Change tracker - Code of Content
Rule 22: Waivers
[;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 22 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
22.01
- (1)
In any particular case or cases the [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
Board of the[;END DELETED MATTER;]Solicitors Regulation Authority [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]Board [;END INSERTED MATTER;]shall have power to waive in writing the provisions of these rules for a particular purpose or purposes expressed in such waiver, to place conditions on and to revoke such waiver. - (2)
In spite of (1) above, the [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
Board of the[;END DELETED MATTER;] Solicitors Regulation Authority [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]Board [;END INSERTED MATTER;]shall not have power to waive any of the provisions of the following rules:- (a)
- (b)
rules 3.01 to 3.05 (conflict of interests, excluding provisions relating to alternative dispute resolution, conveyancing and property selling);
- (c)
- (d)
- (e)
rules 15.01, 15.03, 15.04, 15.18, 15.22, 15.23 and 15.24 (overseas practice provisions which apply provisions that cannot be waived for practice in England and Wales);
- (f)
- (g)
- (h)
- (i)
Guidance to rule 22 – Waivers
- 1.
If you apply for a waiver, you will need to show that your circumstances are exceptional in order for it to be granted. Advice may be obtained from the Professional Ethics Guidance Team. [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] We would normally expect an application in respect of an individual working in the practice of a recognised body to be made by the recognised body itself. [;END INSERTED MATTER;]
- 2.
The list in 22.01(2) should not be taken as an indication that any other rule may be waived in any circumstances. A waiver cannot be granted where to do so would run counter to the overall purpose of the rule. For example, it is difficult to foresee circumstances in which many of the provisions of rule 2 (Client relations) would be waived.
- 3.
The [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
Board of the Solicitors Regulation Authority[;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;]SRA Board [;END INSERTED MATTER;] has confirmed that every existing waiver of the Solicitors' Practice Rules 1990, the Solicitors' Overseas Practice Rules 1990 or the Solicitors' Incorporated Practice Rules 2004[;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]will[;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;]would [;END INSERTED MATTER;] be extended as a like waiver of the Solicitors' Code of Conduct 2007 for a period of two years from 1 July 2007, or until the date of expiry specified in the waiver if earlier. Every such waiver will expire at the end of the two-year extension period, or earlier if an earlier date of expiry is specified in the waiver. [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]Before then, you will need to consider whether to apply for a new waiver of the Solicitors' Code of Conduct 2007. It is recommended that[;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;]Any firms still holding over on such waivers should consider whether they need to apply for a new waiver and, if so, should contact the Professional Ethics Guidance Team to apply forthwith [;END INSERTED MATTER;] [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]applications should be made at least four months before expiry[;END DELETED MATTER;].
Rule 22: Waivers
[;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 22 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
22.01
- (1)
In any particular case or cases the [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
Board of the[;END DELETED MATTER;]Solicitors Regulation Authority [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]Board [;END INSERTED MATTER;]shall have power to waive in writing the provisions of these rules for a particular purpose or purposes expressed in such waiver, to place conditions on and to revoke such waiver. - (2)
In spite of (1) above, the [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
Board of the[;END DELETED MATTER;] Solicitors Regulation Authority [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]Board [;END INSERTED MATTER;]shall not have power to waive any of the provisions of the following rules:- (a)
- (b)
rules 3.01 to 3.05 (conflict of interests, excluding provisions relating to alternative dispute resolution, conveyancing and property selling);
- (c)
- (d)
- (e)
rules 15.01, 15.03, 15.04, 15.18, 15.22, 15.23 and 15.24 (overseas practice provisions which apply provisions that cannot be waived for practice in England and Wales);
- (f)
- (g)
- (h)
- (i)
Guidance to rule 22 – Waivers
- 1.
If you apply for a waiver, you will need to show that your circumstances are exceptional in order for it to be granted. Advice may be obtained from the Professional Ethics Guidance Team. [;BEGIN MATTER INSERTED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;] We would normally expect an application in respect of an individual working in the practice of a recognised body to be made by the recognised body itself. [;END INSERTED MATTER;]
- 2.
The list in 22.01(2) should not be taken as an indication that any other rule may be waived in any circumstances. A waiver cannot be granted where to do so would run counter to the overall purpose of the rule. For example, it is difficult to foresee circumstances in which many of the provisions of rule 2 (Client relations) would be waived.
- 3.
The [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]
Board of the Solicitors Regulation Authority[;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;]SRA Board [;END INSERTED MATTER;] has confirmed that every existing waiver of the Solicitors' Practice Rules 1990, the Solicitors' Overseas Practice Rules 1990 or the Solicitors' Incorporated Practice Rules 2004[;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]will[;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;]would [;END INSERTED MATTER;] be extended as a like waiver of the Solicitors' Code of Conduct 2007 for a period of two years from 1 July 2007, or until the date of expiry specified in the waiver if earlier. Every such waiver will expire at the end of the two-year extension period, or earlier if an earlier date of expiry is specified in the waiver. [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]Before then, you will need to consider whether to apply for a new waiver of the Solicitors' Code of Conduct 2007. It is recommended that[;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;]Any firms still holding over on such waivers should consider whether they need to apply for a new waiver and, if so, should contact the Professional Ethics Guidance Team to apply forthwith [;END INSERTED MATTER;] [;BEGIN MATTER DELETED ON 31 MARCH 2009 AS PART OF CHANGES INTRODUCING FIRM-BASED REGULATION AND LDPs UNDER THE LEGAL SERVICES ACT 2007;]applications should be made at least four months before expiry[;END DELETED MATTER;].