, Ethics and Professional Conduct:
Ethics and Regulation:
The Solicitors Regulation Authority:
The Solicitors Regulation Authority (SRA) regulates solicitors, the bodies in which they
operate and all those working within those bodies
The rules governing how solicitors behave and conduct their business are contained in the SRA
Standards and Regulations. Including:
a) SRA principles:
● Set out the fundamental requirements of ethical behaviour
b) SRA Code of Conduct for Solicitors:
● Sets out the standard of professionalism required from the individuals authorised
by the SRA to provide legal services → personally accountable for compliance
with the Code
c) The SRA Code of Conduct for Firms:
● Sets out the standards and business controls expected of firms authorised to
provide legal services
● Failure to meet its standards may lead to regulatory action against the body / its
managers / compliance officers / employees
d) The SRA Accounts Rules:
● Detail specific requirements placed on solicitors in financial matters
e) The SRA Glossary:
● Contains all the defined terms from the Codes, Rules and Regulations
, Complaints:
A solicitor must ensure their clients are informed, in writing, at time time of the engagement:
a) Their right to complain about the solicitor’s services and charges
b) How complaints may be made and to whom
c) Any right they have to make a complain to the Legal Ombudsman and when they can
make such a complaint
If a complaint has been made and not resolved to just satisfaction within 8 weeks, the solicitor
must ensure that the client is informed in writing:
a) Of their rights to complain to the Legal Ombudsman, the timeframe for doing so and
full details for contacting
b) If a complaint has been brought and the complaints procedure has been exhausted:
i) That the solicitor cannot settle the complaint
ii) The name and website address of an alternative dispute resolution (ADR)
approved body which would be competent to deal with the complaint
iii) Whether the solicitor agrees to use the scheme operated by that body
The Legal Ombudsman:
The LeO deals with complaints made against solicitors, barristers, legal executives, licensed
conveyancers, notaries and patent attorneys
● Client doesn’t have to suffer any loss → it is enough for a solicitor to not provide
services of reasonable quality
● Complaint must relate to an act / omission by the solicitor and relate to services they
have provided / offered / refused to provide
When:
Ethics and Regulation:
The Solicitors Regulation Authority:
The Solicitors Regulation Authority (SRA) regulates solicitors, the bodies in which they
operate and all those working within those bodies
The rules governing how solicitors behave and conduct their business are contained in the SRA
Standards and Regulations. Including:
a) SRA principles:
● Set out the fundamental requirements of ethical behaviour
b) SRA Code of Conduct for Solicitors:
● Sets out the standard of professionalism required from the individuals authorised
by the SRA to provide legal services → personally accountable for compliance
with the Code
c) The SRA Code of Conduct for Firms:
● Sets out the standards and business controls expected of firms authorised to
provide legal services
● Failure to meet its standards may lead to regulatory action against the body / its
managers / compliance officers / employees
d) The SRA Accounts Rules:
● Detail specific requirements placed on solicitors in financial matters
e) The SRA Glossary:
● Contains all the defined terms from the Codes, Rules and Regulations
, Complaints:
A solicitor must ensure their clients are informed, in writing, at time time of the engagement:
a) Their right to complain about the solicitor’s services and charges
b) How complaints may be made and to whom
c) Any right they have to make a complain to the Legal Ombudsman and when they can
make such a complaint
If a complaint has been made and not resolved to just satisfaction within 8 weeks, the solicitor
must ensure that the client is informed in writing:
a) Of their rights to complain to the Legal Ombudsman, the timeframe for doing so and
full details for contacting
b) If a complaint has been brought and the complaints procedure has been exhausted:
i) That the solicitor cannot settle the complaint
ii) The name and website address of an alternative dispute resolution (ADR)
approved body which would be competent to deal with the complaint
iii) Whether the solicitor agrees to use the scheme operated by that body
The Legal Ombudsman:
The LeO deals with complaints made against solicitors, barristers, legal executives, licensed
conveyancers, notaries and patent attorneys
● Client doesn’t have to suffer any loss → it is enough for a solicitor to not provide
services of reasonable quality
● Complaint must relate to an act / omission by the solicitor and relate to services they
have provided / offered / refused to provide
When:
