Service and competence

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You are reading current version in effect from 25 November 2019

Guidance

Guidance

Tax avoidance your duties - Warning notice

Warning notice: This reminds those advising clients about their tax affairs about the importance of understanding their regulatory obligations.

Money laundering and terrorist financing - Warning notice

Warning notice: This Warning Notice reminds you of the warning signs of suspicious transactions.

Competence standard service

This guidance focuses on our approach to investigating individuals and firms when the level of competence and standard of service falls below what we would expect.

Drafting and preparation of wills - Guidance

Guidance: To highlight areas of concern and the professional obligations of those responsible for the preparation and drafting of wills.

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.

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.

Failure to provide a proper standard of service or quality, particularly for vulnerable consumers- Case study

Case studies: This case study illustrates the high level of dependency some clients have on their solicitors and the serious consequences for solicitors who abuse this trust.

Glossary terms

client

means the person for whom you act and, where the context permits, includes prospective and former clients

in the SRA Financial Services (Scope) Rules, in relation to any regulated financial services activities carried on by an authorised body for a trust or the estate of a deceased person (including a controlled trust), means the trustees or personal representatives in their capacity as such and not any person who is a beneficiary under the trust or interested in the estate

manager

means:

  1. the sole principal in a recognised sole practice;
  2. a member of a LLP;
  3. a director of a company;
  4. a partner in a partnership; or
  5. in relation to any other body, a member of its governing body