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The SRA Principles preface the SRA Handbook and set out mandatory and fundamental requirements for ethical behaviour and practice for those individuals and firms regulated by the SRA.
They deal with, for example, the need to uphold the law and proper administration of justice and to act with integrity. They also underline, for example, the importance of firms being properly governed and managed and of encouraging equality and promoting diversity.
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Publicity鈥攍aw firms鈥攃hecklist This Checklist is designed to help you determine whether you have the systems in place to comply with regulatory requirements that apply to law firms in relation to publicity. It should be read in conjunction with subtopic: Publicity & inducements鈥攍aw firms. SRA requirements in relation to publicity are contained in the SRA Principles, the SRA Code of Conduct for Firms (Code for Firms), SRA Code of Conduct for Solicitors (Code for Solicitors) and the SRA Transparency Rules. This is supplemented by guidance documents and warning notices. See Practice Note: Publicity鈥攍aw firms. General Requirement Compulsory or recommended Comments (if any) 鈽 Establish a procedure for ensuring any publicity relating to your practice is aligned with the SRA Principles and is not misleading.See Precedents: Publicity material compliance check鈥攍aw firms and Publicity material audit form鈥攍aw firms. Compulsory SRA PrinciplesCode for Solicitors, para 1.4 SRA Code of Conduct for Firms (Code for Firms), para 1.4 (Insert any comments you may wish to make regarding your firm鈥檚 arrangements) 鈽 When you...
Registered foreign lawyer (RFL)鈥攃hecklist This Checklist is designed to help you when applying for registration as a registered foreign lLawyer (RFL) or when your firm is working with an RFL. It should be read in conjunction with Practice Note: Working with foreign lawyers鈥攖he registered foreign lawyer (RFL) regime. A: Determining whether a lawyer can become a registered foreign lawyer If the answer to all of the following questions is 'yes', it should be possible for a lawyer to apply for registration as an RFL. Screening question Answer/Comment Is the lawyer a foreign lawyer?A foreign lawyer is a person who is not a solicitor or barrister of England and Wales but who is a member, and entitled to practise as such, of a legal profession regulated within a jurisdiction outside England and Wales. See Practice Note: Working with foreign lawyers鈥攖he registered foreign lawyer (RFL) regime鈥擝ecoming a registered foreign lawyer. Yes/No Is the lawyer a member of an approved profession for the purposes of the SRA?If the lawyer's profession...
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The Solicitors Regulation Authority (SRA) has three core operational functions: 鈥uthorisation (see Practice Note: SRA's authorisation function)鈥upervision (see Practice Note: SRA's supervision function)鈥nforcement (which this Practice Note covers)This Practice Note describes the SRA鈥檚 enforcement function and its general approach to enforcement. For more information on the SRA鈥檚 detailed enforcement strategy, see Practice Note: SRA enforcement strategy.Conduct, negligence and complaintsThe SRA's enforcement teams deal with conduct issues rather than complaints about poor service, which are handled by the Legal Ombudsman (LeO) (see Practice Note: Legal complaints handling鈥攔egulatory bodies). Examples of conduct and service issues include:Conduct issue for SRAService issue for LeOUnjustified retention of client moneyFailure to follow instructionsFailure to account to client for money due to themUnreasonable delaysActing in a conflict situation Failure to reply to letters, emails or telephone callsDiscriminationInadequate costs informationBreach of undertakingFailure to progress a matterIf a matter relates to potential negligence, it may also be a conduct issue. The SRA can deal with the conduct element but not negligence. There is nothing to stop a client bringing...
Working with foreign lawyers鈥攖he registered foreign lawyer (RFL) regime The Solicitors Regulation Authority (SRA) operates a registration regime for foreign lawyers. Once registered, a registered foreign lawyer (RFL) can become a manager or owner of a law firm with solicitor managers/owners. The SRA Authorisation of Individuals Regulations set out the SRA鈥檚 requirements for registration as a RFL. The SRA has also published guidance for RFLs on their obligations. This Practice Note sets out the registration regime for foreign lawyers working in SRA-regulated law firms as RFLs, why registration may be required and how to go about getting registered. It also sets out the continuing obligations for RFLs and the implications for firms working with RFLs. Until 31 December 2024, certain Swiss lawyers were eligible to apply to register as registered European lawyers (RELs). From 1 January 2025, it is no longer possible to apply to become registered as a REL, but Swiss lawyers who are not already RELs may seek to register as RFLs, if required鈥攕ee further...
