Guidance search

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Issuing Solicitors Disciplinary Tribunal proceedings - Guidance

To help you understand the approach we take when deciding whether to issue proceedings in the Solicitors Disciplinary Tribunal.

Accepting instructions from vulnerable clients or third parties acting on their behalf - Guidance

To highlight issues to consider before receiving and accepting instructions from vulnerable clients or third parties acting on their behalf.

Topic:

Client care

Confidentiality of client information - Guidance

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

Topic:

Misconduct

Separate Business - Guidance

Guidance to explain your obligations when you are linked with a separate business.  

Conduct in disputes - Guidance

This guidance is to help you understand your obligations and how to comply with them. We will have regard to it when exercising our regulatory functions.

Topic:

Misconduct

Closing down your practice - Guidance

To enable those who are closing down their practice to protect the interests of their clients and comply with our Standards and Regulations.

Topic:

Authorisation

Sole practitioners and small firms regulatory starter pack - Guidance

This starter pack provides help and support to practitioners looking to establish their own business.

Topic:

Authorisation

Making decisions to investigate concerns - Guidance

To help those we regulate understand how we assess reports and complaints made about them.

How we regulate non-authorised persons - Guidance

How we will regulate you if you are not authorised by us directly but where you are involved in a firm we regulate or work for, or are supervised, by a solicitor.

Solicitors and Compliance Officers for Legal Practice (COLPs) confirming qualifying work experience - Guidance

Understand your obligations around confirming qualifying work experience (QWE) and how to comply with them. We may have regard to it when exercising our regulatory functions.

Topic:

COLPs & COFAs