Confidentiality and disclosure

You are reading current version in effect from 25 November 2019
Guidance (4) Glossary terms (1)

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You are reading current version in effect from 25 November 2019

Guidance

Guidance

Confidentiality of client information - Guidance

Guidance: To help you understand your obligation to keep clients' information confidential.

Access to and disclosure of an incapacitated person's will - Guidance

Guidance: To clarify circumstances where a solicitor can disclose a copy of a client’s will to a property and financial affairs attorney.

Mergers, acquisitions and sales of law firms - Warning notice

Warning notice: Relevant to all firms and individuals we regulate who are thinking of or in the process of acquiring other law firms and seeking to sell or merge their law firm with another regulated entity

Money missing from client account - Warning notice

Warning notice: Relevant to all firms and individuals we regulate but is particularly relevant to you if you are a manager of a firm or a firm's COFA or COLP.

Glossary terms

client

means the person for whom you act and, where the context permits, includes prospective and former clients

in the SRA Financial Services (Scope) Rules, in relation to any regulated financial services activities carried on by an authorised body for a trust or the estate of a deceased person (including a controlled trust), means the trustees or personal representatives in their capacity as such and not any person who is a beneficiary under the trust or interested in the estate