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

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: This warning notice is relevant to all those we regulate acting in claims for mis-sold payment protection insurance (PPI).

Risk factors in personal injury claims

This Warning Notice is relevant to solicitors and all regulated persons who take personal injury referrals from third parties, work closely with them or act on their instructions.

Referral fees LASPO and SRA Principles

This notice is for all practitioners who have referral arrangements for personal injury work.

Q&As on the ban of personal injury referral fees

The Legal Aid, Sentencing and Punishment of Offenders Act 2012 (LASPO) introduced in 2013 a ban on referral fees in personal injury actions.

The Prohibition of referral fees in LASPO 56 60

An overview of the approach we will adopt in determining whether or not a regulated person has paid or received a referral fee contrary to section 56 of LASPO.

Identifying your client

This question and answer is for solicitors, RFLs, RELs, SRA authorised firms and their employees.

Dealing with claims for mis sold payment protection insurance

To remind practitioners of their professional duties when accepting and dealing with claims relating to mis-sold payment protection insurance.

Unsolicited approaches (advertising) to members of the public

Guidance: Advertising to the public is permitted, subject to certain conditions. You must also consider your wider obligations under applicable law.

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

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

Transparency in price and service

This guidance is to help you understand your obligations under our Transparency Rules.

Offering inducements to potential clients or clients

To highlight your professional obligations and issues which need to be considered with the offering of 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