Specimen case studies

New Codes of Conduct

These specimen case studies are designed to help you understand our proposals and the way some obligations and requirements could be met. They do not represent our final position; nor are they intended to show how we would take enforcement action.

We need your help to identify difficult or unclear areas with our draft Principles and Codes of Conduct. We want to target our support and case studies on these tricky issues.

Share your scenarios

We would like to offer you a wide range of case studies the covering topics you tell us you most need help with. We hope that, by providing sample case studies, we will encourage you to share your experiences and views about how this kind of support could work best for you. We intend to add new case studies here regularly.

New Codes of Conduct for solicitors (SC) and for firms (FC)

Standards SC 8.6 and FC 2.1(b) – informed clients

June 2016

Standards SC 1.2 and SC 8.8 and Standard FC 1.1 and 7.1(b)– inappropriate publicity

June 2016

Standards SC 3.1, FC 4.1 and 4.3 – acting only on instructions

June 2016

Standards SC 3.5(a) and (b), SC 3.6 FC 2.1(b) and FC 4.4 – effective supervision and management responsibilities

June 2016

Standard SC4.3 – you do not personally hold client money unless you work in an authorised body (This standard is subject to the outcome of consultation question 24)

June 2016

Standards SC 8.3, 8.4(a) and 8.9 – appropriate information about whether and how the services you provide are regulated, the protections available to clients and how complaints can be made.

June 2016

Standards SC 3.2 6.3, 8.6, and FC 2.3

June 2016

Whistle blowing – SC 7.7

June 2016

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