SRA Principles - application provisions

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

Part 2: SRA Principles - application provisions

The Principles apply to you in the following circumstances (and "you" must be construed accordingly).

3: Application of the SRA Principles in England and Wales

3.1

Subject to paragraphs 3.2 to 6.1 below and any other provisions in the SRA Code of Conduct, the Principles apply to you, in relation to your activities carried out from an office in England and Wales, if you are:

(a)

a solicitor, REL or RFL who is practising as such, whether or not the entity through which you practise is subject to these Principles;

(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 a sole practitioner's practice which should be a recognised sole practice, but has not been recognised by the SRA;

(iv)

an owner of an authorised body or of 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;

(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 a recognised sole practice, or 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.

3.2

The Principles 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 carrying on any other activity that is not precluded by the terms of your authorisation from the 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.

3.3

The Principles apply to you if you are an REL practising as a manager, employee, member or interest holder, of an Exempt European Practice.

4: Application of the SRA Principles in relation to practice from an office outside England and Wales

4.1

The Principles apply to you if you are:

(a)

a body practising from an office outside England and Wales only if you are required to be an authorised body as a result of the nature of your practice and you have been authorised by the SRA accordingly; or

(b)

a manager of such a body.

Guidance note

(i)

In most circumstances, overseas offices of authorised bodies based in England and Wales will not require authorisation with the SRA and will be governed by the SRA Overseas Rules. However, in some circumstances, because of the work that is being carried out from the overseas office, it will need to be authorised (see Rule 2.1(e) and have regard to Rule 2.1(g) of the SRA Overseas Rules). In those circumstances, the SRA Principles and Code of Conduct apply.

4.2

The Principles apply to you if you are an individual engaged in temporary practice overseas.

5: Application of the SRA Principles outside practice

5.1

In relation to activities which fall outside practice, whether undertaken as a lawyer or in some other business or private capacity, Principles 1, 2 and 6 apply to you if you are a solicitor, REL or RFL.

6: General provisions

6.1

You must comply with the Principles at all times, but the extent to which you are expected to implement the requirements of the Principles will depend on your role in the firm, or your way of practising. For example, those who are managing a 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.