SRA Handbook


Version 21 of the Handbook was published on 6 December 2018. For more information, please click "History" above.

Rule 9: Undertakings


A grant in respect of a failure by a defaulting practitioner to comply with an undertaking will be considered if it can be shown that the undertaking was given in the course of the defaulting practitioner's usual business acting on behalf of a client, that the recipient acted reasonably in accepting the undertaking and placing reliance on the undertaking and that:


the undertaking was given with dishonest intent for the purpose of procuring money or money's worth; or


the undertaking, although not given with dishonest intent, is subsequently dishonestly not performed for the purpose of procuring money or money's worth.


The SRA does not consider the giving of an undertaking in circumstances which amount to the giving of a bare guarantee of the defaulting practitioner's personal liabilities, or the financial obligations and liabilities of a client or third party, to form part of the usual business of a solicitor or other legal practitioner, and in the case of a defaulting licensed body the SRA does not consider such an undertaking to be part of its regulated activities.

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