learning needs Many of us have views on how others operate—what they do well and where improvements lie—but what happens when we focus that spotlight on ourselves? The first step to becoming a strong professional in any discipline is to heighten your self-awareness by taking an honest look at yourself and seeking feedback from others. A useful place to begin is a personal SWOT...
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...
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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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