Code of conduct FAQs

What is the code? What are its aims?

The code is the new rule book. In compiling it, we had several aims:

To start with a clear set of professional principles, from which all rules are derived
To simplify the structure - mandatory rule followed by non-mandatory guidance
To express a clear purpose for each rule
To use clear and simple language
To target risk
To raise standards of service to clients
To identify and maintain essential client protections

Does the new code make huge changes?

Not everything is repealed by the Code. In particular, the Solicitors' Accounts Rules, Solicitors' Indemnity Insurance Rules, and Financial Services Rules, remain in force. See rule 25 for a complete list.

Some key changes

Rule 1: the core duties

This replaces Practice Rule 1 as the heart of our regulatory activities. The core duties are:

Justice and the rule of law
Integrity
Independence
Best interests of clients
Standard of service
Public confidence

These define the characteristics of a solicitor and act as a yardstick against which you can measure your conduct when the more detailed rules are silent.

Rule 5: Business management in England and Wales

This concerns the supervision and management of a practice, and differs notably from Practice Rule 13. It has three strands, setting out:

the responsibilities of those running the firm or in-house practice for the overall supervision and management framework of that practice;
the minimum requirements to be met in order to be "qualified to supervise";
the minimum standards applying to the supervision of clients' matters.

The first strand requires principals to put in place supervision and management arrangements covering specific areas - for example, identifying conflicts of interest, controlling undertakings, and training to maintain the competence of staff. The nature of the arrangements is left to the principals.

The second strand requires at least one principal, member or director to have been entitled to practise as a lawyer for 36 months in the last 10 years and to have completed 12 hours management training. It also applies to certain in-house practices, like law centres.

The last strand requires principals to put in place systems for supervising the quality of work undertaken for clients. The supervisor need not be a solicitor, but must be suitably experienced and competent, and the system must be appropriate and effective.

Rule 6: equality and diversity

This now has provisions dealing with age discrimination, civil partnerships and paternity rights. It also clarifies the provisions relating to disability discrimination and reasonable adjustment, and changes the duties on implementing an equality and diversity policy.

Rule 11: litigation and advocacy

This rule repeals the Advocacy Code and replaces it with more succinct provisions and sets out the basic duties of all advocates and litigators, such as not misleading the court and obeying court orders.

Where can I find the old rules?

The old rules and regulations ("Guide Online") remain available.

Where can I get help with conduct questions?

If you need further help, contact our Professional Ethics guidance team.