SRA Code of Conduct

  • Created by: domlpool
  • Created on: 25-08-20 16:44
You do not unfairly discriminate by allowing your personal views to affect your professional relationships and the way in which you provide your services.
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You do not abuse your position by taking unfair advantage of clients or others.
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You perform all undertakings given by you, and do so within an agreed timescale or if no timescale has been agreed then within a reasonable amount of time.
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You do not mislead or attempt to mislead your clients, the court or others, either by your own acts or omissions or allowing or being complicit in the acts or omissions of others (including your client).
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You do not misuse or tamper with evidence or attempt to do so.
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You do not seek to influence the substance of evidence, including generating false evidence or persuading witnesses to change their evidence.
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You do not provide or offer to provide any benefit to witnesses dependent upon the nature of their evidence or the outcome of the case.
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You only make assertions or put forward statements, representations or submissions to the court or others which are properly arguable.
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You do not place yourself in contempt of court, and you comply with court orders which place obligations on you.
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You do not waste the court's time.
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You draw the court's attention to relevant cases and statutory provisions, or procedural irregularities of which you are aware, and which are likely to have a material effect on the outcome of the proceedings.
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You only act for clients on instructions from the client, or from someone properly authorised to provide instructions on their behalf. If you have reason to suspect that the instructions do not represent your client's wishes, you do not act.
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You ensure that the service you provide to clients is competent and delivered in a timely manner.
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You maintain your competence to carry out your role and keep your professional knowledge and skills up to date.
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You consider and take account of your client's attributes, needs and circumstances.
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Where you supervise or manage others providing legal services: you remain accountable for the work carried out through them; and you effectively supervise work being done for clients.
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You ensure that the individuals you manage are competent to carry out their role, and keep their professional knowledge and skills, as well as understanding of their legal, ethical and regulatory obligations, up to date.
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You properly account to clients for any financial benefit you receive as a result of their instructions, except where they have agreed otherwise.
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You safeguard money and assets entrusted to you by clients and others.
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You do not personally hold client money save as permitted under regulation 10.2(b)(vii) of the Authorisation of Individuals Regulations, unless you work in an authorised body, or in an organisation of a kind prescribed under this rule on any terms th
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In respect of any referral of a client by you to another person, or of any third party who introduces business to you or with whom you share your fees, you ensure that:
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5.1 (a)
clients are informed of any financial or other interest which you or your business or employer has in referring the client to another person or which an introducer has in referring the client to you;
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5.1 (b)
clients are informed of any fee sharing arrangement that is relevant to their matter;
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5.1 (c)
the fee sharing agreement is in writing;
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5.1 (d)
you do not receive payments relating to a referral or make payments to an introducer in respect of clients who are the subject of criminal proceedings; and
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5.1 (e)
any client referred by an introducer has not been acquired in a way which would breach the SRA's regulatory arrangements if the person acquiring the client were regulated by the SRA.
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Where it appears to the SRA that you have made or received a referral fee, the payment will be treated as a referral fee unless you show that the payment was not made as such.
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You only: refer, recommend or introduce a client to a separate business; or divide, or allow to be divided, a client's matter between you and a separate business; where the client has given informed consent to your doing so.
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You must not be a manager, employee, member or interest holder of a business that: has a name which includes the word "solicitors"; or describes its work in a way that suggests it is a solicitors' firm; unless it is an authorised body.
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If you are a solicitor who holds a practising certificate, an REL or RFL, you must complete and deliver to the SRA an annual return in the prescribed form.
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If you are a solicitor or an REL carrying on reserved legal activities in a non-commercial body, you must ensure that: the body takes out and maintains indemnity insurance; and
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5.6 (b)
this insurance provides adequate and appropriate cover in respect of the services that you provide or have provided, whether or not they comprise reserved legal activities, taking into account any alternative arrangements the body or its clients may
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You do not abuse your position by taking unfair advantage of clients or others.

Card 3




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