Solicitors' Code of Conduct 2007
Search the Code of Conduct
As an alternative to searching the Code, use the index of terms or expand the rule headings below for a list of each rule's contents.
Use change tracker to view the rules and associated guidance with recent changes highlighted.
Contents – Solicitors' Code of Conduct 2007
The guidance issued with these rules is not mandatory and does not form part of the Solicitors' Code of Conduct.
Contents
- Preamble
- Rule 1 – Core duties
- Rule 2 – Client relations
- Rule 3 – Conflict of interests
- 3.01 – Duty not to act
- 3.02 – Exceptions to duty not to act
- 3.03 – Conflict when already acting
- 3.04 – Accepting gifts from clients
- 3.05 – Public office or appointment leading to conflict
- 3.06 – Alternative dispute resolution (ADR)
- 3.07 – Acting for seller and buyer in conveyancing, property selling and mortgage related services
- 3.08 – Conveyancing transactions not at arm's length
- 3.09 – Conveyancing transactions at arm's length
- 3.10 – Conditions for acting under 3.09
- 3.11 – Property selling and mortgage related services
- 3.12 – SEALs and participating firms
- 3.13 – Conditions for acting under 3.11
- 3.14 – Special circumstances in property selling and conveyancing
- 3.15 – Conflict arising when acting for seller and buyer
- 3.16 – Acting for lender and borrower in conveyancing transactions
- 3.17 – Standard and individual mortgages
- 3.18 – Notification of certain circumstances to lender
- 3.19 – Types of instruction which may be accepted
- 3.20 – Using the approved certificate of title
- 3.21 – Terms of rule to prevail
- 3.22 – Anti-avoidance
- 3.23 – Waivers
- Guidance to rule 3
- Rule 4 – Confidentiality
and disclosure
- Introduction
- 4.01 – Duty of confidentiality
- 4.02 – Duty of disclosure
- 4.03 – Duty not to put confidentiality at risk by acting
- 4.04 – Exception to duty not to put confidentiality at risk by acting - with clients' consent
- 4.05 – Exception to duty not to put confidentiality at risk by acting – without clients' consent
- 4.06 – Waivers
- Guidance to rule 4
- Rule 5 – Business management in England and Wales
- Rule 6 – Equality and diversity
- Rule 7 – Publicity
- Rule 8 – Fee sharing
- Rule 9 – Referrals of business
- Rule 10 – Relations with third parties
- Introduction
- 10.01 – Not taking unfair advantage
- 10.02 – Agreeing costs with another party
- 10.03 – Administering oaths
- 10.04 – Contacting other party to a matter
- 10.05 – Undertakings
- 10.06 – Dealing with more than one prospective buyer in a conveyancing transaction
- 10.07 – Fees of lawyers of other jurisdictions
- Guidance to rule 10
- Rule 11 – Litigation and advocacy
- 11.01 – Deceiving or misleading the court
- 11.02 – Obeying court orders
- 11.03 – Contempt of court
- 11.04 – Refusing instructions to act as advocate
- 11.05 – Appearing as an advocate
- 11.06 – Appearing as a witness
- 11.07 – Payments to witnesses
- 11.08 – Recordings of child witnesses' evidence
- Guidance to rule 11
- Rule 12 – Framework of practice
- Rule 13 – In-house
practice, etc.
