Maintaining trust and acting fairly

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

Guidance

Payment Protection Insurance claims

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.

Tax avoidance your duties

Solicitors and firms advising clients about tax, or handle client matters of tax affairs, schemes or arrangements. It is important that you are aware of these arrangements.

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

undertaking

means a statement, given orally or in writing, whether or not it includes the word "undertake" or "undertaking", to someone who reasonably places reliance on it, that you or a third party will do something or cause something to be done, or refrain from doing something

court

means any court, tribunal or inquiry of England and Wales, or a British court martial, or any court of another jurisdiction