Confidentiality and disclosure

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You are reading current version in effect from 25 November 2019

Guidance

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.

Confidentiality of client information

To help you to understand your SRA obligations in relation to keeping clients' information confidential.

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