Search guidance - results

Misconduct


Confidentiality of client information - Guidance

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

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.

Advising on leasehold provisions including ground rent clauses - Guidance

To help you understand what our Standards and Regulations require when acting for clients who are buying leasehold properties and to avoid possible breaches of our requirements.

Workplace environment: risks of failing to protect and support colleagues - Case studies

This case study should be read in conjunction with the guidance on Workplace environment: risks of failing to protect and support colleagues

Workplace environment: risks of failing to protect and support colleagues - Guidance

This guidance is to help you understand your obligations and how to comply with them.

Use of non disclosure agreements (NDAs) - Warning notice

This reminds those we regulate of some of the key risks and issues when advising on the use of NDAs.

SRA consumer credit - Guidance

To help SRA authorised firms involved in credit related regulated activities understand the application of Part 20 of the Financial Services and Markets Act 2000.

Investment schemes - Warning notice

This warning notice sets out the dangers of becoming involved in and facilitating dubious investment schemes.

Conflicts of interest - Guidance

To help you to understand your obligations in relation to conflicts.

Unsolicited approaches (advertising) to members of the public - Guidance

To explain that although advertising to the public is permitted under our rules, subject to certain conditions, you must also consider your wider obligations under applicable law.