Change tracker - Code of Content
Rule 1: Core duties
[;BEGIN MATTER INSERTED ON 6 OCTOBER 2011;] The Solicitors' Code of Conduct 2007 has been replaced on the 6 October 2011 by the SRA Code of Conduct 2011 as part of the introduction of outcomes-focused regulation. [;END INSERTED MATTER;]
Go to SRA Handbook
[;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]Rule 1 of the Code of Conduct was amended on 31 March 2009 as part of a general updating of the rules to introduce firm-based regulation and legal disciplinary practices as provided for in the Legal Services Act 2007. [;END INSERTED MATTER;]
Rule
1.01 Justice and the rule of law
You must uphold the rule of law and the proper administration of justice.
1.02 Integrity
You must act with integrity.
1.03 Independence
You must not allow your independence to be compromised.
1.04 Best interests of clients
You must act in the best interests of each client.
1.05 Standard of service
You must provide a good standard of service to your clients.
1.06 Public confidence
You must not behave in a way that is likely to diminish the trust the public places in you or the [;BEGIN MATTER INSERTED ON 1 MARCH 2009 BY THE SOLICITORS' CODE OF CONDUCT (LDPs AND FIRM BASED REGULATION) AMENDMENT RULES 2009;]legal [ ;END INSERTED MATTER; ]profession.
Guidance to rule 1 – Core duties
General
- 1.
A modern just society needs a legal profession which adopts high standards of integrity and professionalism. [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
As a solicitor, registered foreign lawyer (RFL), registered European lawyer (REL) or recognised body you[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]Lawyers, law firms and those who work in them [;END INSERTED MATTER;] serve both clients and society. In serving society, you uphold the rule of law and the proper administration of justice. In serving clients, you work in partnership with the client making the client's business your first concern. The core duties contained in rule 1 set the standards which will meet the needs of both clients and society. [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] The core duties apply to solicitors, registered European lawyers (RELs), registered foreign lawyers (RFLs), recognised bodies, managers and employees of recognised bodies, and employees of recognised sole practitioners. [;END INSERTED MATTER;] - 2.
The core duties perform a number of functions:
- (a)
They define the values which should shape your professional character and be displayed in your professional behaviour.
- (b)
They form an overarching framework within which the more detailed and context-specific rules in the rest of the Code can be understood, thus illuminating the nature of those obligations and helping you to comply.
- (c)
The core duties can help you to navigate your way through those situations not covered in the detailed rules, as no code can foresee or address every ethical dilemma which may arise in legal practice.
- (d)
The core duties are fundamental rules. A breach may result in the imposition of sanctions.
- (a)
- 3.
Where two or more core duties come into conflict, the factor determining precedence must be the public interest, and especially the public interest in the administration of justice. Compliance with the core duties, as with all the rules, is subject to any overriding legal obligations.
- 4.
It will be a breach of rule 1 if you permit another person to do anything on your behalf which would compromise or impair your ability to comply with any of the core duties.
Justice and the rule of law – 1.01
- 5.
You have obligations not only to clients but also to the court and to third parties with whom you have dealings on your clients' behalf - see in particular rule 10 (Relations with third parties) and rule 11 (Litigation and advocacy).
Integrity – 1.02
- 6.
Personal integrity is central to your role as the client's trusted adviser and must characterise all your professional dealings – with clients, the court, other lawyers and the public.
Independence – 1.03
- 7.[;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
"Independence" means your own and your firm's independence, and not merely your ability to give independent advice to a client. Examples of situations which might put your independence at risk include:
[;END INSERTED MATTER;][;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]- (a)
finance agreements/loans to your firm with particular strings attached;
- (b)
finance arrangements which suggest dependency upon an outside body, such as could, at that body's discretion, effectively put your firm out of business;
- (c)
contractual conditions in agreements with referrers of business or funders which effectively cede control of your firm to the outside body;
- (d)
granting options to purchase your interest in your firm for nominal value;
- (e)
allowing a third party access to confidential information concerning your clients;
- (f)
a relationship with an outside body which is not at arm's length, and/or which suggests that your firm is more akin to a part of or subsidiary of that body, rather than an independent law firm;
- (g)
fee sharing arrangements which go beyond what is allowed under rule 8.02;
- (h)
any arrangement for a third party to fund legal actions which lays constraints on the conduct of the matter which go beyond the legitimate interests of a funder.
See also rule 3 (Conflict of interests) and rule 9 (Referrals of business).
- (a)
Best interests of clients – 1.04
- 8.
You must always act in good faith and do your best for each of your clients. Most importantly, you must observe:
- (a)
your duty of confidentiality to the client - see rule 4 (Confidentiality and disclosure);
- (b)
your obligations with regard to conflicts of interests - see rule 3 (Conflict of interests); and
- (c)
your obligation not to use your position to take unfair advantage of the client – see 10.01 (Not taking unfair advantage).
- (a)
Standard of service – 1.05
- 9.
You must provide a good standard of client care and of work, including the exercise of competence, skill and diligence. Disciplinary action will not always follow where breaches of this duty are minor and isolated.
Public confidence – 1.06
- 10.
Members of the public must be able to place their trust in you. Any behaviour within or outside your professional practice which undermines this trust damages not only you but the ability of the [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]legal [;END INSERTED MATTER;]profession as a whole to serve society.