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Referral and fee sharing鈥攁pproval request鈥攑ersonal injury and non-personal injury Details of arrangement Person making request [Insert the name of the requestor] Date of request Name of proposed introducer/fee sharer Financial or other terms proposed Do you have any personal interest in the proposed arrangement?(eg are you related to the introducer) Does the arrangement involve making payments to an introducer in respect of clients who are the subject of criminal proceedings.(If so, we cannot make a payment to the introducer) [Does the arrangement involve making payments to an introducer in relation to clients who are likely to receive public funding?(As a matter of policy, we will not
Referral and fee sharing arrangement鈥攁nnual review鈥攑ersonal injury and non-personal injury A: General information Date of annual review [Insert the date on which the annual review was carried out] Person conducting annual review B: Referral and fee sharing monitoring carried out since last annual review Please complete the following table based on any [quarterly] Referral and fee sharing monitoring reports completed since the last annual review Date of each [quarterly] monitoring exercise Number of client files reviewed for purpose of monitoring exercise [Insert date of first monitoring exercise] [State how many client files were reviewed for the purpose of monitoring exercise] [Insert date of second monitoring exercise] [State how many client files were reviewed for the purpose of monitoring exercise] [Insert date of third monitoring exercise] [State how many client files were reviewed for the purpose of monitoring exercise] C: Review and findings Please complete the following table based on your analysis of all [quarterly] referral and fee sharing monitoring reports completed since the last annual...
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If a client has conducted an activity abroad that would be considered illegal abroad but would be legal in the UK, would any resulting property be criminal property under POCA 2002, and are there any other laws that would make it criminal to bring that property into the UK and for a legal professional to 鈥榟andle鈥 the money? The Proceeds of Crime Act 2002 (POCA 2002) creates the three main money laundering offences, with penalties of up to 14 years imprisonment. They are: 鈥 POCA 2002, s 327鈥攃oncealing, disguising, converting or transferring criminal property or removing it from the jurisdiction 鈥 POCA 2002, s 328鈥攅ntering into or becoming concerned in an arrangement to facilitate the acquisition, retention or control by, or on behalf of another person of criminal property knowing or suspecting that the property is criminal property, and 鈥 POCA 2002, s 329鈥攁cquiring, using or having possession of criminal property In each case, commission of the offence depends on the notion of 鈥榗riminal property鈥. This...
Do the SRA Codes of Conduct apply to law firm employees? The firm鈥檚 COLP and COFA are required to ensure compliance by the firm and its managers, employees or interest holders with the SRA鈥檚 regulatory arrangements which apply to them. However, in the case of non-solicitor employees, it is by no means clear what these are. SRA Principles The Principles do apply to employees. According to the SRA: 鈥楾he SRA Principles comprise the fundamental tenets of ethical behaviour that we expect all those that we regulate to uphold. This includes all individuals we authorise to provide legal services (solicitors, RELs and RFLs), as well as authorised firms and their managers and employees.鈥 Code for Solicitors, RELs and RFLs The Code for Solicitors does not appear to apply to law firm employees, other than solicitors, registered European lawyers (RELs) and registered foreign lawyers (RFLs). According to the SRA: 鈥楾he Code of Conduct describes the standards of professionalism that we, the SRA, and the public expect of individuals...
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Welcome to the Information Law yearly highlights for 2024: a hand-picked chronological summary of major news analysis and updates related to laws governing the use and dissemination of information and personal data. These highlights look back on developments in key topics such as data protection, ePrivacy, cybersecurity, breach of confidence, misuse of private information, and defamation. Key areas to watch for 2025 are also explored.
This Q&A considers the issues to bear in mind when deciding whether there would be an obligation to notify clients of a data breach under the SRA Codes of Conduct, even where it is decided that the breach is unlikely to result in a risk to the data subjects and there is therefore no requirement to notify the client of the breach under the UK GDPR.
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