Solicitors' Code of Conduct 2007

Guidance to rule 23 – Application of these rules

• 1.

  Rule 23 applies all these rules, except rule 15, to your practice from an office in England and Wales if you are a solicitor, an REL, a recognised body, or any other person who is a manager or employee of a recognised body or an employee of a recognised sole practitioner. The application of the rules to RFLs is dealt with in note 4.

• 2.

  These rules are also applied to your practice from an office outside England and Wales but only to the extent specified in rule 15. The key to the application of a rule is, therefore, whether a matter relates to practice from an office in England and Wales, or to practice from an office outside England and Wales. This does not mean that different rules apply at different times during a cross-jurisdictional transaction. For example, if a client gives instructions for a transaction to your London office, then that transaction will fall into the category of practice from an office in England and Wales.

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• 3.

  These rules (as from 31 March 2009) now apply to employees of recognised bodies and recognised sole practitioners. Such employees, as well as managers of recognised bodies, are subject to new powers given to the SRA to impose a rebuke or a fine of up to £2000 for a breach of these rules. Some rules, by virtue of their wording or their subject matter, will have no or limited application to employees. For example 5.01(1) (Supervision and management responsibilities) is applicable only to managers and to firms. Rule 4.01 (Duty of confidentiality) is a prime example of a rule which will apply to all employees, breach of which would make an employee individually culpable - without prejudice to any culpability on the part of the firm. The rules do not apply to non-solicitor employees employed outside England and Wales (except for REL employees employed elsewhere in the UK).

• 4.

  The rules apply to an RFL who is a manager or employee of a recognised body or an employee of a recognised sole practitioner, in relation to practice from an office in England and Wales. An RFL who is a manager or employee of an authorised non-SRA firm is subject to the rules in the way set out in note 5. An RFL is not subject to any of the rules in relation to any other form of practice , or outside practice, or in relation to practice from an office outside England and Wales, except as set out in note 6.

• 5.

  If you are a solicitor, an REL or an RFL practising as a manager or employee of an authorised non-SRA firm, when doing work of a sort authorised by the firm's approved regulator, rule 1 will apply to you but most of the remainder of these rules, as well as the Accounts Rules, are disapplied - for details see 23.01(2)(a). You will, however, be subject to the rules of the authorised non-SRA firm's regulator and any serious breach of those rules could also be a breach of rule 1. If you do work of a sort which is outside the scope of the firm's authorisation you will be subject to these rules, and to the Accounts Rules, in full. These rules would allow you to do such work for the firm itself, or for related bodies or work colleagues, or pro bono - see also 13.01(2).

• 6.

  Certain rules also apply in relation to other forms of practice, and outside practice:

  • (a)

    Under 1.06 (Public confidence), if you are a solicitor, REL or RFL you must not behave in a way that is likely to diminish the trust the public places in you or the legal profession. Rule 1.06 applies to your conduct both in your practice as a solicitor, REL or RFL and outside it, and in England and Wales or anywhere else in the world.

  • (b)

    Under 10.01 (Not taking unfair advantage), if you are a solicitor (anywhere in the world) or an REL (in the UK) you must not, whether in the course of practice or outside it, take unfair advantage of your position.

  • (c)

    Under 10.05(1)(c) and (d), (2) and (3), and 15.10(2)(a)(ii) and (iii), (b) and (c) you must fulfil an undertaking even if it is given outside the course of your practice as a solicitor or as an REL, if you give the undertaking as a solicitor or as a lawyer of another Establishment Directive state, and this applies to a solicitor anywhere in the world and to an REL anywhere in the UK.

  • (d)

    Under 12.03(2) and (3), if you are an RFL you must not be held out as an RFL, or as regulated by or registered with the Law Society or the SRA, except in the context of practice as a manager or employee of a recognised body or as an employee of a recognised sole practitioner. Under 12.03(4)(a) you are prohibited from being held out as a solicitor or barrister (or as any other category of lawyer of England and Wales unless you have that qualification). All these provisions apply outside England and Wales as well as in England and Wales. Under 12.03(4)(b)-(d) you must not do reserved work in England and Wales - whether or not you are practising as an RFL - unless you have a separate qualification which allows you to do that work. Under 12.03(5), if you are not practising as an RFL you must not do any immigration work anywhere in the UK unless you are authorised to do so in your own right, or working under the supervision of someone (not a solicitor, REL or RFL) who is so authorised.