Applicable standards in the SRA Code of Conduct for Solicitors, RELs and RFLs

You are reading current version in effect from 25 November 2019
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You are reading current version in effect from 25 November 2019



Risk factors in immigration work - Guidance

Guidance: Common risks that solicitors and firms face when they provide immigration services.

Regulated financial services activites

If you are a COLP or a nominated authorised signatory for a firm we regulate, you need to let us know whether or not your firm carries out financial activities for clients as part of your legal work.

Payment Protection Insurance claims - Warning notice

Warning notice: This warning notice sets out our concerns about is those we regulate acting in claims for mis-sold payment protection insurance (PPI).

Risk factors in personal injury claims - Warning notice

Warning notice: This warning notice reminds you of your obligations if you take personal injury referrals from third parties, work closely with them or act on their instructions.

Referral fees LASPO and SRA Principles - Warning notice

Warning notice: This warning notice reminds you of your obligations if you have referral arrangements for personal injury work.

Q&As on the ban of personal injury referral fees - Guidance

Guidance: Sets out common Q and As on the ban on referral fees in personal injury actions introduced by the Legal Aid, Sentencing and Punishment of Offenders Act 2012.

The Prohibition of referral fees in LASPO 56 60 - Guidance

Guidance: An overview of the approach we will adopt in determining whether a regulated person has paid or received a referral fee contrary to section 56 of LASPO.

Identifying your client - Guidance

Guidance: To help you understand your obligations in respect of identifying your client.

Dealing with claims for mis sold payment protection insurance - Guidance

Guidance: To remind you of your professional duties when accepting and dealing with claims relating to mis-sold payment protection insurance.

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

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.

Complaints about solicitors working outside SRA-regulated firms - Case studies

Case studies: These case studies examine some of the remedies available to those who wish to complain about solicitors working outside SRA – regulated firms.

Offering inducements to potential clients or clients - Guidance

Guidance: Understand your professional obligations and the issues you need to consider before offering inducements to existing or prospective clients.

Glossary terms

separate business

means, where you own, manage or are employed by an authorised body,

a separate business:

  1. which you own;
  2. which you are owned by;
  3. where you actively participate in the provision of its services, including where you have any direct control over the business or any indirect control over the business through another person, or
  4. which you are connected with,

and which is not an authorised body, an authorised non-SRA firm, or an overseas practice