Application and waivers provisions

Version 19 of the Handbook was published on 1 October 2017. For more information, please click "History" above.

Chapter 13: Application and waivers provisions

The SRA Code of Conduct applies to you in the following circumstances (and "you" must be construed accordingly):

Application of the SRA Code of Conduct in England and Wales

13.1

Subject to paragraphs 13.2 and 13.7 to 13.11 below and any other provisions in this Code, this Code applies to you, in relation to your activities carried out from an office in England and Wales, if you are:

(a)

a solicitor, REL (subject to paragraph 13.12) or RFL, and you are practising as such, whether or not the entity through which you practise is subject to this Code;

(b)

a solicitor, REL or RFL who is:

(i)

a manager, employee or owner of a body which should be a recognised body, but has not been recognised by the SRA;

(ii)

a manager, employee or owner of a body that is a manager or owner of a body that should be a recognised body, but has not been recognised by the SRA;

(iii)

an employee in the practice of a sole practitioner which should be a recognised sole practice, but has not been recognised by the SRA;

(iv)

an owner of an authorised body or a body which should be a recognised body but has not been recognised by the SRA, even if you undertake no work for the body's clients; or

(v)

a manager or employee of an authorised non-SRA firm, or a manager of a body which is a manager of an authorised non-SRA firm, when doing work of a sort authorised by the SRA, for that firm;

(c)

an authorised body, or a body which should be a recognised body but has not been recognised by the SRA;

(d)

any other person who is a manager or employee of an authorised body, or of a body which should be a recognised body but has not been recognised by the SRA;

(e)

any other person who is an employee in the practice of a sole practitioner whose practice should be a recognised sole practice, but has not been recognised by the SRA;

and "you" includes "your" as appropriate.

13.2

Chapters 10, 12, 13, 14 and 15 of the Code apply to you if you are a solicitor, REL or RFL and you are:

(a)

practising as a manager or employee of an authorised non-SRA firm when doing work of a sort authorised by the authorised non-SRA firm's approved regulator; or

(b)

an owner of an authorised non-SRA firm even if you undertake no work for the body's clients.

Application of the SRA Code of Conduct in relation to practice from an office outside England and Wales

13.3

[Deleted]

13.4

[Deleted]

13.5

[Deleted]

13.6

[Deleted]

Application of the SRA Code of Conduct outside practice

13.7

In relation to activities which fall outside practice, whether undertaken as a lawyer or in some other business or private capacity, the following apply to you if you are a solicitor, or REL:

(a)

Outcome 11.1; and

(b)

Outcome 11.2.

General Provisions

13.8

The extent to which you are expected to implement the requirements of the Code will depend on your role in the firm, or your way of practising. For example, those who are managing the business will be expected to have more influence on how the firm or business is run than those practising in-house but not managing a legal department, or those practising as employees of a firm.

13.9

You must deliver all outcomes which are relevant to you and your situation.

13.10

Where in accordance with this chapter, the requirements of the Code apply to a licensed body, this Code applies to the regulated activities carried on by the body.

13.11

Where the licensed body is an MDP, the Code applies to the body, any solicitor, REL or RFL who is a manager, employee or owner of the body and any other person who is a manager or employee of the body as follows:

(a)

in relation to any regulated activities; and

(b)

in relation to any other non-reserved legal activities:

(i)

outcomes 1.7, 1.9 to 1.11 and 10.6 apply to the body; and

(ii)

outcomes 1.7, 1.9 to 1.11, chapters 4, 10, 11 and 13 to 15, apply to a solicitor, REL or RFL who is a manager, employee or owner of the body.

13.12

This Code applies to an REL practising as a manager, employee, member or interest holder, of an Exempt European Practice to the same extent that it applies to In-house practice.

Waivers

In any particular case or cases the SRA Board shall have the power, in exceptional circumstances, to waive in writing the provisions of these outcomes for a particular purpose or purposes expressed in such waiver, to place conditions on and to revoke such a waiver.