- Introduction
- 13.01 – Conditions applying at all times
- 13.02 – Work colleagues
- 13.03 – Related bodies
- 13.04 – Pro bono work
- 13.05 – Associations
- 13.06 – Insurers
- 13.07 – Commercial legal advice services
- 13.08 – Local government
- 13.09 – Law centres, charities and other non-commercial advice services
- 13.10 – The Crown, non-departmental public bodies, and the Legal Services Commission
- 13.11 – Foreign law firms
- 13.12 – Regulatory bodies
- Guidance to rule 13
- Rule 14 – Recognised
Bodies
- 14.01 – Fundamental requirements for all recognised bodies
- 14.02 – Duties in relation to compliance
- 14.03 – Formation, office in England and Wales and registered office
- 14.04 – Recognised bodies which are partnerships
- 14.05 – Recognised bodies which are LLPs
- 14.06 – Recognised bodies which are companies
- 14.07 – Information and documentation
- 14.08 – Mental Health Act equivalents
- Guidance to rule 14
- Rule 15 – Overseas
practice
- Introduction
- 15.01 – Core duties (rule 1) application, and conflicts of rules
- 15.02 – Client relations (rule 2)
- 15.03 – Conflict of interests (rule 3)
- 15.04 – Confidentiality (rule 4)
- 15.05 – Business management (rule 5)
- 15.06 – Equality and diversity (rule 6)
- 15.07 – Publicity (rule 7)
- 15.08 – Fee sharing (rule 8)
- 15.09 – Referrals of business (rule 9)
- 15.10 – Relations with third parties (rule 10)
- 15.11 – Litigation and advocacy (rule 11)
- 15.12 – Framework of practice (rule 12)
- 15.13 – In-house practice overseas (rule 13)
- 15.14 – Recognised Bodies (rule 14)
- 15.15 – Deposit interest
- 15.16 – European cross-border practice (rule 16)
- 15.17 – Insolvency practice (rule 17)
- 15.18 – Property selling (rule 18)
- 15.19 – Financial services (rule 19)
- 15.20 – Rights and obligations of practice (rule 20)
- 15.21 – Separate businesses (rule 21)
- 15.22 – Waivers (rule 22)
- 15.23 – Application of these rules (rule 23)
- 15.24 – Interpretation (rule 24)
- 15.25 – Commencement and repeals (rule 25)
- 15.26 – Professional indemnity
- 15.27 – Accounts
- Guidance to rule 15
- Rule 16 – European
cross-border practice
- Introduction
- 16.01 – Definition and application
- 16.02 – Occupations considered incompatible with legal practice
- 16.03 – Fee sharing with non-lawyers
- 16.04 – Co-operation between lawyers of different CCBE states
- 16.05 – Correspondence between lawyers in different CCBE states
- 16.06 – Paying referral fees to non-lawyers
- 16.07 – Disputes between lawyers in different member states
- Guidance to rule 16
- Rule 17 – Insolvency practice
- Rule 18 – Property selling
- Rule 19 – Financial services
- Rule 20 – Rights and obligations of practice
- 20.01 – Reserved work and immigration work
- 20.02 – Practising certificates
- 20.03 – Sole practitioners
- 20.04 – Participation in legal practice
- 20.05 – Duty to co-operate with the Solicitors Regulation Authority and the Legal Complaints Service
- 20.06 – Reporting serious misconduct and serious financial difficulty
- 20.07 – Obstructing complaints
- 20.08 – Production of documents, information and explanations
- 20.09 – Dealing with claims
- 20.10 – Compliance with conditions
- Guidance to rule 20
- Rule 21 – Separate businesses
- Introduction
- 21.01 – General
- 21.02 – Services which may not be provided through a separate business
- 21.03 – Services which may be provided in conjunction with a firm or in-house practice
- 21.04 – Services which may be provided (subject to these rules) either through a firm or in-house practice, or through a separate business
- 21.05 – Safeguards in relation to a separate business
- Guidance to rule 21
- Rule 22 – Waivers
- Rule 23 – Application of these rules
- Rule 24 – Interpretation
- Rule 25 – Commencement and repeals
- SRA Recognised Bodies Regulations 2009
- PART 1 – APPLICATIONS, CONDITIONS AND APPEALS
- Regulation 1 – Form, timing and fees for applications
- Regulation 2 – Initial recognition and renewal of recognition
- Regulation 3 – Approval of an individual as suitable to be a manager
- Regulation 4 – Conditions on recognition
- Regulation 5 –Temporary emergency recognition following a partnership split
- Regulation 6 – Notification of decisions by the SRA
- Regulation 7 – Appeals
- PART 2 – DURATION OF RECOGNITION, RENEWAL DATE, REVOCATION AND EXPIRY
- PART 3 – NAME, THE REGISTER AND CERTIFICATE OF RECOGNITION
- PART 4 – INTERPRETATION, WAIVERS, RECONSIDERATION AND NOTIFYING THIRD PARTIES
- PART 1 – APPLICATIONS, CONDITIONS AND APPEALS
- Index of terms
To link to this page, please use rules.sra.org.uk.