Client information and publicity

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

Risk factors in immigration work

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

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.

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.

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

costs

means your fees and disbursements

publicity

includes all promotional material and activity, including the name or description of your firm, stationery, advertisements, brochures, websites, directory entries, media appearances, promotional press releases, and direct approaches to potential clients and other persons, whether conducted in person, in writing, or in electronic form, but does not include press releases prepared on behalf of a client

interest

includes a sum in lieu of interest

authorised person
  1. subject to sub-paragraph below, means a person who is authorised by the SRA or another approved regulator to carry on a legal activity as defined under s12 of the LSA and the term "non-authorised person" shall be construed accordingly; and
  2. in the SRA Financial Services (Scope) Rules, has the meaning given in section 31 of the FSMA
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

approved regulator

means any body listed as an approved regulator in paragraph 1 of Schedule 4 to the LSA or designated as an approved regulator by an order under paragraph 17 of that Schedule

SRA

means the Solicitors Regulation Authority