Rule 1: Core duties
[;BEGIN MATTER INSERTED ON 6 OCTOBER 2011;] The Solicitors' Code of Conduct 2007 has been replaced on the 6 October 2011 by the SRA Code of Conduct 2011 as part of the introduction of outcomes-focused regulation. [;END INSERTED MATTER;]
Go to SRA Handbook
[;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]Rule 1 of the Code of Conduct was amended on 31 March 2009 as part of a general updating of the rules to introduce firm-based regulation and legal disciplinary practices as provided for in the Legal Services Act 2007. [;END INSERTED MATTER;]
Rule
1.01 Justice and the rule of law
You must uphold the rule of law and the proper administration of justice.
1.02 Integrity
You must act with integrity.
1.03 Independence
You must not allow your independence to be compromised.
1.04 Best interests of clients
You must act in the best interests of each client.
1.05 Standard of service
You must provide a good standard of service to your clients.
1.06 Public confidence
You must not behave in a way that is likely to diminish the trust the public places in you or the [;BEGIN MATTER INSERTED ON 1 MARCH 2009 BY THE SOLICITORS' CODE OF CONDUCT (LDPs AND FIRM BASED REGULATION) AMENDMENT RULES 2009;]legal [ ;END INSERTED MATTER; ]profession.
Guidance to rule 1 – Core duties
General
- 1.
A modern just society needs a legal profession which adopts high standards of integrity and professionalism. [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
As a solicitor, registered foreign lawyer (RFL), registered European lawyer (REL) or recognised body you[;END DELETED MATTER;] [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]Lawyers, law firms and those who work in them [;END INSERTED MATTER;] serve both clients and society. In serving society, you uphold the rule of law and the proper administration of justice. In serving clients, you work in partnership with the client making the client's business your first concern. The core duties contained in rule 1 set the standards which will meet the needs of both clients and society. [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] The core duties apply to solicitors, registered European lawyers (RELs), registered foreign lawyers (RFLs), recognised bodies, managers and employees of recognised bodies, and employees of recognised sole practitioners. [;END INSERTED MATTER;] - 2.
The core duties perform a number of functions:
- (a)
They define the values which should shape your professional character and be displayed in your professional behaviour.
- (b)
They form an overarching framework within which the more detailed and context-specific rules in the rest of the Code can be understood, thus illuminating the nature of those obligations and helping you to comply.
- (c)
The core duties can help you to navigate your way through those situations not covered in the detailed rules, as no code can foresee or address every ethical dilemma which may arise in legal practice.
- (d)
The core duties are fundamental rules. A breach may result in the imposition of sanctions.
- (a)
- 3.
Where two or more core duties come into conflict, the factor determining precedence must be the public interest, and especially the public interest in the administration of justice. Compliance with the core duties, as with all the rules, is subject to any overriding legal obligations.
- 4.
It will be a breach of rule 1 if you permit another person to do anything on your behalf which would compromise or impair your ability to comply with any of the core duties.
Justice and the rule of law – 1.01
- 5.
You have obligations not only to clients but also to the court and to third parties with whom you have dealings on your clients' behalf - see in particular rule 10 (Relations with third parties) and rule 11 (Litigation and advocacy).
Integrity – 1.02
- 6.
Personal integrity is central to your role as the client's trusted adviser and must characterise all your professional dealings – with clients, the court, other lawyers and the public.
Independence – 1.03
- 7.[;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
"Independence" means your own and your firm's independence, and not merely your ability to give independent advice to a client. Examples of situations which might put your independence at risk include:
[;END INSERTED MATTER;][;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]- (a)
finance agreements/loans to your firm with particular strings attached;
- (b)
finance arrangements which suggest dependency upon an outside body, such as could, at that body's discretion, effectively put your firm out of business;
- (c)
contractual conditions in agreements with referrers of business or funders which effectively cede control of your firm to the outside body;
- (d)
granting options to purchase your interest in your firm for nominal value;
- (e)
allowing a third party access to confidential information concerning your clients;
- (f)
a relationship with an outside body which is not at arm's length, and/or which suggests that your firm is more akin to a part of or subsidiary of that body, rather than an independent law firm;
- (g)
fee sharing arrangements which go beyond what is allowed under rule 8.02;
- (h)
any arrangement for a third party to fund legal actions which lays constraints on the conduct of the matter which go beyond the legitimate interests of a funder.
See also rule 3 (Conflict of interests) and rule 9 (Referrals of business).
- (a)
Best interests of clients – 1.04
- 8.
You must always act in good faith and do your best for each of your clients. Most importantly, you must observe:
- (a)
your duty of confidentiality to the client - see rule 4 (Confidentiality and disclosure);
- (b)
your obligations with regard to conflicts of interests - see rule 3 (Conflict of interests); and
- (c)
your obligation not to use your position to take unfair advantage of the client – see 10.01 (Not taking unfair advantage).
- (a)
Standard of service – 1.05
- 9.
You must provide a good standard of client care and of work, including the exercise of competence, skill and diligence. Disciplinary action will not always follow where breaches of this duty are minor and isolated.
Public confidence – 1.06
- 10.
Members of the public must be able to place their trust in you. Any behaviour within or outside your professional practice which undermines this trust damages not only you but the ability of the [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]legal [;END INSERTED MATTER;]profession as a whole to serve society.