Client information and publicity

You are reading current version in effect from 25 November 2019
Guidance (9) Glossary terms (8)

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You are reading current version in effect from 25 November 2019

Guidance

Guidance

Unsolicited approaches (advertising) to members of the public - Guidance

Guidance: To explain that although advertising to the public is permitted under our rules, subject to certain conditions, you must also consider your wider obligations under applicable law.

Transparency in price and service - Guidance

Guidance: To help you understand your obligations under our Transparency Rules.

Offering inducements to potential clients or clients - Guidance

Guidance: Understand your professional obligations and the issues you need to consider before offering inducements to existing or prospective clients.

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.

Payment Protection Insurance claims - Warning notice

Warning notice: This warning notice sets out our concerns about is those we regulate acting in claims for mis-sold payment protection insurance (PPI).

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.

Client care letters - Guidance

Guidance: How to write and what to include in a good client care letter.

Solicitors undertaking regulated financial services activities relating to pre-paid funeral plans - Guidance

Guidance: Clarifies the position of SRA-authorised firms following the introduction of new regulatory requirements relating to pre-paid funeral plans.

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 are an authorised body or 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