Service and competence

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You are reading current version in effect from 8 February 2022



Risk factors in immigration work - Guidance

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

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.

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.

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.

Advising on leasehold provisions including ground rent clauses - Guidance

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 - Guidance

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

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

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

Glossary terms


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