PROFESSIONAL CONDUCT
SRA Principles
Uphold constitutional principle of rule of law, and proper admin of justice
Uphold public trust and confidence in solicitors' profession, in legal services provided
by authorised persons
Act with independence + honesty, integrity
Act to encourage equality, diversity, inclusion
In client's best interests
If Principles come into conflict
Those which safeguard wider public interest (rule of law, public confidence in
trustworthy solicitors' profession, safe and effective market for regulated legal
services) => Take precedence over individual client's interests
SRA Codes of Conduct
Code of Conduct for Solicitors, RELs, RFLs
SRA Code of Conduct for Firms
Details
o Specific detail
o Standards and behaviours
Outcome-based
o Defines ‘what’, not the ‘how’
o Solicitors decide how to deliver legal services
Part 1 > Maintain trust, act fairly
o Part 1.2 > NOT abuse position by taking unfair advantage of clients and others
Part 2 > DR + proceedings before courts, tribunals, inquiries
o Possible conflict
Solicitor owes duty to do best for clients in litigation
Solicitor must never deceive/mislead court (otherwise breach of
principles)
o NOT misuse/tamper with evidence (or attempt to do so)
o NOT seek influence substance of evidence (generating false evidence,
persuading Ws to change evidence)
o NOT provide/offer to provide benefit to Ws dependent upon nature of
evidence/outcome of case
o Only make assertions/put forward statements/reps/submissions to court or
others properly arguable
o NOT place yourself in court contempt, comply with court orders which place
obligations on you
o NOT waste court's time
o NOT draw court's attention to relevant cases and statutory
provisions/procedural irregularities which you aware, likely have material
effect on outcome
Part 3 > Service and competence
o Ensure service provided to clients > Competent + delivered in timely manner
o Maintain competence > carry out role + keep professional knowledge and
skills up to date
o Consider and take account of client's attributes, needs, circumstances
Wide ranging requirement
SRA Principles
Uphold constitutional principle of rule of law, and proper admin of justice
Uphold public trust and confidence in solicitors' profession, in legal services provided
by authorised persons
Act with independence + honesty, integrity
Act to encourage equality, diversity, inclusion
In client's best interests
If Principles come into conflict
Those which safeguard wider public interest (rule of law, public confidence in
trustworthy solicitors' profession, safe and effective market for regulated legal
services) => Take precedence over individual client's interests
SRA Codes of Conduct
Code of Conduct for Solicitors, RELs, RFLs
SRA Code of Conduct for Firms
Details
o Specific detail
o Standards and behaviours
Outcome-based
o Defines ‘what’, not the ‘how’
o Solicitors decide how to deliver legal services
Part 1 > Maintain trust, act fairly
o Part 1.2 > NOT abuse position by taking unfair advantage of clients and others
Part 2 > DR + proceedings before courts, tribunals, inquiries
o Possible conflict
Solicitor owes duty to do best for clients in litigation
Solicitor must never deceive/mislead court (otherwise breach of
principles)
o NOT misuse/tamper with evidence (or attempt to do so)
o NOT seek influence substance of evidence (generating false evidence,
persuading Ws to change evidence)
o NOT provide/offer to provide benefit to Ws dependent upon nature of
evidence/outcome of case
o Only make assertions/put forward statements/reps/submissions to court or
others properly arguable
o NOT place yourself in court contempt, comply with court orders which place
obligations on you
o NOT waste court's time
o NOT draw court's attention to relevant cases and statutory
provisions/procedural irregularities which you aware, likely have material
effect on outcome
Part 3 > Service and competence
o Ensure service provided to clients > Competent + delivered in timely manner
o Maintain competence > carry out role + keep professional knowledge and
skills up to date
o Consider and take account of client's attributes, needs, circumstances
Wide ranging requirement
